81 FR 13864 - Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Limit Mandatory Participation in Scheduled Functional and Performance Testing Under Regulation SCI to Only Those Primary Market Makers That Meet Specified Criteria
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 81, Issue 50 (March 15, 2016)
Federal Register Volume 81, Issue 50 (March 15, 2016)
| Page Range | 13864-13866 | |
| FR Document | 2016-05755 |
[Federal Register Volume 81, Number 50 (Tuesday, March 15, 2016)] [Notices] [Pages 13864-13866] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2016-05755] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-77334; File No. SR-ISE Gemini-2016-02] Self-Regulatory Organizations; ISE Gemini, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Limit Mandatory Participation in Scheduled Functional and Performance Testing Under Regulation SCI to Only Those Primary Market Makers That Meet Specified Criteria March 9, 2016. Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that on February 26, 2016, ISE Gemini, LLC (the ``Exchange'' or the ``ISE Gemini'') filed with the Securities and Exchange Commission the proposed rule change as described in Items I, II, and III below, which Items have been prepared by the self-regulatory organization. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. --------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1). \2\ 17 CFR 240.19b-4. --------------------------------------------------------------------------- I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to amend Rule 803, Obligations of Market Makers, to limit mandatory participation in scheduled functional and performance testing, under Regulation Systems Compliance and Integrity (``Regulation SCI''),\3\ to those Primary Market Makers (``PMMs'') that contribute a meaningful percentage of the Exchange's overall volume, measured on a quarterly or monthly basis. The Exchange proposes to also consider other factors in determining the PMMs that will be required to participate in scheduled functional and performance testing of the Exchange's business continuity and disaster recovery plans (collectively ``DR Plans''), including average daily volume traded on the Exchange measured on a quarterly or monthly basis, or PMMs that collectively account for a certain percentage of market share on the Exchange or within a specific product. In addition, the Exchange proposes to publish the criteria to be used by the Exchange to determine which PMMs will be required to participate in such testing, and notify those PMMs that are required to [[Page 13865]] participate based on such criteria. The text of the proposed rule change is available on the Exchange's Web site at www.ise.com, at the principal office of the Exchange, and at the Commission's Public Reference Room. --------------------------------------------------------------------------- \3\ See Securities Exchange Act Release No. 73639 (November 19, 2014), 79 FR 72252 (December 5, 2014) (``SCI Adopting Release''). --------------------------------------------------------------------------- II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the self-regulatory organization included statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose On November 19, 2014, the Securities and Exchange Commission unanimously voted to adopt Regulation SCI, which is a set of rules designed to strengthen the technology infrastructure of the U.S. securities markets.\4\ Specifically, the rules are designed to reduce the occurrence of systems issues, improve resiliency when systems problems do occur, and enhance the Commission's oversight and enforcement of securities market technology infrastructure.\5\ --------------------------------------------------------------------------- \4\ Id. \5\ Division of Trading and Markets, Responses to Frequently Asked Questions Concerning Regulation SCI at https://www.sec.gov/divisions/marketreg/regulation-sci-faq.shtml. --------------------------------------------------------------------------- Regulation SCI applies to ``SCI entities,'' a term which includes SROs such as ISE Gemini. Regulation SCI requires SCI entities to, among other things, (1) establish written policies and procedures reasonably designed to ensure that their systems have levels of capacity, integrity, resiliency, availability, and security adequate to maintain their operational capability; (2) mandate participation by designated members in scheduled testing of the operation of their business continuity and disaster recovery plans, including backup systems, and to coordinate such testing on an industry- or sector-wide basis with other SCI entities; (3) take corrective action with respect to ``SCI events'' (such as systems disruptions, systems compliance issues, and systems intrusions), and to notify the Commission of such events; (4) disseminate information about certain SCI events to affected members and, for certain ``major'' SCI events, to all members; and (5) review their systems by objective, qualified personnel at least annually, to submit quarterly reports regarding completed, ongoing, and planned material changes to their SCI systems to the Commission, and to maintain certain books and records.