81 FR 3206 - Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 81, Issue 12 (January 20, 2016)
Federal Register Volume 81, Issue 12 (January 20, 2016)
| Page Range | 3206-3207 | |
| FR Document | 2016-00971 |
[Federal Register Volume 81, Number 12 (Wednesday, January 20, 2016)] [Notices] [Pages 3206-3207] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2016-00971] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-76892; File No. SR-MIAX-2016-01] Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule January 13, 2016. Pursuant to the provisions of Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that on January 12, 2016, Miami International Securities Exchange LLC (``MIAX'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') a proposed rule change as described in Items I, II, and III below, which Items have been prepared by the Exchange. 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 is filing a proposal to amend the MIAX Options Fee Schedule (``Fee Schedule'') to eliminate certain Web CRD Fees which relate to Series 56 and will no longer apply from and after January 4, 2016 and to include certain Web CRD Fees which relate to Series 57 and Web-based delivery of continuing education that will apply from and after January 4, 2016. The text of the proposed rule change is available on the Exchange's Web site at http://www.miaxoptions.com/filter/wotitle/rule_filing, at MIAX's principal office, 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 Statutory Basis for, the Proposed Rule Change 1. Purpose The purpose of the proposed rule change is to amend the Fee Schedule to delete the Continuing Education Fees and the Qualification Examination Fee which relate to the Series 56 registration category under the Regulatory Fees section of the Fee Schedule. The Financial Industry Regulatory Authority (``FINRA'') is retiring the Proprietary Traders Qualification Examination (Series 56) and the S501 Proprietary Traders Continuing Education Program and replacing them with the Securities Trader Qualification Examination (Series 57) and the S101 Continuing Education Program, including via Web-based delivery.\3\ --------------------------------------------------------------------------- \3\ See Securities Exchange Act Release Nos. 75783 (August 28, 2015), 80 FR 53369 (September 3, 2015) (approving SR-FINRA-2015-017) and 75581 (July 31, 2015), 80 FR 47018 (August 6, 2015) (approving SR-FINRA-2015-015) collectively referred to herein as the ``FINRA Amendments''. According to the approval orders, FINRA's expected effective date for the FINRA Amendments is January 4, 2016. --------------------------------------------------------------------------- Specifically, the Exchange proposes to delete the (i) $60.00 Continuing Education Fee for Series 56 and (ii) $195.00 Series 56 Examination Fee. The Exchange also proposes to delete the phrase ``except the Series 56'' with respect to the $100.00 Continuing Education Fee for All Registrations except the Series 56. The Exchange further proposes to add a (i) $55.00 Continuing Education Fee for All Registrations if Web-based and (ii) $120.00 Series 57 Examination Fee. MIAX is proposing such Fee Schedule amendments in consultation with FINRA and the other exchanges, and anticipates that the other exchanges will make corresponding changes to their respective fee schedules.\4\ --------------------------------------------------------------------------- \4\ See Securities Exchange Act Release Nos. 76391 (November 9, 2015), 80 FR 70862 (November 16, 2015) (SR-FINRA-2015-044) and 75581 (July 31, 2015), 80 FR 47018 (August 6, 2015) (SR-FINRA-2015-015). --------------------------------------------------------------------------- Background MIAX has amended its rules to establish the Securities Trader and Securities Trader Principal registration categories, to establish the Series 57 examination as the appropriate qualification examination for Securities Traders and retire the Series 56 examination for Proprietary Traders, and to establish S101 as the appropriate continuing education program for Securities Traders and retire the S501 continuing education program for Proprietary Traders, from and after January 4, 2016. The Exchange also amended its rules to provide for Web-based delivery of the continuing education Regulatory Element for registered persons from and after January 4, 2016.\5\ --------------------------------------------------------------------------- \5\ See Securities Exchange Act Release No. 76691 (December 18, 2015), 80 FR 80425 (December 24, 2015) (SR-MIAX-2015-71). --------------------------------------------------------------------------- In accordance with MIAX's amended rules relating to the new Securities Trader registration category, individual Members and associated persons of Members \6\ engaged in proprietary trading, the execution of transactions on an agency basis, or the direct supervision of such activities, with respect to transactions in equity, preferred or convertible debt securities, or foreign currency options on the Exchange, will be required to register with the Exchange as Securities Traders and be qualified by passing the new Securities Trader qualification examination (Series 57) being implemented by FINRA, unless grandfathered as provided for in the Rules. In addition, the Series 57 examination replaces the Series 56 examination for those exchange registration categories, such as the Proprietary Trader Principal registration category, where the Series 56 examination is currently an acceptable prerequisite.\7\ --------------------------------------------------------------------------- \6\ Other than any person associated with a Member whose trading activities are conducted principally on behalf of an investment company that is registered with the Commission pursuant to the Investment Company Act of 1940 and that controls, is controlled by or is under common control, with the Member. See id. \7\ See supra note 5. These amended rules will become effective as of January 4, 2016. --------------------------------------------------------------------------- The Exchange has further amended its Rules, in consultation with FINRA and the other exchanges, to provide for Web-based delivery of the CE Regulatory Element for registered persons. The personalized S101 CE Program will be the required CE Program for all registered persons including Securities Traders.