81 FR 24678 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 81, Issue 80 (April 26, 2016)
Federal Register Volume 81, Issue 80 (April 26, 2016)
| Page Range | 24678-24680 | |
| FR Document | 2016-09595 |
[Federal Register Volume 81, Number 80 (Tuesday, April 26, 2016)] [Notices] [Pages 24678-24680] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2016-09595] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-77659; File No. SR-CBOE-2016-037] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fees Schedule April 20, 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 April 11, 2016, Chicago Board Options Exchange, Incorporated (the ``Exchange'' or ``CBOE'') filed with the Securities and Exchange Commission (the ``Commission'') the proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. The Exchange filed the proposal as a ``non-controversial'' proposed rule change pursuant to Section 19(b)(3)(A) of the Act \3\ and Rule 19b-4(f)(6) thereunder.\4\ The Commission is publishing this notice to [[Page 24679]] solicit comments on the proposed rule change from interested persons. --------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1). \2\ 17 CFR 240.19b-4. \3\ 15 U.S.C. 78s(b)(3)(A). \4\ 17 CFR 240.19b-4(f)(6). --------------------------------------------------------------------------- I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to amend the Frequent Trader Program. The text of the proposed rule change is available on the Exchange's Web site (http://www.cboe.com/AboutCBOE/CBOELegalRegulatoryHome.aspx), at the Exchange's Office of the Secretary, and at the Commission's Public Reference Room. 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 Exchange 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 the Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to amend its Fees Schedule.\5\ By way of background, on April 1, 2016, the Exchange adopted a program that offers transaction fee rebates to Customers (origin code ``C'') that meet certain volume thresholds in CBOE VIX Volatility Index options (``VIX options'') and S&P 500 Index options (``SPX''), weekly S&P 500 options (``SPXW'') and p.m.-settled SPX Index options (``SPXpm'') (collectively referred to as ``SPX options'') provided the Customer registers for the program (the ``Frequent Trader Program'' or ``Program'').\6\ --------------------------------------------------------------------------- \5\ The Exchange initially filed the proposed change on April 4, 2016 (SR-CBOE-2016-035). On April 11, 2016, the Exchange withdrew that filing and replaced it with SR-CBOE-2016-037. \6\ See SR-CBOE-2016-023 --------------------------------------------------------------------------- To participate in the Frequent Trader Program, Customers register with the Exchange. Once registered, the Customer is provided a unique identification number (``FTID'') that can be affixed to each of its orders. The FTID allows the Exchange to identify and aggregate all electronic and manual trades during both the Regular Trading Hours and Extended Trading Hours sessions from that Customer for purposes of determining whether the Customer meets any of the various volume thresholds. The Customer has to provide its FTID to the Trading Permit Holder (``TPH'') submitting that Customer's order to the Exchange (executing agent'' or ``executing TPH'') and that executing TPH would have to enter the Customer's FTID on each of that Customer's orders.\7\ --------------------------------------------------------------------------- \7\ The Exchange notes that it is the responsibility of the Customer to request that the executing TPH affix its FTID to its order(s), and that it is voluntarily for the executing TPH to do so. --------------------------------------------------------------------------- The Exchange notes that there are instances however, in which a Customer's FTID was not or could not be, affixed to an order. For example, an executing TPH may receive an order with multiple contra parties, including parties that are also customers with their own unique FTIDs. The executing TPH's front end system however, may only allow it to input only one FTID on the order. Thus the other Customers to the trade would not have their FTID represented at the time of submission. Additionally, an executing TPH's front end system may not yet allow for the input of an FTID on an order upon submission altogether. The Exchange also notes that it is possible that an executing TPH inadvertently enters an incorrect FTID number on an order. Accordingly, the Exchange is proposing to provide executing TPHs the ability to submit to the exchange a form (the ``Frequent Trader Program--Volume Corrections Form'' or ``Form'') that would provide a mechanism for executing TPHs to identify transactions to the Exchange that should have been, but were not, associated with particular FTIDs. More specifically, the executing TPH would identify on the form the ``correct'' FTID that should be associated with a specific transaction, so that such volume is properly counted towards the appropriate Customer's aggregated volume for purposes of determining what tier, if any, the customer meets. The Exchange notes that transactions identified on the Form will only be counted towards the identified Customer's volume if that Customer was already registered for the Frequent Trader Program prior to the time the transaction occurred (e.g., if a customer trades 1,000 contracts the morning of April 1 and registers for the Frequent Trader Program the afternoon of April 1, that customer cannot have its executing TPH submit a form on its behalf for those 1,000 contracts executed prior to registration in the Program). The Exchange lastly proposes to provide that the Frequent Trader Program--Volume Corrections Form be submitted to the Exchange within 3 business days in order to ensure timely processing. 