\6\ --------------------------------------------------------------------------- \6\ Id. --------------------------------------------------------------------------- In accordance with Rule 1004 of Regulation SCI, the Exchange amended Rule 803 and Rule 1903, which was incorporated by reference into ISE Gemini's Rulebook, in 2015 to designate all PMMs \7\ and Linkage Handlers,\8\ as the minimum necessary for the maintenance of a fair and orderly market should the Exchange's DR Plans be activated.\9\ The Exchange also mandated participation by designated members in scheduled functional and performance testing of the operation of such DR Plans.\10\ --------------------------------------------------------------------------- \7\ A PMM posts two-sided continuous quotations in all of the options classes to which it is appointed and undertakes special responsibilities for maintaining fair and orderly markets. PMM memberships are represented by PMM Trading Rights. The options classes trading on ISE Gemini are divided into groups or ``bins'', each with one PMM. One PMM member may, however, represent more than one bin. \8\ A Linkage Handler is a broker that is unaffiliated with the Exchange with which the Exchange has contracted with to provide routing services, by routing certain orders, to other exchanges as agent in connection with the Options Order Protection and Locked/ Crossed Market Plan. See .03 to Supplementary Material to Rule 1901. \9\ Securities Exchange Act Release No. 76331 (November 3, 2015), 80 FR 69266 (November 9, 2015), SR-ISE Gemini-2015-23 and .02 of Supplementary Material to Rule 803. \10\ Id. --------------------------------------------------------------------------- The Exchange has reevaluated its designation of all PMMs as the minimum necessary for the maintenance of a fair and orderly market should the Exchange's DR Plans be activated and now believes that designating all PMMs is more than the minimum necessary to maintain a fair and orderly market should its DR Plans be activated. The Exchange proposes to revise Rule 803 and limit mandatory participation in scheduled functional and performance testing, under Regulation SCI and Rule 803, to those PMMs that contribute a meaningful percentage of the Exchange's overall volume, measured on a quarterly or monthly basis. The Exchange proposes to consider other factors in determining which PMMs will be required to participate in scheduled functional and performance testing, including average daily volume traded on the Exchange measured on a quarterly or monthly basis, or PMMs that collectively account for a certain percentage of market share on the Exchange or within a specific product. The Exchange represents that it will publish the criteria \11\ to be used by the Exchange to determine which PMMs will be required to participate in such testing, and notify those PMMs that are required to participate based on such criteria. --------------------------------------------------------------------------- \11\ This criteria will be published by the Exchange, in a regulatory information circular, no later than the effective date of this rule filing. --------------------------------------------------------------------------- The Exchange notes that it encourages all PMMs to connect to the Exchange's backup systems and to participate in testing of such systems. However, in revising the requirements in proposed Rule 803, the rule will subject only those PMMs to mandatory testing that the Exchange believes are, taken as a whole, the minimum necessary to maintain fair and orderly markets. The Exchange believes that designating PMMs to participate in mandatory testing because they, for example, account for a significant portion of the Exchange's overall volume or collectively account for a certain percentage of market share on the Exchange is a reasonable means to ensure the maintenance of a fair and orderly market on the Exchange should its DR Plans be activated. 2. Statutory Basis The Exchange believes that the proposed rule change is consistent with the requirements of the Act, and the rules and regulations thereunder that are applicable to a national securities exchange, and, in particular, with the requirements of section 6(b) of the Act.\12\ In particular, the proposal is consistent with section 6(b)(5) of the Act,\13\ because it is designed to promote just and equitable principles of trade, remove impediments to and perfect the mechanisms of a free and open market and a national market system and, in general, to protect investors and the public interest. --------------------------------------------------------------------------- \12\ 15 U.S.C. 78f(b). \13\ 15 U.S.C. 78f(b)(5). --------------------------------------------------------------------------- The Exchange believes the proposed rule revision is consistent with the Exchange Act because it complies with Regulation SCI's requirements. ISE Gemini's proposed rule designates only those PMMs it determines are necessary for the maintenance of a fair and orderly