\8\ --------------------------------------------------------------------------- \8\ Id. --------------------------------------------------------------------------- Proposal The Exchange proposes to amend its Fee Schedule to delete the (i) $60.00 Continuing Education Fee for Series 56, (ii) $195.00 Series 56 Examination Fee, and (iii) the phrase ``except the Series 56'' with respect to the $100.00 Continuing Education Fee for All [[Page 3207]] Registrations except the Series 56, since such CE fee will become applicable to all registration categories without exception. The Exchange further proposes to add a (i) $55.00 Continuing Education Fee for All Registrations which will be applicable for Web-based delivery of the CE Regulatory Element for registered persons, and (ii) $120.00 Series 57 Examination Fee which will be applicable with respect to the new Securities Trader Qualification Examination (Series 57). The $100.00 fee charged for administration of the S101 CE program applicable to registrants required to take examinations other than the Series 56 will remain in effect, and become applicable to all registrants, if a CE session is conducted at a testing center from January 4, 2016 through no later than six months thereafter when the CE program will no longer be offered at testing centers. A new $55.00 fee will be applicable to all registrants from and after January 4, 2016 for Web-based administration of the S101 CE program. The $195.00 fee currently charged for the Series 56 examination will be replaced with a $120.00 fee for the Series 57 examination from and after January 4, 2016. Therefore, the Exchange is proposing to add the $55.00 Web-based delivery CE fee and $120.00 Series 57 examination fee to the current Fee Schedule. Additionally, the $60.00 fee currently charged for administration of the S501 CE Program applicable to Series 56 is being retired from and after January 4, 2016. Therefore, the Exchange is proposing to delete both the $195.00 Series 56 examination fee and $60.00 S501 CE fee from the current Fee Schedule. Since the Series 57 and the S101 CE Program will fall within FINRA's jurisdiction, the related fees will be billed directly through FINRA commencing as of January 4, 2016.\9\ --------------------------------------------------------------------------- \9\ See supra note 4. --------------------------------------------------------------------------- 2. Statutory Basis The Exchange believes that its proposal to amend its Fee Schedule is consistent with Section 6(b) of the Act \10\ in general, and furthers the objectives of Section 6(b)(4) of the Act \11\ in particular, in that it is an equitable allocation of reasonable fees and other charges among Exchange members and issuers and other persons using its facilities. --------------------------------------------------------------------------- \10\ 15 U.S.C. 78f(b). \11\ 15 U.S.C. 78f(b)(4). --------------------------------------------------------------------------- The Exchange believes that the proposal is fair, equitable and not unreasonably discriminatory because the fee change applies equally to all Members and persons associated with Members. The proposed deletion of the S501 Continuing Education Fees and Series 56 Qualification Examination Fee is further reasonable because such CE program and exam will be replaced by the S101 CE program (including via Web-based delivery) and Series 57 Qualification Examination program. In addition, the Exchange believes that the fees added to the Fee Schedule and amended fee are equitably allocated and not unfairly discriminatory as they will apply uniformly to all Members and persons associated with the Members who choose [sic] to take the Series 57 examination and participate in the continuing education program through FINRA. B. Self-Regulatory Organization's Statement on Burden on Competition The Exchange does not believe that the proposed rule change will result in any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. The Exchange further believes that the proposal does not impose any burden on competition because it believes that the other exchanges will also be making the same changes to their fee schedules.\12\ --------------------------------------------------------------------------- \12\ See supra notes 3 and 4. --------------------------------------------------------------------------- C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others Written comments were neither solicited nor received. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action The foregoing rule change has become effective pursuant to Section 19(b)(3)(A)(ii) of the Act,\13\ and Rule 19b-4(f)(2) \14\ thereunder. 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 should be approved or disapproved. --------------------------------------------------------------------------- \13\ 15 U.S.C. 78s(b)(3)(A)(ii). \14\ 17 CFR 240.19b-4(f)(2). --------------------------------------------------------------------------- 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-MIAX-2016-01 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-MIAX-2016-01. 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-MIAX-2016-01 and should be submitted on or before February 10, 2016. --------------------------------------------------------------------------- \15\ 17 CFR 200.30-3(a)(12). For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.\15\ Robert W. Errett, Deputy Secretary. [FR Doc. 2016-00971 Filed 1-19-16; 8:45 am] BILLING CODE 8011-01-P
![3206 Federal Register / Vol. 81, No. 12 / Wednesday, January 20, 2016 / Notices
contact the Office of the Secretary at proposed rule change. The text of these Traders and retire the Series 56
(202) 551–5400. statements may be examined at the examination for Proprietary Traders,
Dated: January 14, 2016. places specified in Item IV below. The and to establish S101 as the appropriate
Brent J. Fields, Exchange has prepared summaries, set continuing education program for
forth in sections A, B, and C below, of Securities Traders and retire the S501
Secretary.
