81_FR_22406 81 FR 22333 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Partial Amendment No. 1 to Proposed Rule Change Relating to Proposed Rule Change To Adopt FINRA Capital Acquisition Broker Rules

81 FR 22333 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Partial Amendment No. 1 to Proposed Rule Change Relating to Proposed Rule Change To Adopt FINRA Capital Acquisition Broker Rules

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 81, Issue 73 (April 15, 2016)

Page Range22333-22334
FR Document2016-08646

Federal Register, Volume 81 Issue 73 (Friday, April 15, 2016)
[Federal Register Volume 81, Number 73 (Friday, April 15, 2016)]
[Notices]
[Pages 22333-22334]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-08646]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-77581; File No. SR-FINRA-2015-054]


Self-Regulatory Organizations; Financial Industry Regulatory 
Authority, Inc.; Notice of Filing of Partial Amendment No. 1 to 
Proposed Rule Change Relating to Proposed Rule Change To Adopt FINRA 
Capital Acquisition Broker Rules

April 11, 2016.

I. Introduction

    On December 4, 2015, Financial Industry Regulatory Authority, Inc. 
(``FINRA'') filed with the Securities and Exchange Commission (the 
``Commission'' or ``SEC'') proposed rule change SR-FINRA-2015-054, 
pursuant to which FINRA proposed to adopt a rule set that would apply 
exclusively to firms that meet the definition of ``capital acquisition 
broker'' and that elect to be governed under this rule set 
(collectively, the ``CAB Rules'').
    The Commission published the proposed rule change for public 
comment in the Federal Register on December 23, 2015.\1\ The Commission 
received 17 comment letters in response to the proposed rule change.\2\ 
On January 28, 2016, FINRA extended the time period in which the 
Commission must approve the proposed rule change, disapprove the 
proposed rule change or institute proceedings to determine whether to 
approve or disapprove the proposed rule change to March 22, 2016.
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    \1\ Securities Exchange Act Release No. 76675 (December 17, 
2015), 80 FR 79969 (December 23, 2015) (Notice of Filing of File No. 
SR-FINRA-2015-054) (``Notice of Filing'').
    \2\ Letters from Peter W. LaVigne, Esq., Chair, Securities 
Regulation Committee, Business Law Section, New York State Bar 
Association, dated January 22, 2016; Judith M. Shaw, President, 
North American Securities Administrators Association, Inc., dated 
January 15, 2016; Timothy Cahill, President, Compass Securities 
Corporation, dated January 13, 2016; Mark Fairbanks, President, 
Foreside Distributors, dated January 13, 2016; Dan Glusker, Perkins 
Fund Marketing, LLC, dated January 13, 2016; Steven Jafarzadeh, 
CAIA, Managing Director, CCO Partner, Stonehaven, dated January 13, 
2016; Richard A. Murphy, Manager, North Bridge Capital LLC, dated 
January 13, 2016; Ron Oldenkamp, President, Genesis Marketing Group, 
dated January 13, 2016; Michael S. Quinn, Member and CCO, Q Advisors 
LLC, dated January 13, 2016; Lisa Roth, President, Monahan & Roth, 
LLC, dated January 13, 2016; Howard Spindel, Senior Managing 
Director, and Cassondra E. Joseph, Managing Director, Integrated 
Management Solutions USA LLC, dated January 13, 2016; Sajan K. 
Thomas, President, and Stephen J. Myott, Chief Compliance Officer, 
Thomas Capital Group, Inc., dated January 13, 2016; Donna DiMaria, 
Chairman of the Board of Directors, and Lisa Roth, Board of 
Directors, Third Party Marketers Association, dated January 12, 
2016; Frank P. L. Minard, Managing Partner, XT Capital Partners, 
LLC, dated January 12, 2016; Arne Rovell, Coronado Investments, LLC, 
dated January 6, 2016; Daniel H. Kolber, President/CEO, Intellivest 
Securities, Inc., dated December 30, 2016; and Roger W. Mehle, 
Chairman and CEO, Archates Capital Advisors LLC, dated December 29, 
2015.
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    On March 23, 2016, the Commission published in the Federal Register 
an order to solicit comments on the proposed rule change and to 
institute proceedings pursuant to Section 19(b)(2)(B) of the Securities 
Exchange Act of 1934 (``Exchange Act'') \3\ to determine whether to 
approve or disapprove the proposed rule change.\4\
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    \3\ 15 U.S.C. 78s(b)(2)(B).
    \4\ Securities Exchange Act Release No. 77391 (March 17, 2016), 
81 FR 15588 (March 23, 2016) (Order Instituting Proceedings To 
Determine Whether to Approve or Disapprove Proposed Rule Change to 
Adopt FINRA Capital Acquisition Broker Rules on File No. SR-FINRA-
2015-054).
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    As described further below, on March 29, 2016 FINRA filed a partial 
amendment to its proposed rule change in response to comments on the 
Notice of Filing.

