81 FR 21933 - Self-Regulatory Organizations; ISE Mercury; Notice of Filing 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 71 (April 13, 2016)
Federal Register Volume 81, Issue 71 (April 13, 2016)
| Page Range | 21933-21935 | |
| FR Document | 2016-08428 |
[Federal Register Volume 81, Number 71 (Wednesday, April 13, 2016)] [Notices] [Pages 21933-21935] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2016-08428] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-77556; File No. SR-ISE Mercury-2016-08] Self-Regulatory Organizations; ISE Mercury; Notice of Filing 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 April 7, 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 March 31, 2016, ISE Mercury, LLC (the ``Exchange'' or ``ISE Mercury'') 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 [[Page 21934]] 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 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 Mercury. 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 adopted Rules 803 and 1903 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 Mercury 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\ On January 8, 2016, ISE Mercury submitted Amendment No. 2 to the Form 1 Application, which included an amended Rule 803 to comply with the requirements of Regulation SCI. ISE Mercury's amended Rule 803 followed the rule filings by ISE Mercury's affiliated exchanges, International Securities Exchange, LLC and ISE Gemini, LLC, which amended Rule 803 to comply with the requirements of Regulation SCI. See Exchange Act Release No. 76334 (November 3, 2015) 80 FR 69258 (November 9, 2015) (SR-ISE-2015-35) and Exchange Act Release No. 76332 (November 3, 2015), 80 FR 69266 (November 9, 2015) (SR-ISE Gemini-2015-23). \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 ISE Mercury 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). --------------------------------------------------------------------------- [[Page 21935]] The Exchange believes the proposed rule revision is consistent with the Exchange Act because it complies with Regulation SCI's requirements. ISE Mercury'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 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 Mercury 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 Mercury-2016-08 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 Mercury-2016-08. 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 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 Mercury-2016-08 and should be submitted by May 4, 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. 2016-08428 Filed 4-12-16; 8:45 am] BILLING CODE 8011-01-P
![Federal Register / Vol. 81, No. 71 / Wednesday, April 13, 2016 / Notices 21933
concerning the securities of each of the Exchange Commission has their registered agent with an
issuers detailed below because independently endeavored to determine operational address. The staff of the
questions have arisen as to their whether any of the issuers below are Securities and Exchange Commission
operating status, if any. Each of the operating. Each of the issuers below also determined that none of the issuers
issuers below is quoted on OTC Link either confirmed that they were no below has filed any information with
operated by OTC Markets Group, Inc. longer operating or were now private OTC Markets Group, Inc. or the
OTC Markets Group, Inc., however, has companies, failed to respond to the Securities and Exchange Commission
been unable to contact each of these Commission’s inquiry about their for the past year.
issuers for more than one year. In operating status, did not have an
addition, the staff of the Securities and operational address, or failed to provide
Information
Issuer Ticker regarding
operating status *
1. Business Marketing Services, Inc ............................................................................................................................. BMSV 1
2. Diversified Corporate Resources, Inc ....................................................................................................................... HIRD 1
3. Great Lakes Recreation Co ...................................................................................................................................... GLRC 1
4. Green Nature USA, Inc ............................................................................................................................................. GRTU 1
5. Green St. Energy, Inc ............................................................................................................................................... GSTY 1
6. International Total Services, Inc ............................................................................................................................... ITSW 2
7. J.P. Cabot Realty, Inc ............................................................................................................................................... JPCB 1
8. Multicom Publishing .................................................................................................................................................. MNET 1
9. Pan American Resources, Inc .................................................................................................................................. PNAR 1
10. Printron, Inc ............................................................................................................................................................. PRNI 1
11. Seaboard Associates, Inc ....................................................................................................................................... SAOA 1
12. Sona Mobile Holdings Group, Ltd ........................................................................................................................... SNMBQ 1
13. Standard Holdings Group, Ltd ................................................................................................................................ SNDH 2
14. TraceGuard Technologies, Inc ................................................................................................................................ TCGD 1
15. Tradings.net, Inc ..................................................................................................................................................... TDNC 1
16. US-Worldlink.com, Inc ............................................................................................................................................. USWL 1
17. Versadial, Inc .......................................................................................................................................................... VSDL 1
18. Voxcorp, Inc ............................................................................................................................................................ VOXR 1
19. W3OTC, Inc ............................................................................................................................................................ WOTC 1
* Below are explanations for each of the codes used in the above table:
1=The Securities and Exchange Commission attempted to contact the issuer and either the Commission did not receive a response to its let-
ter, the letters were returned as undeliverable, or the registered agent responded that they had no forwarding address for the issuer.