the most significant aspects of such continuing education program for
[FR Doc. 2016–01130 Filed 1–15–16; 4:15 pm]
statements. Proprietary Traders, from and after
BILLING CODE 8011–01–P
January 4, 2016. The Exchange also
A. Self-Regulatory Organization’s
amended its rules to provide for Web-
Statement of the Purpose of, and
based delivery of the continuing
SECURITIES AND EXCHANGE Statutory Basis for, the Proposed Rule
education Regulatory Element for
COMMISSION Change
registered persons from and after
[Release No. 34–76892; File No. SR–MIAX– 1. Purpose January 4, 2016.5
2016–01]
The purpose of the proposed rule In accordance with MIAX’s amended
change is to amend the Fee Schedule to rules relating to the new Securities
Self-Regulatory Organizations; Miami Trader registration category, individual
International Securities Exchange LLC; delete the Continuing Education Fees
and the Qualification Examination Fee Members and associated persons of
Notice of Filing and Immediate Members 6 engaged in proprietary
Effectiveness of a Proposed Rule which relate to the Series 56 registration
category under the Regulatory Fees trading, the execution of transactions on
Change To Amend Its Fee Schedule an agency basis, or the direct
section of the Fee Schedule. The
January 13, 2016. Financial Industry Regulatory Authority supervision of such activities, with
Pursuant to the provisions of Section (‘‘FINRA’’) is retiring the Proprietary respect to transactions in equity,
19(b)(1) of the Securities Exchange Act Traders Qualification Examination preferred or convertible debt securities,
of 1934 (‘‘Act’’) 1 and Rule 19b–4 (Series 56) and the S501 Proprietary or foreign currency options on the
thereunder,2 notice is hereby given that Traders Continuing Education Program Exchange, will be required to register
on January 12, 2016, Miami and replacing them with the Securities with the Exchange as Securities Traders
International Securities Exchange LLC Trader Qualification Examination and be qualified by passing the new
(‘‘MIAX’’ or ‘‘Exchange’’) filed with the (Series 57) and the S101 Continuing Securities Trader qualification
Securities and Exchange Commission Education Program, including via Web- examination (Series 57) being
(‘‘Commission’’) a proposed rule change based delivery.3 implemented by FINRA, unless
as described in Items I, II, and III below, Specifically, the Exchange proposes to grandfathered as provided for in the
which Items have been prepared by the delete the (i) $60.00 Continuing Rules. In addition, the Series 57
Exchange. The Commission is Education Fee for Series 56 and (ii) examination replaces the Series 56
publishing this notice to solicit $195.00 Series 56 Examination Fee. The examination for those exchange
comments on the proposed rule change Exchange also proposes to delete the registration categories, such as the
from interested persons. phrase ‘‘except the Series 56’’ with Proprietary Trader Principal registration
respect to the $100.00 Continuing category, where the Series 56
I. Self-Regulatory Organization’s examination is currently an acceptable
Education Fee for All Registrations
Statement of the Terms of Substance of prerequisite.7
except the Series 56. The Exchange
the Proposed Rule Change The Exchange has further amended its
further proposes to add a (i) $55.00
The Exchange is filing a proposal to Continuing Education Fee for All Rules, in consultation with FINRA and
amend the MIAX Options Fee Schedule Registrations if Web-based and (ii) the other exchanges, to provide for Web-
(‘‘Fee Schedule’’) to eliminate certain $120.00 Series 57 Examination Fee. based delivery of the CE Regulatory
Web CRD Fees which relate to Series 56 MIAX is proposing such Fee Schedule Element for registered persons. The
and will no longer apply from and after amendments in consultation with personalized S101 CE Program will be
January 4, 2016 and to include certain FINRA and the other exchanges, and the required CE Program for all
Web CRD Fees which relate to Series 57 anticipates that the other exchanges will registered persons including Securities
and Web-based delivery of continuing make corresponding changes to their Traders.8
education that will apply from and after respective fee schedules.4 Proposal
January 4, 2016.