II. Self-Regulatory Organization's Statement of the Terms of Substance 
of the Proposed Amendment

    In response to comments on the Notice of Filing, FINRA filed a 
Partial Amendment No. 1 to amend proposed CAB Rule 016(c)(2) to clarify 
that the definition of ``capital acquisition broker'' does not include 
any broker or dealer that effects securities transactions that would 
require the broker or dealer to report the transaction under the FINRA 
Rules 6300 Series, 6400 Series, 6500 Series, 6600 Series, 6700 Series, 
7300 Series or 7400 Series. With this Partial Amendment No. 1, FINRA 
filed: (1) Exhibit 4, which reflects changes to the text of the 
proposed rule change pursuant to this Partial Amendment No. 1, marked 
to show additions to the text as proposed in the original filing; and 
(2) Exhibit 5, which reflects the changes to the current rule text that 
are proposed in the proposed rule change, as amended by this Partial 
Amendment No. 1.

III. Date of Effectiveness of the Proposed Rule Change as Modified by 
Partial Amendment No.1 and Timing for Commission Action

    Within 180 days after the date of publication of the initial Notice 
of Filing in the Federal Register or within such longer period up to an 
additional 60 days (i) as the Commission may designate if it finds such 
longer period to be appropriate and publishes its reasons for so 
finding or (ii) as to which the self-regulatory organization consents, 
the Commission will issue an

[[Page 22334]]

order approving or disapproving such proposed rule change, as amended.

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views and 
arguments concerning the foregoing, including whether the proposed rule 
change, as amended by Partial Amendment No. 1, is consistent with the 
Exchange Act. Comments may be submitted by any of the following 
methods:

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to rule-comments@sec.gov. Please include 
File Number SR-FINRA-2015-054 on the subject line.

Paper Comments

     Send paper comments in triplicate to Secretary, Securities 
and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090.
All submissions should refer to File Number SR-FINRA-2015-054. 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 Commission's 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 FINRA.
    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-FINRA-2015-054 
and should be submitted on or before May 6, 2016.

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\5\
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    \5\ 17 CFR 200.30-3(a)(12).
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Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016-08646 Filed 4-14-16; 8:45 am]
 BILLING CODE 8011-01-P



                                                                                       Federal Register / Vol. 81, No. 73 / Friday, April 15, 2016 / Notices                                                 22333