2=The Securities and Exchange Commission was able to contact the issuer, which informed the Commission that either the issuer was no
longer operating or was now a private company.
The Commission is of the opinion that SECURITIES AND EXCHANGE solicit comments on the proposed rule
the public interest and the protection of COMMISSION change from interested persons.
investors require a suspension of trading I. Self-Regulatory Organization’s
in the securities of the above-listed [Release No. 34–77556; File No. SR–ISE
Mercury–2016–08] Statement of the Terms of Substance of
companies. the Proposed Rule Change
Therefore, it is ordered, pursuant to Self-Regulatory Organizations; ISE The Exchange proposes to amend
Section 12(k) of the Securities Exchange Mercury; Notice of Filing of Proposed Rule 803, Obligations of Market Makers,
Act of 1934, that trading in the Rule Change To Limit Mandatory to limit mandatory participation in
securities of the above-listed companies Participation in Scheduled Functional scheduled functional and performance
is suspended for the period from 9:30 and Performance Testing Under testing, under Regulation Systems
a.m. EDT on April 11, 2016, through Regulation SCI to Only Those Primary Compliance and Integrity (‘‘Regulation
11:59 p.m. EDT on April 22, 2016. Market Makers That Meet Specified SCI’’),3 to those Primary Market Makers
By the Commission.
Criteria (‘‘PMMs’’) that contribute a meaningful
percentage of the Exchange’s overall
Jill M. Peterson, April 7, 2016.
volume, measured on a quarterly or
Assistant Secretary. Pursuant to section 19(b)(1) of the monthly basis. The Exchange proposes
[FR Doc. 2016–08611 Filed 4–11–16; 4:15 pm] Securities Exchange Act of 1934 (the to also consider other factors in
BILLING CODE 8011–01–P
‘‘Act’’),1 and Rule 19b–4 thereunder,2 determining the PMMs that will be
notice is hereby given that on March 31, required to participate in scheduled
2016, ISE Mercury, LLC (the functional and performance testing of
‘‘Exchange’’ or ‘‘ISE Mercury’’) filed the Exchange’s business continuity and
with the Securities and Exchange
asabaliauskas on DSK3SPTVN1PROD with NOTICES
disaster recovery plans (collectively
Commission the proposed rule change ‘‘DR Plans’’), including average daily
as described in Items I, II, and III below, volume traded on the Exchange
which Items have been prepared by the measured on a quarterly or monthly
self-regulatory organization. The basis, or PMMs that collectively account
Commission is publishing this notice to
3 See Securities Exchange Act Release No. 73639
1 15 U.S.C. 78s(b)(1). (November 19, 2014), 79 FR 72252 (December 5,
2 17 CFR 240.19b–4. 2014) (‘‘SCI Adopting Release’’).
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![Federal Register / Vol. 81, No. 71 / Wednesday, April 13, 2016 / Notices 21935
The Exchange believes the proposed III. Date of Effectiveness of the only one method. The Commission will
rule revision is consistent with the Proposed Rule Change and Timing for post all comments on the Commissions
Exchange Act because it complies with Commission Action Internet Web site (http://www.sec.gov/
Regulation SCI’s requirements. ISE Because the foregoing proposed rule rules/sro.shtml). Copies of the
Mercury’s proposed rule designates only change does not significantly affect the submission, all subsequent
those PMMs it determines are necessary protection of investors or the public amendments, all written statements
for the maintenance of a fair and orderly interest, does not impose any significant with respect to the proposed rule
market if the Exchange’s DR Plans are burden on competition, and, by its change that are filed with the
activated. Additionally, the proposal terms, does not become operative for 30 Commission, and all written
will ensure that the PMMs necessary to days from the date on which it was communications relating to the
ensure the maintenance of a fair and filed, or such shorter time as the proposed rule change between the
Commission may designate, it has Commission and any person, other than
orderly market are properly designated
become effective pursuant to section those that may be withheld from the
consistent with Rule 1004 of Regulation
19(b)(3)(A) of the Act 15 and Rule 19b– public in accordance with the
SCI. Specifically, as proposed, the
4(f)(6) thereunder.16 The Exchange provisions of 5 U.S.C. 552, will be
Exchange will adopt clear and objective available for viewing and printing in the
criteria with respect to the designation provided the Commission with written
notice of its intent to file the proposed Commission’s Public Reference Room,
of PMMs that are required to participate 100 F Street NE., Washington DC 20549,
in the testing of the Exchange’s DR rule change, along with a brief
description and text of the proposed on official business days between the
Plans, as well as appropriate hours of 10:00 a.m. and 3:00 p.m.