2. Statutory Basis The Exchange believes the proposed rule change is consistent with the Securities Exchange Act of 1934 (the ``Act'') and the rules and regulations thereunder applicable to the Exchange and, in particular, the requirements of Section 6(b) of the Act.\8\ Specifically, the Exchange believes the proposed rule change is consistent with the Section 6(b)(5) \9\ requirements that the rules of an exchange be designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to 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. Additionally, the Exchange believes the proposed rule change is consistent with the Section 6(b)(5) \10\ requirement that the rules of an exchange not be designed to permit unfair discrimination between customers, issuers, brokers, or dealers. --------------------------------------------------------------------------- \8\ 15 U.S.C. 78f(b). \9\ 15 U.S.C. 78f(b)(5). \10\ Id. --------------------------------------------------------------------------- In particular, the Exchange believes providing executing TPHs the ability to submit to the exchange a form that identifies transactions that should have been, but were not, associated with particular FTIDs, removes impediments to and perfects the mechanism of a free and open market and a national market system, and protects investors and the public interest because there are a number of instances in which a Customer's FTID may not be affixed to a particular transaction at the time of execution even though the traded contracts, or a portion thereof, is actually associated with that Customer. The Exchange notes that providing a mechanism to ``correct'' FTIDs post-trade, helps ensure that a Customer's total volume at the end of the month accurately reflects their real trading volume, including volume from transactions that, upon submission of the order, did not reflect their FTID. The Exchange believes it's reasonable to provide that the Form be submitted within 3 business days in order to ensure timely processing and finality. The Exchange also believes it's reasonable, equitable and not unfairly [[Page 24680]] discriminatory to provide that transactions identified on the Form will only be counted towards the identified Customer's volume if that Customer was already registered for the Frequent Trader Program because the Exchange does not wish to encourage or allow the Frequent Trader Program to be applied retroactively. Additionally, by establishing a clear process for identifying transactions in order for them to qualify for the Frequent Trader Program rebates, the proposed rule change eliminates confusion, thereby removing an impediment to and perfecting the mechanism of a free and open market system. The establishment of this process will also make it easier for CBOE to administer the Frequent Trader Program and ensure that it is appropriately assessed when it is applicable. B. Self-Regulatory Organization's Statement on Burden on Competition CBOE does not believe that the proposed rule change will impose any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act because the proposed change applies uniformly to all executing TPHs of Customer FTID orders and because it provides for a clear process to rectify scenarios in which a Customer's FTID was not applied to that Customer's order. The Exchange believes that the proposed rule change will not cause an unnecessary burden on intermarket competition because it only applies to trading on CBOE. To the extent that the proposed changes make CBOE a more attractive marketplace for market participants at other exchanges, such market participants are welcome to become CBOE market participants. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others The Exchange neither solicited nor received comments on the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Because the proposed rule change does not (i) significantly affect the protection of investors or the public interest; (ii) impose any significant burden on competition; and (iii) 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 \11\ and Rule 19b-4(f)(6) thereunder.\12\ --------------------------------------------------------------------------- \11\ 15 U.S.C. 78s(b)(3)(A). \12\ 17 CFR 240.19b-4(f)(6). As required under Rule 19b- 4(f)(6)(iii), the Exchange provided the Commission with written notice of its intent to file the proposed rule change, along with a brief description and the text of the proposed rule change, at least five business days prior to the date of filing of the proposed rule change, or such shorter time as designated by the Commission. --------------------------------------------------------------------------- A proposed rule change filed pursuant to Rule 19b-4(f)(6) under the Act \13\ normally does not become operative for 30 days after the date of its filing. However, Rule 19b-4(f)(6)(iii) \14\ permits the Commission to designate a shorter time if such action is consistent with the protection of investors and the public interest. The Exchange has asked the Commission to waive the 30-day operative delay so that the proposal may become operative immediately upon filing. Consistent with the protection of investors and the public interest, waiver of the 30-day operative delay will facilitate the implementation of the Frequent Trader Program and allow executing TPHs to use the Exchange's process to claim rebates for their customers. Therefore, the Commission hereby waives the operative delay and designates the proposal operative upon filing.