                                                    including whether the proposed rule                       SECURITIES AND EXCHANGE                                 must approve the proposed rule change,
                                                    change is consistent with the Act.                        COMMISSION                                              disapprove the proposed rule change or
                                                    Comments may be submitted by any of                                                                               institute proceedings to determine
                                                                                                              [Release No. 34–77581; File No. SR–FINRA–
                                                    the following methods:                                                                                            whether to approve or disapprove the
                                                                                                              2015–054]
                                                                                                                                                                      proposed rule change to March 22,
                                                    Electronic Comments                                                                                               2016.
                                                                                                              Self-Regulatory Organizations;
                                                      • Use the Commission’s Internet                         Financial Industry Regulatory                             On March 23, 2016, the Commission
                                                    comment form (http://www.sec.gov/                         Authority, Inc.; Notice of Filing of                    published in the Federal Register an
                                                    rules/sro.shtml); or                                      Partial Amendment No. 1 to Proposed                     order to solicit comments on the
                                                                                                              Rule Change Relating to Proposed                        proposed rule change and to institute
                                                      • Send an email to rule comments@                                                                               proceedings pursuant to Section
                                                    sec.gov. Please include File No. SR–                      Rule Change To Adopt FINRA Capital
                                                                                                              Acquisition Broker Rules                                19(b)(2)(B) of the Securities Exchange
                                                    BOX–2016–13 on the subject line.                                                                                  Act of 1934 (‘‘Exchange Act’’) 3 to
                                                    Paper Comments                                            April 11, 2016.                                         determine whether to approve or
                                                                                                                                                                      disapprove the proposed rule change.4
                                                                                                              I. Introduction
                                                      • Send paper comments in triplicate                                                                               As described further below, on March
                                                    to Secretary, Securities and Exchange                        On December 4, 2015, Financial                       29, 2016 FINRA filed a partial
                                                    Commission, 100 F Street NE.,                             Industry Regulatory Authority, Inc.                     amendment to its proposed rule change
                                                    Washington, DC 20549–1090.                                (‘‘FINRA’’) filed with the Securities and               in response to comments on the Notice
                                                                                                              Exchange Commission (the                                of Filing.
                                                    All submissions should refer to File No.                  ‘‘Commission’’ or ‘‘SEC’’) proposed rule
                                                    SR–BOX–2016–13. This file number                                                                                  II. Self-Regulatory Organization’s
                                                                                                              change SR–FINRA–2015–054, pursuant
                                                    should be included on the subject line                                                                            Statement of the Terms of Substance of
                                                                                                              to which FINRA proposed to adopt a
                                                    if email is used. To help the                                                                                     the Proposed Amendment
                                                                                                              rule set that would apply exclusively to
                                                    Commission process and review your                        firms that meet the definition of ‘‘capital                In response to comments on the
                                                    comments more efficiently, please use                     acquisition broker’’ and that elect to be               Notice of Filing, FINRA filed a Partial
                                                    only one method. The Commission will                      governed under this rule set                            Amendment No. 1 to amend proposed
                                                    post all comments on the Commission’s                     (collectively, the ‘‘CAB Rules’’).                      CAB Rule 016(c)(2) to clarify that the
                                                    Internet Web site (http://www.sec.gov/                       The Commission published the                         definition of ‘‘capital acquisition
                                                    rules/sro.shtml). Copies of the                           proposed rule change for public                         broker’’ does not include any broker or
                                                    submission, all subsequent                                comment in the Federal Register on                      dealer that effects securities transactions
                                                    amendments, all written statements                        December 23, 2015.1 The Commission                      that would require the broker or dealer
                                                    with respect to the proposed rule                         received 17 comment letters in response                 to report the transaction under the
                                                    change that are filed with the                            to the proposed rule change.2 On                        FINRA Rules 6300 Series, 6400 Series,
                                                    Commission, and all written                               January 28, 2016, FINRA extended the                    6500 Series, 6600 Series, 6700 Series,
                                                    communications relating to the                            time period in which the Commission                     7300 Series or 7400 Series. With this
                                                    proposed rule change between the                                                                                  Partial Amendment No. 1, FINRA filed:
                                                    Commission and any person, other than                       1 Securities Exchange Act Release No. 76675           (1) Exhibit 4, which reflects changes to
                                                    those that may be withheld from the                       (December 17, 2015), 80 FR 79969 (December 23,          the text of the proposed rule change
                                                    public in accordance with the                             2015) (Notice of Filing of File No. SR–FINRA–           pursuant to this Partial Amendment No.
                                                    provisions of 5 U.S.C. 552, will be                       2015–054) (‘‘Notice of Filing’’).
                                                                                                                2 Letters from Peter W. LaVigne, Esq., Chair,
                                                                                                                                                                      1, marked to show additions to the text
                                                    available for Web site viewing and                        Securities Regulation Committee, Business Law           as proposed in the original filing; and
                                                    printing in the Commission’s Public                       Section, New York State Bar Association, dated          (2) Exhibit 5, which reflects the changes
                                                    Reference Room, 100 F Street NE.,                         January 22, 2016; Judith M. Shaw, President, North      to the current rule text that are proposed
                                                    Washington, DC 20549 on official                          American Securities Administrators Association,
                                                                                                              Inc., dated January 15, 2016; Timothy Cahill,
                                                                                                                                                                      in the proposed rule change, as
                                                    business days between the hours of                        President, Compass Securities Corporation, dated        amended by this Partial Amendment
                                                    10:00 a.m. and 3:00 p.m. Copies of such                   January 13, 2016; Mark Fairbanks, President,            No. 1.
                                                    filing also will be available for                         Foreside Distributors, dated January 13, 2016; Dan
                                                    inspection and copying at the principal                   Glusker, Perkins Fund Marketing, LLC, dated             III. Date of Effectiveness of the
                                                    office of the Exchange. All comments                      January 13, 2016; Steven Jafarzadeh, CAIA,              Proposed Rule Change as Modified by
                                                                                                              Managing Director, CCO Partner, Stonehaven, dated       Partial Amendment No.1 and Timing
                                                    received will be posted without change;                   January 13, 2016; Richard A. Murphy, Manager,
                                                    the Commission does not edit personal                     North Bridge Capital LLC, dated January 13, 2016;
                                                                                                                                                                      for Commission Action
                                                    identifying information from                              Ron Oldenkamp, President, Genesis Marketing                Within 180 days after the date of
                                                                                                              Group, dated January 13, 2016; Michael S. Quinn,
                                                    submissions. You should submit only                       Member and CCO, Q Advisors LLC, dated January
                                                                                                                                                                      publication of the initial Notice of Filing
                                                    information that you wish to make                         13, 2016; Lisa Roth, President, Monahan & Roth,         in the Federal Register or within such
                                                    available publicly. All submissions                       LLC, dated January 13, 2016; Howard Spindel,            longer period up to an additional 60
                                                    should refer to File No. SR–BOX–2016–                     Senior Managing Director, and Cassondra E. Joseph,      days (i) as the Commission may
                                                                                                              Managing Director, Integrated Management
                                                    13, and should be submitted on or                         Solutions USA LLC, dated January 13, 2016; Sajan
                                                                                                                                                                      designate if it finds such longer period
                                                    before May 6, 2016.                                       K. Thomas, President, and Stephen J. Myott, Chief       to be appropriate and publishes its
                                                      For the Commission, by the Division of                  Compliance Officer, Thomas Capital Group, Inc.,         reasons for so finding or (ii) as to which
asabaliauskas on DSK3SPTVN1PROD with NOTICES