notification regarding such designation. rule change, at least five business days
prior to the date of filing the proposed Copies of such filing also will be
As set forth in the SCI Adopting available for inspection and copying at
rule change, or such shorter time as
Release, ‘‘SROs have the authority, and the principal office of the Exchange. All
designated by the Commission, as
legal responsibility, under section 6 of required by Rule 19b–4(f)(6). comments received will be posted
the Exchange Act, to adopt and enforce At any time within 60 days of the without change; the Commission does
rules (including rules to comply with filing of such proposed rule change, the not edit personal identifying
Regulation SCI’s requirements relating Commission summarily may information from submissions. You
to [business continuity and disaster temporarily suspend such rule change if should submit only information that
recovery] testing) applicable to their it appears to the Commission that such you wish to make available publicly. All
members or participants that are action is necessary or appropriate in the submissions should refer to File
designed to, among other things, foster public interest, for the protection of Number SR–ISE Mercury–2016–08 and
cooperation and coordination with investors, or otherwise in furtherance of should be submitted by May 4, 2016.
persons engaged in regulating, clearing, the purposes of the Act. If the For the Commission, by the Division of
settling, processing information with Commission takes such action, the Trading and Markets, pursuant to delegated
respect to, and facilitating transactions Commission shall institute proceedings authority.17
in securities, to remove impediments to to determine whether the proposed rule Robert W. Errett,
and perfect the mechanism of a free and should be approved or disapproved. Deputy Secretary.
open market and a national market IV. Solicitation of Comments [FR Doc. 2016–08428 Filed 4–12–16; 8:45 am]
system, and, in general, to protect BILLING CODE 8011–01–P
investors and the public interest.’’ 14 Interested persons are invited to
submit written data, views, and
The Exchange believes that this
arguments concerning the foregoing, SECURITIES AND EXCHANGE
proposal is consistent with such
including whether the proposed rule COMMISSION
authority and legal responsibility.
change is consistent with the Act.
Comments may be submitted by any of [Release No. 34–77557; File No. SR–Phlx–
B. Self-Regulatory Organization’s 2016–40]
Statement on Burden on Competition the following methods:
Electronic Comments Self-Regulatory Organizations;
This proposed rule change does not NASDAQ PHLX LLC; Notice of Filing
impose any burden on competition that • Use the Commission’s Internet and Immediate Effectiveness of
is not necessary or appropriate in comment form http://www.sec.gov/ Proposed Rule Change Relating to
furtherance of the purposes of the rules/sro.shtml); or PIXL
Exchange Act because ISE Mercury is • Send an Email to rule-comments@
implementing the requirements of sec.gov. Please include File No. SR–ISE April 7, 2016.
Regulation SCI. Mercury–2016–08 on the subject line. Pursuant to Section 19(b)(1) of the
Paper Comments Securities Exchange Act of 1934
C. Self-Regulatory Organization’s (‘‘Act’’),1 and Rule 19b–4 thereunder,2
Statement on Comments on the • Send paper comments in triplicate notice is hereby given that on March 24,
Proposed Rule Change Received From to Brent J. Fields, Secretary, Securities 2016, NASDAQ PHLX LLC (‘‘Phlx’’ or
Members, Participants or Others and Exchange Commission, 100 F Street ‘‘Exchange’’) filed with the Securities
NE., Washington, DC 20549–1090. and Exchange Commission (‘‘SEC’’ or
The Exchange has neither solicited
asabaliauskas on DSK3SPTVN1PROD with NOTICES
All submissions should refer to File ‘‘Commission’’) the proposed rule
nor received written comments on this Number SR–ISE Mercury–2016–08. This change as described in Items I and II
proposed rule change. The Exchange file number should be included on the below, which Items have been prepared
has not received any written comments subject line if email is used. To help the by the Exchange. The Commission is
from members or other interested Commission process and review your publishing this notice to solicit
parties. comments more efficiently, please use
17 17 CFR 200.30–3(a)(12).
14 See 15 15 U.S.C. 78s(b)(3)(A). 1 15 U.S.C. 78s(b)(1).
SCI Adopting Release, supra note 4 at
72350. 16 17 CFR 240.19b–4(f)(6). 2 17 CFR 240.19b–4.
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Document Created: 2016-04-13 03:10:36
Document Modified: 2016-04-13 03:10:36
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
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| FR Citation | 81 FR 21933 |
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