\15\ --------------------------------------------------------------------------- \13\ 17 CFR 240.19b-4(f)(6). \14\ 17 CFR 240.19b-4(f)(6)(iii). \15\ For purposes only of waiving the 30-day operative delay, the Commission has also considered the proposed rule's impact on efficiency, competition, and capital formation. See 15 U.S.C. 78c(f). --------------------------------------------------------------------------- At any time within 60 days of the filing of the 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 change 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 Number SR-CBOE-2016-037 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-CBOE-2016-037. 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 the 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-CBOE-2016-037, and should be submitted on or before May 17, 2016. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.\16\ --------------------------------------------------------------------------- \16\ 17 CFR 200.30-3(a)(12). Robert W. Errett, Deputy Secretary. [FR Doc. 2016-09595 Filed 4-25-16; 8:45 am] BILLING CODE 8011-01-P
![24678 Federal Register / Vol. 81, No. 80 / Tuesday, April 26, 2016 / Notices
greater positions when pursuing their public interest and will not impose any communications relating to the
investment goals and needs. burden on competition as it only seeks proposed rule change between the
to extend the operation of a previously Commission and any person, other than
B. Self-Regulatory Organization’s
approved pilot program before it expires those that may be withheld from the
Statement on Burden on Competition
on May 6, 2016. The Commission public in accordance with the
The Exchange does not believe that believes that waiving the 30-day provisions of 5 U.S.C. 552, will be
the proposed rule change will impose operative delay is consistent with the available for Web site viewing and
any burden on competition not protection of investors and the public printing in the Commission’s Public
necessary or appropriate in furtherance interest. Therefore, the Commission Reference Room, 100 F Street NE.,
of the purposes of the Act. The hereby waives the operative delay and Washington, DC 20549 on official
Exchange notes that the proposed designates the proposal operative upon business days between the hours of
extension will allow for the listing and filing.12 10:00 a.m. and 3:00 p.m. Copies of such
trading of a novel index option product At any time within 60 days of the filing also will be available for
that will enhance competition among filing of the proposed rule change, the inspection and copying at the principal
market participants, to the benefit of Commission summarily may office of the Exchange. All comments
investors and the marketplace. temporarily suspend such rule change if received will be posted without change;
C. Self-Regulatory Organization’s it appears to the Commission that such the Commission does not edit personal
Statement on Comments on the action is necessary or appropriate in the identifying information from
Proposed Rule Change Received From public interest, for the protection of submissions. You should submit only
Members, Participants, or Others investors, or otherwise in furtherance of information that you wish to make
the purposes of the Act. If the available publicly. All submissions
The Exchange has neither solicited Commission takes such action, the should refer to File Number SR–BOX–
nor received comments on the proposed Commission shall institute proceedings 2016–19, and should be submitted on or
rule change. to determine whether the proposed rule before May 17, 2016.
III. Date of Effectiveness of the change should be approved or For the Commission, by the Division of
Proposed Rule Change and Timing for disapproved. Trading and Markets, pursuant to delegated
Commission Action IV. Solicitation of Comments authority.13
Because the proposed rule change Robert W. Errett,
Interested persons are invited to
does not (i) significantly affect the Deputy Secretary.
submit written data, views, and
protection of investors or the public arguments concerning the foregoing, [FR Doc. 2016–09596 Filed 4–25–16; 8:45 am]
interest; (ii) impose any significant including whether the proposed rule BILLING CODE 8011–01–P
burden on competition; and (iii) become change is consistent with the Act.
operative for 30 days from the date on Comments may be submitted by any of
which it was filed, or such shorter time SECURITIES AND EXCHANGE
the following methods:
as the Commission may designate, it has COMMISSION
become effective pursuant to Section Electronic Comments
[Release No. 34–77659; File No. SR–CBOE–
19(b)(3)(A) of the Act 8 and Rule 19b– • Use the Commission’s Internet 2016–037]
4(f)(6) thereunder.9 comment form (http://www.sec.gov/
A proposed rule change filed rules/sro.shtml); or Self-Regulatory Organizations;
pursuant to Rule 19b–4(f)(6) under the • Send an email to rule-comments@ Chicago Board Options Exchange,
Act 10 normally does not become sec.gov. Please include File Number SR– Incorporated; Notice of Filing and
operative for 30 days after the date of its BOX–2016–19 on the subject line. Immediate Effectiveness of a Proposed
filing. However, Rule 19b–4(f)(6)(iii) 11 Rule Change To Amend the Fees
permits the Commission to designate a Paper Comments Schedule
shorter time if such action is consistent • Send paper comments in triplicate
with the protection of investors and the to Brent J. Fields, Secretary, Securities April 20, 2016.