                                                                                                              dated January 13, 2016; Donna DiMaria, Chairman         the self-regulatory organization
                                                    Trading and Markets, pursuant to delegated                of the Board of Directors, and Lisa Roth, Board of
                                                    authority.29                                              Directors, Third Party Marketers Association, dated
                                                                                                                                                                      consents, the Commission will issue an
                                                    Robert W. Errett,                                         January 12, 2016; Frank P. L. Minard, Managing
                                                                                                                                                                        3 15U.S.C. 78s(b)(2)(B).
                                                                                                              Partner, XT Capital Partners, LLC, dated January 12,
                                                    Deputy Secretary.                                         2016; Arne Rovell, Coronado Investments, LLC,             4 SecuritiesExchange Act Release No. 77391
                                                    [FR Doc. 2016–08645 Filed 4–14–16; 8:45 am]               dated January 6, 2016; Daniel H. Kolber, President/     (March 17, 2016), 81 FR 15588 (March 23, 2016)
                                                    BILLING CODE 8011–01–P
                                                                                                              CEO, Intellivest Securities, Inc., dated December 30,   (Order Instituting Proceedings To Determine
                                                                                                              2016; and Roger W. Mehle, Chairman and CEO,             Whether to Approve or Disapprove Proposed Rule
                                                                                                              Archates Capital Advisors LLC, dated December 29,       Change to Adopt FINRA Capital Acquisition Broker
                                                      29 17   CFR 200.30–3(a)(12).                            2015.                                                   Rules on File No. SR–FINRA–2015–054).