The text of the proposed rule change Background The Exchange proposes to amend its
is available on the Exchange’s Web site MIAX has amended its rules to Fee Schedule to delete the (i) $60.00
at http://www.miaxoptions.com/filter/ establish the Securities Trader and Continuing Education Fee for Series 56,
wotitle/rule_filing, at MIAX’s principal Securities Trader Principal registration (ii) $195.00 Series 56 Examination Fee,
office, and at the Commission’s Public categories, to establish the Series 57 and (iii) the phrase ‘‘except the Series
Reference Room. examination as the appropriate 56’’ with respect to the $100.00
qualification examination for Securities Continuing Education Fee for All
II. Self-Regulatory Organization’s
Statement of the Purpose of, and 3 See Securities Exchange Act Release Nos. 75783 5 See Securities Exchange Act Release No. 76691
Statutory Basis for, the Proposed Rule (August 28, 2015), 80 FR 53369 (September 3, 2015) (December 18, 2015), 80 FR 80425 (December 24,
Change (approving SR–FINRA–2015–017) and 75581 (July 2015) (SR–MIAX–2015–71).
6 Other than any person associated with a
31, 2015), 80 FR 47018 (August 6, 2015) (approving
In its filing with the Commission, the SR–FINRA–2015–015) collectively referred to Member whose trading activities are conducted
tkelley on DSK4VPTVN1PROD with NOTICES
Exchange included statements herein as the ‘‘FINRA Amendments’’. According to principally on behalf of an investment company
concerning the purpose of and basis for the approval orders, FINRA’s expected effective that is registered with the Commission pursuant to
date for the FINRA Amendments is January 4, 2016. the Investment Company Act of 1940 and that
the proposed rule change and discussed controls, is controlled by or is under common
4 See Securities Exchange Act Release Nos. 76391
any comments it received on the (November 9, 2015), 80 FR 70862 (November 16, control, with the Member. See id.
7 See supra note 5. These amended rules will
2015) (SR–FINRA–2015–044) and 75581 (July 31,
1 15 U.S.C. 78s(b)(1). become effective as of January 4, 2016.
2015), 80 FR 47018 (August 6, 2015) (SR–FINRA–
2 17 CFR 240.19b–4. 2015–015). 8 Id.
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![Federal Register / Vol. 81, No. 12 / Wednesday, January 20, 2016 / Notices 3207
Registrations except the Series 56, since Members and persons associated with arguments concerning the foregoing,
such CE fee will become applicable to Members. The proposed deletion of the including whether the proposed rule
all registration categories without S501 Continuing Education Fees and change is consistent with the Act.
exception. The Exchange further Series 56 Qualification Examination Fee Comments may be submitted by any of
proposes to add a (i) $55.00 Continuing is further reasonable because such CE the following methods:
Education Fee for All Registrations program and exam will be replaced by
which will be applicable for Web-based Electronic Comments
the S101 CE program (including via
delivery of the CE Regulatory Element Web-based delivery) and Series 57 • Use the Commission’s Internet
for registered persons, and (ii) $120.00 Qualification Examination program. In comment form (http://www.sec.gov/
Series 57 Examination Fee which will addition, the Exchange believes that the rules/sro.shtml); or
be applicable with respect to the new fees added to the Fee Schedule and • Send an email to rule-comments@
Securities Trader Qualification amended fee are equitably allocated and sec.gov. Please include File Number SR–
Examination (Series 57). not unfairly discriminatory as they will MIAX–2016–01 on the subject line.