public interest. The Exchange requests and Exchange Commission, 100 F Street Pursuant to Section 19(b)(1) of the
that the Commission waive the 30-day NE., Washington, DC 20549–1090. Securities Exchange Act of 1934 (the
operative delay period and make the All submissions should refer to File ‘‘Act’’),1 and Rule 19b–4 thereunder,2
proposed rule change effective and Number SR–BOX–2016–19. This file notice is hereby given that on April 11,
operative upon filing because it will number should be included on the 2016, Chicago Board Options Exchange,
allow for the listing and trading of a subject line if email is used. To help the Incorporated (the ‘‘Exchange’’ or
previously approved novel index option Commission process and review your ‘‘CBOE’’) filed with the Securities and
product that will enhance competition comments more efficiently, please use Exchange Commission (the
among market participants, to the only one method. The Commission will ‘‘Commission’’) the proposed rule
benefit of investors and the marketplace. post all comments on the Commission’s change as described in Items I and II
The Exchange believes that the proposal Internet Web site (http://www.sec.gov/ below, which Items have been prepared
is non-controversial and would not rules/sro.shtml). Copies of the by the Exchange. The Exchange filed the
affect the protection of investors or the submission, all subsequent proposal as a ‘‘non-controversial’’
amendments, all written statements proposed rule change pursuant to
8 15 U.S.C. 78s(b)(3)(A). with respect to the proposed rule Section 19(b)(3)(A) of the Act 3 and Rule
mstockstill on DSK4VPTVN1PROD with NOTICES
9 17 CFR 240.19b–4(f)(6). As required under Rule
change that are filed with the 19b–4(f)(6) thereunder.4 The
19b-4(f)(6)(iii), the Exchange provided the Commission is publishing this notice to
Commission with written notice of its intent to file Commission, and all written
the proposed rule change, along with a brief
13 17 CFR 200.30–3(a)(12).
description and the text of the proposed rule 12 For purposes only of waiving the 30-day
1 15 U.S.C. 78s(b)(1).
change, at least five business days prior to the date operative delay, the Commission has also
of filing of the proposed rule change. 2 17 CFR 240.19b–4.
considered the proposed rule’s impact on
10 17 CFR 240.19b–4(f)(6). 3 15 U.S.C. 78s(b)(3)(A).
efficiency, competition, and capital formation. See
11 17 CFR 240.19b–4(f)(6)(iii). 15 U.S.C. 78c(f). 4 17 CFR 240.19b–4(f)(6).
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![24680 Federal Register / Vol. 81, No. 80 / Tuesday, April 26, 2016 / Notices
discriminatory to provide that 19(b)(3)(A) of the Act 11 and Rule 19b– • Send an email to rule-comments@
transactions identified on the Form will 4(f)(6) thereunder.12 sec.gov. Please include File Number SR–
only be counted towards the identified A proposed rule change filed CBOE–2016–037 on the subject line.
Customer’s volume if that Customer was pursuant to Rule 19b–4(f)(6) under the
already registered for the Frequent Paper Comments
Act 13 normally does not become
Trader Program because the Exchange operative for 30 days after the date of its • Send paper comments in triplicate
does not wish to encourage or allow the filing. However, Rule 19b–4(f)(6)(iii) 14 to Secretary, Securities and Exchange
Frequent Trader Program to be applied permits the Commission to designate a Commission, 100 F Street NE.,
retroactively. Additionally, by shorter time if such action is consistent Washington, DC 20549–1090.