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                                                    22334                              Federal Register / Vol. 81, No. 73 / Friday, April 15, 2016 / Notices

                                                    order approving or disapproving such                        For the Commission, by the Division of               A. Self-Regulatory Organization’s
                                                    proposed rule change, as amended.                         Trading and Markets, pursuant to delegated             Statement of the Purpose of, and
                                                                                                              authority.5                                            Statutory Basis for, the Proposed Rule
                                                    IV. Solicitation of Comments                              Robert W. Errett,                                      Change
                                                      Interested persons are invited to                       Deputy Secretary.
                                                    submit written data, views and                                                                                   1. Purpose
                                                                                                              [FR Doc. 2016–08646 Filed 4–14–16; 8:45 am]
                                                    arguments concerning the foregoing,                       BILLING CODE 8011–01–P
                                                                                                                                                                        The Exchange proposes to amend its
                                                    including whether the proposed rule                                                                              Fees Schedule, effective April 1, 2016.
                                                    change, as amended by Partial                                                                                    Specifically, the Exchange proposes to
                                                    Amendment No. 1, is consistent with                       SECURITIES AND EXCHANGE                                extend the current waiver of the VIX
                                                    the Exchange Act. Comments may be                         COMMISSION                                             Index License Surcharge of $0.10 per
                                                    submitted by any of the following                                                                                contract for Clearing Trading Permit
                                                                                                              [Release No. 34–77575; File No. SR–CBOE–               Holder Proprietary (‘‘Firm’’) (origin
                                                    methods:
                                                                                                              2016–030]
                                                                                                                                                                     codes ‘‘F’’ or ‘‘L’’) VIX orders that have
                                                    Electronic Comments                                                                                              a premium of $0.10 or lower and have
                                                                                                              Self-Regulatory Organizations;
                                                      • Use the Commission’s Internet                         Chicago Board Options Exchange,                        series with an expiration of seven (7)
                                                    comment form (http://www.sec.gov/                         Incorporated; Notice of Filing and                     calendar days or less. The Exchange
                                                    rules/sro.shtml); or                                      Immediate Effectiveness of a Proposed                  adopted the current waiver to reduce
                                                      • Send an email to rule-comments@                                                                              transaction costs on expiring, low-
                                                                                                              Rule To Amend the Fees Schedule
                                                    sec.gov. Please include File Number SR–                                                                          priced VIX options, which the Exchange
                                                    FINRA–2015–054 on the subject line.                       April 11, 2016.                                        believed would encourage Firms to seek
                                                    Paper Comments                                               Pursuant to Section 19(b)(1) of the                 to close and/or roll over such positions
                                                                                                              Securities Exchange Act of 1934 (the                   close to expiration at low premium
                                                       • Send paper comments in triplicate                    ‘‘Act’’),1 and Rule 19b–4 thereunder,2                 levels, including facilitating customers
                                                    to Secretary, Securities and Exchange                     notice is hereby given that on April 1,                to do so, in order to free up capital and
                                                    Commission, 100 F Street NE.,                             2016, Chicago Board Options Exchange,                  encourage additional trading. The
                                                    Washington, DC 20549–1090.                                Incorporated (the ‘‘Exchange’’ or                      Exchange initially proposed to waive
                                                    All submissions should refer to File                      ‘‘CBOE’’) filed with the Securities and                the surcharge through March 31, 2016,
                                                    Number SR–FINRA–2015–054. This file                       Exchange Commission (the                               at which time the Exchange stated that
                                                    number should be included on the                          ‘‘Commission’’) the proposed rule                      it would evaluate whether the wavier
                                                    subject line if email is used. To help the                change as described in Items I, II, and                [sic] has in fact prompted Firms to close
                                                    Commission process and review your                        III below, which Items have been                       and roll over these positions close to
                                                    comments more efficiently, please use                     prepared by the Exchange. The                          expiration as intended. The Exchange