market if the Exchange's DR Plans are activated. Additionally, the proposal will ensure that the PMMs necessary to ensure the maintenance of a fair and orderly market are properly designated consistent with Rule 1004 of Regulation SCI. Specifically, as proposed, the Exchange will adopt clear and objective [[Page 13866]] criteria with respect to the designation of PMMs that are required to participate in the testing of the Exchange's DR Plans, as well as appropriate notification regarding such designation. As set forth in the SCI Adopting Release, ``SROs have the authority, and legal responsibility, under section 6 of the Exchange Act, to adopt and enforce rules (including rules to comply with Regulation SCI's requirements relating to [business continuity and disaster recovery] testing) applicable to their members or participants that are designed to, among other things, foster cooperation and coordination with persons engaged in regulating, clearing, settling, processing information with respect to, and facilitating transactions in securities, to remove impediments to and perfect the mechanism of a free and open market and a national market system, and, in general, to protect investors and the public interest.'' \14\ The Exchange believes that this proposal is consistent with such authority and legal responsibility. --------------------------------------------------------------------------- \14\ See SCI Adopting Release, supra note 4 at 72350. --------------------------------------------------------------------------- B. Self-Regulatory Organization's Statement on Burden on Competition This proposed rule change does not impose any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Exchange Act because ISE Gemini is implementing the requirements of Regulation SCI. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others The Exchange has neither solicited nor received written comments on this proposed rule change. The Exchange has not received any written comments from members or other interested parties. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Because the foregoing proposed rule change does not significantly affect the protection of investors or the public interest, does not impose any significant burden on competition, and, by its terms, does not become operative for 30 days from the date on which it was filed, or such shorter time as the Commission may designate, it has become effective pursuant to section 19(b)(3)(A) of the Act \15\ and Rule 19b- 4(f)(6) thereunder.\16\ The Exchange provided the Commission with written notice of its intent to file the proposed rule change, along with a brief description and text of the proposed rule change, at least five business days prior to the date of filing the proposed rule change, or such shorter time as designated by the Commission, as required by Rule 19b-4(f)(6). --------------------------------------------------------------------------- \15\ 15 U.S.C. 78s(b)(3)(A). \16\ 17 CFR 240.19b-4(f)(6). --------------------------------------------------------------------------- At any time within 60 days of the filing of such proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act. If the Commission takes such action, the Commission shall institute proceedings to determine whether the proposed rule should be approved or disapproved. IV. Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods: Electronic CommentsUse the Commission's Internet comment form http://www.sec.gov/rules/sro.shtml; or Send an email to [email protected]. Please include File No. SR-ISE Gemini-2016-02 on the subject line. Paper Comments Send paper comments in triplicate to Brent J. Fields, Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090. All submissions should refer to File Number SR-ISE Gemini-2016-02. This file number should be included on the subject line if email is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commissions Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for Web site viewing and printing in the Commission's Public Reference Room, 100 F Street NE., Washington, DC 20549, on official business days between the hours of 10:00 a.m. and 3:00 p.m. Copies of such filing also will be available for inspection and copying at the principal office of the Exchange. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR-ISE Gemini-2016-02 and should be submitted by April 5, 2016. --------------------------------------------------------------------------- \17\ 17 CFR 200.30-3(a)(12). For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.\17\ Robert W. Errett, Deputy Secretary. [FR Doc. 2016-05755 Filed 3-14-16; 8:45 am] BILLING CODE 8011-01-P
![13864 Federal Register / Vol. 81, No. 50 / Tuesday, March 15, 2016 / Notices
maintain their competitive standing in Paper Comments SECURITIES AND EXCHANGE
the financial markets. Additionally, COMMISSION
Members may opt to disfavor the • Send paper comments in triplicate
to Secretary, Securities and Exchange [Release No. 34–77334; File No. SR–ISE
Exchange’s pricing if they believe that
Commission, 100 F Street NE., Gemini–2016–02]
alternatives offer them better value.