establishing a clear process for with the protection of investors and the
identifying transactions in order for public interest. The Exchange has asked All submissions should refer to File
them to qualify for the Frequent Trader the Commission to waive the 30-day Number SR–CBOE–2016–037. This file
Program rebates, the proposed rule operative delay so that the proposal may number should be included on the
change eliminates confusion, thereby become operative immediately upon subject line if email is used. To help the
removing an impediment to and filing. Consistent with the protection of Commission process and review your
perfecting the mechanism of a free and investors and the public interest, waiver comments more efficiently, please use
open market system. The establishment of the 30-day operative delay will only one method. The Commission will
of this process will also make it easier facilitate the implementation of the post all comments on the Commission’s
for CBOE to administer the Frequent Frequent Trader Program and allow Internet Web site (http://www.sec.gov/
Trader Program and ensure that it is executing TPHs to use the Exchange’s rules/sro.shtml). Copies of the
appropriately assessed when it is process to claim rebates for their submission, all subsequent
applicable. customers. Therefore, the Commission amendments, all written statements
B. Self-Regulatory Organization’s hereby waives the operative delay and with respect to the proposed rule
Statement on Burden on Competition designates the proposal operative upon change that are filed with the
filing.15 Commission, and all written
CBOE does not believe that the At any time within 60 days of the communications relating to the
proposed rule change will impose any filing of the proposed rule change, the proposed rule change between the
burden on competition that is not Commission summarily may Commission and any person, other than
necessary or appropriate in furtherance temporarily suspend such rule change if those that may be withheld from the
of the purposes of the Act because the it appears to the Commission that such public in accordance with the
proposed change applies uniformly to action is necessary or appropriate in the provisions of 5 U.S.C. 552, will be
all executing TPHs of Customer FTID public interest, for the protection of available for Web site viewing and
orders and because it provides for a investors, or otherwise in furtherance of
printing in the Commission’s Public
clear process to rectify scenarios in the purposes of the Act. If the
which a Customer’s FTID was not Reference Room, 100 F Street NE.,
Commission takes such action, the
applied to that Customer’s order. The Washington, DC 20549, on official
Commission shall institute proceedings
Exchange believes that the proposed to determine whether the proposed rule business days between the hours of
rule change will not cause an change should be approved or 10:00 a.m. and 3:00 p.m. Copies of the
unnecessary burden on intermarket disapproved. filing also will be available for
competition because it only applies to inspection and copying at the principal
trading on CBOE. To the extent that the IV. Solicitation of Comments office of the Exchange. All comments
proposed changes make CBOE a more Interested persons are invited to received will be posted without change;
attractive marketplace for market submit written data, views, and the Commission does not edit personal
participants at other exchanges, such arguments concerning the foregoing, identifying information from
market participants are welcome to including whether the proposed rule submissions. You should submit only
become CBOE market participants. change is consistent with the Act. information that you wish to make
Comments may be submitted by any of available publicly. All submissions
C. Self-Regulatory Organization’s
the following methods: should refer to File Number SR–CBOE–
Statement on Comments on the
2016–037, and should be submitted on
Proposed Rule Change Received From Electronic Comments
Members, Participants, or Others or before May 17, 2016.
• Use the Commission’s Internet For the Commission, by the Division
The Exchange neither solicited nor comment form (http://www.sec.gov/ of Trading and Markets, pursuant to
received comments on the proposed rules/sro.shtml); or delegated authority.16
rule change.
11 15 U.S.C. 78s(b)(3)(A). Robert W. Errett,
III. Date of Effectiveness of the 12 17 CFR 240.19b–4(f)(6). As required under Rule Deputy Secretary.
Proposed Rule Change and Timing for 19b–4(f)(6)(iii), the Exchange provided the [FR Doc. 2016–09595 Filed 4–25–16; 8:45 am]
Commission Action Commission with written notice of its intent to file
the proposed rule change, along with a brief BILLING CODE 8011–01–P
Because the proposed rule change description and the text of the proposed rule
does not (i) significantly affect the change, at least five business days prior to the date
mstockstill on DSK4VPTVN1PROD with NOTICES
of filing of the proposed rule change, or such
protection of investors or the public shorter time as designated by the Commission.
interest; (ii) impose any significant 13 17 CFR 240.19b–4(f)(6).
burden on competition; and (iii) become 14 17 CFR 240.19b–4(f)(6)(iii).
operative for 30 days from the date on 15 For purposes only of waiving the 30-day
which it was filed, or such shorter time operative delay, the Commission has also
considered the proposed rule’s impact on
as the Commission may designate, it has efficiency, competition, and capital formation. See
become effective pursuant to Section 15 U.S.C. 78c(f). 16 17 CFR 200.30–3(a)(12).
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Document Created: 2016-04-26 01:36:36
Document Modified: 2016-04-26 01:36:36
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
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| Section | Notices | |
| FR Citation | 81 FR 24678 |
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