                                                    only one method. The Commission will                      Commission is publishing this notice to                believes the proposed change has in fact
                                                    post all comments on the Commission’s                     solicit comments on the proposed rule                  encouraged Firms to do so and as such,
                                                    Internet Web site (http://www.sec.gov/                    change from interested persons.                        proposes to extend the waiver of the
                                                    rules/sro.shtml). Copies of the                                                                                  surcharge through December 2016, at
                                                    submission, all subsequent                                I. Self-Regulatory Organization’s                      which time the Exchange will
                                                    amendments, all written statements                        Statement of the Terms of Substance of                 reevaluate whether the wavier [sic] has
                                                    with respect to the proposed rule                         the Proposed Rule Change                               continued to prompt Firms to close and
                                                    change that are filed with the                               The Exchange proposes to amend its                  roll over positions close to expiration at
                                                    Commission, and all written                               Fees Schedule. The text of the proposed                low premium levels. Accordingly, the
                                                    communications relating to the                            rule change is available on the                        Exchange proposes to delete the
                                                    proposed rule change between the                          Exchange’s Web site (http://                           reference to the current waiver period of
                                                    Commission and any person, other than                     www.cboe.com/AboutCBOE/                                March 31, 2016 from the Fees Schedule
                                                    those that may be withheld from the                       CBOELegalRegulatoryHome.aspx), at                      and replace it with December 31, 2016.
                                                    public in accordance with the                             the Exchange’s Office of the Secretary,
                                                    provisions of 5 U.S.C. 552, will be                                                                              2. Statutory Basis
                                                                                                              and at the Commission’s Public
                                                    available for Web site viewing and                        Reference Room.                                           The Exchange believes the proposed
                                                    printing in the Commission’s Public                                                                              rule change is consistent with the
                                                    Reference Room, 100 F Street NE.,                         II. Self-Regulatory Organization’s                     Securities Exchange Act of 1934 (the
                                                    Washington, DC 20549, on official                         Statement of the Purpose of, and                       ‘‘Act’’) and the rules and regulations
                                                    business days between the hours of                        Statutory Basis for, the Proposed Rule                 thereunder applicable to the Exchange
                                                    10:00 a.m. and 3:00 p.m. Copies of such                   Change                                                 and, in particular, the requirements of
                                                    filing also will be available for                            In its filing with the Commission, the              Section 6(b) of the Act.3 Specifically,
                                                    inspection and copying at the principal                   Exchange included statements                           the Exchange believes the proposed rule
                                                    office of FINRA.                                          concerning the purpose of and basis for                change is consistent with the Section
                                                       All comments received will be posted                   the proposed rule change and discussed                 6(b)(5) 4 requirements that the rules of
                                                    without change. The Commission does                       any comments it received on the                        an exchange be designed to prevent
                                                    not edit personal identifying                             proposed rule change. The text of these                fraudulent and manipulative acts and
                                                    information from submissions. You
asabaliauskas on DSK3SPTVN1PROD with NOTICES




                                                                                                              statements may be examined at the                      practices, to promote just and equitable
                                                    should submit only information that                       places specified in Item IV below. The                 principles of trade, to foster cooperation
                                                    you wish to make available publicly. All                  Exchange has prepared summaries, set                   and coordination with persons engaged
                                                    submissions should refer to File                          forth in sections A, B, and C below, of                in regulating, clearing, settling,
                                                    Number SR–FINRA–2015–054 and                              the most significant aspects of such                   processing information with respect to,
                                                    should be submitted on or before May                      statements.                                            and facilitation transactions in
                                                    6, 2016.
                                                                                                                1 15   U.S.C. 78s(b)(1).                               3 15   U.S.C. 78f(b).
                                                      5 17   CFR 200.30–3(a)(12).                               2 17   CFR 240.19b–4.                                  4 15   U.S.C. 78f(b)(5).



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Document Created: 2016-04-15 00:55:17
Document Modified: 2016-04-15 00:55:17
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionNotices
FR Citation81 FR 22333 

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