Accordingly, the Exchange does not Washington, DC 20549–1090. Self-Regulatory Organizations; ISE
believe that the proposed changes to the All submissions should refer to File Gemini, LLC; Notice of Filing and
Exchange’s tiered pricing structure Number SR–BATS–2016–26. This file Immediate Effectiveness of Proposed
burdens competition, but instead, number should be included on the Rule Change To Limit Mandatory
enhances competition as it is intended Participation in Scheduled Functional
subject line if email is used. To help the
to increase the competitiveness of the and Performance Testing Under
Commission process and review your
Exchange. Also, the Exchange believes Regulation SCI to Only Those Primary
that the price changes contribute to, comments more efficiently, please use
only one method. The Commission will Market Makers That Meet Specified
rather than burden competition, as such Criteria
changes are broadly intended to post all comments on the Commission’s
incentivize participants to increase their Internet Web site (http://www.sec.gov/ March 9, 2016.
participation on the Exchange, which rules/sro.shtml). Copies of the Pursuant to section 19(b)(1) of the
will increase the liquidity and market submission, all subsequent Securities Exchange Act of 1934 (the
quality on the Exchange, which will amendments, all written statements ‘‘Act’’),1 and Rule 19b–4 thereunder,2
then further enhance the Exchange’s with respect to the proposed rule notice is hereby given that on February
ability to compete with other exchanges. change that are filed with the 26, 2016, ISE Gemini, LLC (the
Commission, and all written ‘‘Exchange’’ or the ‘‘ISE Gemini’’) filed
(C) Self-Regulatory Organization’s
communications relating to the with the Securities and Exchange
Statement on Comments on the
proposed rule change between the Commission the proposed rule change
Proposed Rule Change Received From
Commission and any person, other than as described in Items I, II, and III below,
Members, Participants or Others
those that may be withheld from the which Items have been prepared by the
The Exchange has not solicited, and public in accordance with the self-regulatory organization. The
does not intend to solicit, comments on provisions of 5 U.S.C. 552, will be Commission is publishing this notice to
this proposed rule change. The available for Web site viewing and solicit comments on the proposed rule
Exchange has not received any written printing in the Commission’s Public change from interested persons.
comments from members or other Reference Room, 100 F Street NE., I. Self-Regulatory Organization’s
interested parties. Washington, DC 20549, on official Statement of the Terms of Substance of
III. Date of Effectiveness of the business days between the hours of the Proposed Rule Change
Proposed Rule Change and Timing for 10:00 a.m. and 3:00 p.m. Copies of such The Exchange proposes to amend
Commission Action filing will also be available for Rule 803, Obligations of Market Makers,
inspection and copying at the principal to limit mandatory participation in
The foregoing rule change has become
office of the Exchange. All comments scheduled functional and performance
effective pursuant to Section 19(b)(3)(A)
received will be posted without change; testing, under Regulation Systems
of the Act 15 and paragraph (f) of Rule
19b–4 thereunder.16 At any time within the Commission does not edit personal Compliance and Integrity (‘‘Regulation
60 days of the filing of the proposed rule identifying information from SCI’’),3 to those Primary Market Makers
change, the Commission summarily may submissions. You should submit only (‘‘PMMs’’) that contribute a meaningful
temporarily suspend such rule change if information that you wish to make percentage of the Exchange’s overall
it appears to the Commission that such available publicly. All submissions volume, measured on a quarterly or
action is necessary or appropriate in the should refer to File Number SR–BATS– monthly basis. The Exchange proposes
public interest, for the protection of 2016–26 and should be submitted on or to also consider other factors in
investors, or otherwise in furtherance of before April 5, 2016. determining the PMMs that will be
the purposes of the Act. For the Commission, by the Division of
required to participate in scheduled
Trading and Markets, pursuant to delegated functional and performance testing of
IV. Solicitation of Comments the Exchange’s business continuity and
authority.17
Interested persons are invited to disaster recovery plans (collectively
Robert W. Errett,
submit written data, views, and ‘‘DR Plans’’), including average daily
Deputy Secretary. volume traded on the Exchange
arguments concerning the foregoing,
[FR Doc. 2016–05751 Filed 3–14–16; 8:45 am] measured on a quarterly or monthly
including whether the proposed rule
change is consistent with the Act. BILLING CODE 8011–01–P basis, or PMMs that collectively account
Comments may be submitted by any of for a certain percentage of market share
the following methods: on the Exchange or within a specific
product. In addition, the Exchange
Electronic Comments proposes to publish the criteria to be
• Use the Commission’s Internet used by the Exchange to determine
asabaliauskas on DSK3SPTVN1PROD with NOTICES
comment form (http://www.sec.gov/ which PMMs will be required to
rules/sro.shtml); or participate in such testing, and notify
• Send an email to rule-comments@ those PMMs that are required to
sec.gov. Please include File Number SR– 1 15 U.S.C. 78s(b)(1).