The $100.00 fee charged for apply uniformly to all Members and Paper Comments
administration of the S101 CE program persons associated with the Members
applicable to registrants required to take who choose [sic] to take the Series 57 • Send paper comments in triplicate
examinations other than the Series 56 examination and participate in the to Brent J. Fields, Secretary, Securities
will remain in effect, and become continuing education program through and Exchange Commission, 100 F Street
applicable to all registrants, if a CE FINRA. NE., Washington, DC 20549–1090.
session is conducted at a testing center All submissions should refer to File
from January 4, 2016 through no later B. Self-Regulatory Organization’s Number SR–MIAX–2016–01. This file
than six months thereafter when the CE Statement on Burden on Competition number should be included on the
program will no longer be offered at The Exchange does not believe that subject line if email is used. To help the
testing centers. A new $55.00 fee will be the proposed rule change will result in Commission process and review your
applicable to all registrants from and any burden on competition that is not comments more efficiently, please use
after January 4, 2016 for Web-based necessary or appropriate in furtherance only one method. The Commission will
administration of the S101 CE program. of the purposes of the Act. The post all comments on the Commission’s
The $195.00 fee currently charged for Exchange further believes that the Internet Web site (http://www.sec.gov/
the Series 56 examination will be proposal does not impose any burden rules/sro.shtml).
replaced with a $120.00 fee for the on competition because it believes that Copies of the submission, all
Series 57 examination from and after the other exchanges will also be making subsequent amendments, all written
January 4, 2016. Therefore, the the same changes to their fee statements with respect to the proposed
Exchange is proposing to add the $55.00 schedules.12 rule change that are filed with the
Web-based delivery CE fee and $120.00 Commission, and all written
Series 57 examination fee to the current C. Self-Regulatory Organization’s communications relating to the
Fee Schedule. Additionally, the $60.00 Statement on Comments on the proposed rule change between the
fee currently charged for administration Proposed Rule Change Received From Commission and any person, other than
of the S501 CE Program applicable to Members, Participants, or Others those that may be withheld from the
Series 56 is being retired from and after Written comments were neither public in accordance with the
January 4, 2016. Therefore, the solicited nor received. provisions of 5 U.S.C. 552, will be
Exchange is proposing to delete both the III. Date of Effectiveness of the available for Web site viewing and
$195.00 Series 56 examination fee and Proposed Rule Change and Timing for printing in the Commission’s Public
$60.00 S501 CE fee from the current Fee Commission Action Reference Room, 100 F Street NE.,
Schedule. Washington, DC 20549, on official
Since the Series 57 and the S101 CE The foregoing rule change has become business days between the hours of
Program will fall within FINRA’s effective pursuant to Section 10:00 a.m. and 3:00 p.m. Copies of the
jurisdiction, the related fees will be 19(b)(3)(A)(ii) of the Act,13 and Rule filing also will be available for
billed directly through FINRA 19b–4(f)(2) 14 thereunder. At any time inspection and copying at the principal
commencing as of January 4, 2016.9 within 60 days of the filing of the office of the Exchange. All comments
proposed rule change, the Commission received will be posted without change;
2. Statutory Basis summarily may temporarily suspend the Commission does not edit personal
The Exchange believes that its such rule change if it appears to the identifying information from
proposal to amend its Fee Schedule is Commission that such action is submissions. You should submit only
consistent with Section 6(b) of the Act 10 necessary or appropriate in the public information that you wish to make
in general, and furthers the objectives of interest, for the protection of investors, available publicly.
Section 6(b)(4) of the Act 11 in or otherwise in furtherance of the All submissions should refer to File
particular, in that it is an equitable purposes of the Act. If the Commission Number SR–MIAX–2016–01 and should
allocation of reasonable fees and other takes such action, the Commission shall be submitted on or before February 10,
charges among Exchange members and institute proceedings to determine 2016.
issuers and other persons using its whether the proposed rule should be
For the Commission, by the Division of
facilities. approved or disapproved. Trading and Markets, pursuant to delegated
The Exchange believes that the authority.15
tkelley on DSK4VPTVN1PROD with NOTICES
proposal is fair, equitable and not IV. Solicitation of Comments
Robert W. Errett,
unreasonably discriminatory because Interested persons are invited to
the fee change applies equally to all submit written data, views, and Deputy Secretary.
[FR Doc. 2016–00971 Filed 1–19–16; 8:45 am]
9 See supra note 4. 12 See supra notes 3 and 4. BILLING CODE 8011–01–P
10 15 U.S.C. 78f(b). 13 15 U.S.C. 78s(b)(3)(A)(ii).
11 15 U.S.C. 78f(b)(4). 14 17 CFR 240.19b–4(f)(2). 15 17 CFR 200.30–3(a)(12).
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Document Created: 2016-01-19 23:43:42
Document Modified: 2016-01-19 23:43:42
| 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 3206 |
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