BATS–2016–26 on the subject line. 2 17 CFR 240.19b–4.
3 See Securities Exchange Act Release No. 73639
15 15 U.S.C. 78s(b)(3)(A). (November 19, 2014), 79 FR 72252 (December 5,
16 17 CFR 240.19b–4(f). 17 17 CFR 200.30–3(a)(12). 2014) (‘‘SCI Adopting Release’’).
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![13866 Federal Register / Vol. 81, No. 50 / Tuesday, March 15, 2016 / Notices
criteria with respect to the designation provided the Commission with written Washington, DC 20549, on official
of PMMs that are required to participate notice of its intent to file the proposed business days between the hours of
in the testing of the Exchange’s DR rule change, along with a brief 10:00 a.m. and 3:00 p.m. Copies of such
Plans, as well as appropriate description and text of the proposed filing also will be available for
notification regarding such designation. rule change, at least five business days inspection and copying at the principal
As set forth in the SCI Adopting prior to the date of filing the proposed office of the Exchange. All comments
Release, ‘‘SROs have the authority, and rule change, or such shorter time as received will be posted without change;
legal responsibility, under section 6 of designated by the Commission, as the Commission does not edit personal
the Exchange Act, to adopt and enforce required by Rule 19b–4(f)(6). identifying information from
rules (including rules to comply with At any time within 60 days of the submissions. You should submit only
Regulation SCI’s requirements relating filing of such proposed rule change, the information that you wish to make
to [business continuity and disaster Commission summarily may available publicly. All submissions
recovery] testing) applicable to their temporarily suspend such rule change if should refer to File Number SR–ISE
members or participants that are it appears to the Commission that such Gemini–2016–02 and should be
designed to, among other things, foster action is necessary or appropriate in the submitted byApril 5, 2016.
cooperation and coordination with public interest, for the protection of
investors, or otherwise in furtherance of For the Commission, by the Division of
persons engaged in regulating, clearing,
the purposes of the Act. If the Trading and Markets, pursuant to delegated
settling, processing information with
Commission takes such action, the authority.17
respect to, and facilitating transactions
in securities, to remove impediments to Commission shall institute proceedings Robert W. Errett,
and perfect the mechanism of a free and to determine whether the proposed rule Deputy Secretary.
open market and a national market should be approved or disapproved. [FR Doc. 2016–05755 Filed 3–14–16; 8:45 am]
system, and, in general, to protect IV. Solicitation of Comments BILLING CODE 8011–01–P
investors and the public interest.’’ 14
The Exchange believes that this Interested persons are invited to
proposal is consistent with such submit written data, views, and
SECURITIES AND EXCHANGE
authority and legal responsibility. arguments concerning the foregoing,
COMMISSION
including whether the proposed rule
B. Self-Regulatory Organization’s change is consistent with the Act.
Statement on Burden on Competition Comments may be submitted by any of [Release No. 34–77329; File No. SR–EDGX–
the following methods: 2016–16]
This proposed rule change does not
impose any burden on competition that Electronic Comments Self-Regulatory Organizations; Bats
is not necessary or appropriate in
• Use the Commission’s Internet EDGX Exchange, Inc. f/k/a EDGX
furtherance of the purposes of the Exchange, Inc.; Notice of Filing and
comment form http://www.sec.gov/
Exchange Act because ISE Gemini is Immediate Effectiveness of a Proposed
rules/sro.shtml; or
implementing the requirements of • Send an email to rule-comments@ Rule Change Related to Fees as they
Regulation SCI. sec.gov. Please include File No. SR–ISE Apply to the Equity Options Platform.
C. Self-Regulatory Organization’s Gemini–2016–02 on the subject line.
March 9, 2016.
Statement on Comments on the Paper Comments
Proposed Rule Change Received From Pursuant to Section 19(b)(1) of the
Members, Participants or Others • Send paper comments in triplicate Securities Exchange Act of 1934 (the
to Brent J. Fields, Secretary, Securities ‘‘Act’’),1 and Rule 19b–4 thereunder,2
The Exchange has neither solicited and Exchange Commission, 100 F Street notice is hereby given that on March 1,
nor received written comments on this NE., Washington, DC 20549–1090. 2016, Bats EDGX Exchange, Inc. f/k/a
proposed rule change. The Exchange All submissions should refer to File EDGX Exchange, Inc. (the ‘‘Exchange’’
has not received any written comments Number SR–ISE Gemini–2016–02. This or ‘‘EDGX’’) filed with the Securities
from members or other interested file number should be included on the
parties. and Exchange Commission
subject line if email is used. To help the (‘‘Commission’’) the proposed rule
III. Date of Effectiveness of the Commission process and review your change as described in Items I, II and III
Proposed Rule Change and Timing for comments more efficiently, please use below, which Items have been prepared
Commission Action only one method. The Commission will by the Exchange. The Exchange has
post all comments on the Commissions designated the proposed rule change as
Because the foregoing proposed rule
Internet Web site (http://www.sec.gov/ one establishing or changing a member
change does not significantly affect the
rules/sro.shtml). Copies of the due, fee, or other charge imposed by the
protection of investors or the public
submission, all subsequent Exchange under Section 19(b)(3)(A)(ii)
interest, does not impose any significant
amendments, all written statements of the Act 3 and Rule 19b–4(f)(2)
burden on competition, and, by its
with respect to the proposed rule thereunder,4 which renders the
terms, does not become operative for 30
change that are filed with the proposed rule change effective upon
days from the date on which it was
Commission, and all written filing with the Commission. The
filed, or such shorter time as the
communications relating to the
asabaliauskas on DSK3SPTVN1PROD with NOTICES
Commission may designate, it has Commission is publishing this notice to
proposed rule change between the solicit comments on the proposed rule
become effective pursuant to section
Commission and any person, other than change from interested persons.
19(b)(3)(A) of the Act 15 and Rule 19b–
those that may be withheld from the
4(f)(6) thereunder.16 The Exchange
public in accordance with the 17 17 CFR 200.30–3(a)(12).
14 See SCI Adopting Release, supra note 4 at
provisions of 5 U.S.C. 552, will be 1 15 U.S.C. 78s(b)(1).
72350. available for Web site viewing and 2 17 CFR 240.19b–4.
15 15 U.S.C. 78s(b)(3)(A). printing in the Commission’s Public 3 15 U.S.C. 78s(b)(3)(A)(ii).
16 17 CFR 240.19b–4(f)(6). Reference Room, 100 F Street NE., 4 17 CFR 240.19b–4(f)(2).
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Document Created: 2016-03-15 04:07:22
Document Modified: 2016-03-15 04:07:22
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
| Publisher | Office of the Federal Register, National Archives and Records Administration | |
| Section | Notices | |
| FR Citation | 81 FR 13864 |
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