81 FR 42016 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 81, Issue 124 (June 28, 2016)

Page Range		42016-42017
FR Document		2016-15178
Federal Register, Volume 81 Issue 124 (Tuesday, June 28, 2016)
[Federal Register Volume 81, Number 124 (Tuesday, June 28, 2016)]
[Notices]
[Pages 42016-42017]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2016-15178]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-78130; File No. SR-FINRA-2016-019]


Self-Regulatory Organizations; Financial Industry Regulatory 
Authority, Inc.; Notice of Filing and Immediate Effectiveness of a 
Proposed Rule Change To Adopt NASD Rule 2830 as FINRA Rule 2341 
(Investment Company Securities) in the Consolidated FINRA Rulebook

June 22, 2016.
    Pursuant to 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 June 9, 2016, Financial Industry Regulatory Authority, Inc. 
(``FINRA'') filed with the Securities and Exchange Commission (``SEC'' 
or ``Commission'') the proposed rule change as described in Items I, 
II, and III below, which Items have been prepared by FINRA. FINRA has 
designated the proposed rule change as constituting a ``non-
controversial'' rule change under paragraph (f)(6) of Rule 19b-4 under 
the Act,\3\ which renders the proposal effective upon receipt of this 
filing by the Commission. The Commission is publishing this notice to 
solicit comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 17 CFR 240.19b-4(f)(6).
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I. Self-Regulatory Organization's Statement of the Terms of Substance 
of the Proposed Rule Change

    FINRA is proposing to adopt NASD Rule 2830 (Investment Company 
Securities) as FINRA Rule 2341 (Investment Company Securities) in the 
consolidated FINRA rulebook without any substantive changes. FINRA also 
proposes to update cross-references within other FINRA rules 
accordingly.
    The text of the proposed rule change is available on FINRA's Web 
site at http://www.finra.org, at the principal office of FINRA 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, FINRA 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. FINRA 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
    As part of the process of developing a new consolidated rulebook 
(``Consolidated FINRA Rulebook''),\4\ FINRA is proposing to transfer 
NASD Rule 2830 (Investment Company Securities) into the Consolidated 
FINRA Rulebook as FINRA Rule 2341 (Investment Company Securities) 
without any substantive changes. NASD Rule 2830 regulates members' 
activities in connection with the sale and distribution of securities 
of companies registered under the Investment Company Act of 1940 
(``investment company securities'').\5\ In connection with the 
distribution and sale of investment company securities, NASD Rule 2830 
limits the sales charges members may receive, prohibits directed 
brokerages arrangements, limits the payment and receipt of cash and 
non-cash compensation, sets conditions on discounts to dealers, and 
addresses other issues such as members' purchases and sales of 
investment company securities as principal.
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    \4\ The current FINRA rulebook consists of: (1) FINRA Rules; (2) 
NASD Rules; and (3) rules incorporated from New York Stock Exchange 
LLC (``NYSE'') (``Incorporated NYSE Rules'') (together, the NASD 
Rules and Incorporated NYSE Rules are referred to as the 
``Transitional Rulebook''). While the NASD Rules generally apply to 
all FINRA members, the Incorporated NYSE Rules apply only to those 
members of FINRA that are also members of the NYSE (``Dual 
Members''). The FINRA Rules apply to all FINRA members, unless such 
rules have a more limited application by their terms. For more 
information about the rulebook consolidation process, see 
Information Notice, March 12, 2008 (Rulebook Consolidation Process).
    \5\ As with NASD Rule 2830, FINRA Rule 2341 would not regulate 
members' activities in connection with variable insurance contracts, 
which are regulated by FINRA Rule 2320 (Variable Contracts of an 
Insurance Company).
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    Proposed FINRA Rule 2341 closely tracks the language of NASD Rule 
2830 and makes only non-substantive, technical changes to the text of 
the NASD rule by, for instance, replacing the reference to a legacy 
NASD rule with the applicable FINRA rule and making other non-
substantive, technical conforming changes.\6\
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    \6\ FINRA previously solicited comment on a proposal to move 
NASD Rule 2830 to the Consolidated FINRA Rulebook with substantive 
changes. See Regulatory Notice 09-34 (June 2009); see also 
Securities Exchange Act Release No. 64386 May 3, 2011), 76 FR 26779 
(May 9, 2011) (Notice of Filing File No. SR-FINRA-2011-018) 
(withdrawn on August 1, 2011). Given that FINRA would like to 
proceed with the rulebook consolidation process expeditiously to 
provide greater clarity and regulatory efficiency to FINRA members, 
FINRA is proposing to move NASD Rule 2830 to the Consolidated FINRA 
Rulebook without substantive changes at this time, but FINRA may 
consider proposing substantive changes to the rule as part of future 
rulemaking.

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[[Page 42017]]

    In addition, the proposed rule change makes technical changes to 
paragraph (b)(10) of NASD Rule 2830. Paragraph (b)(10) of NASD Rule 
2830 incorporates by reference several definitions under the Investment 
Company Act, including ``open-end management investment company.'' 
However, the Investment Company Act does not define the term ``open-end 
management investment company,'' but defines ``management company,'' 
and divides this term into two sub-classifications, ``open-end 
company'' and ``closed-end company.'' \7\ Accordingly, paragraph 
(b)(10) of proposed FINRA Rule 2341 would incorporate the definitions 
of ``open-end company'' and ``closed-end company'' from the Investment 
Company Act, rather than ``open-end management investment company.'' 
The proposed rule change would then replace references to the terms 
``open-end management investment company,'' ``open-end investment 
company,'' and ``open-end management company'' in NASD Rule 2830(c), 
(d), (g), (h), (i) and (j) with references to ``open-end company.'' 
Similarly, the proposed rule change would replace references to the 
term ``closed-end investment company'' in NASD Rule 2830(d) and (j) 
with a reference to ``closed-end company.'' These proposed changes 
would correct these references in the NASD rule for the purposes of 
adopting it as a FINRA rule, without changing the substantive meaning. 
FINRA has filed the proposed rule change for immediate effectiveness. 
The implementation date will be 30 days after the date of the filing.
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    \7\ See Sections 4(3) and 5(a) of the Investment Company Act.
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2. Statutory Basis
    FINRA believes that the proposed rule change is consistent with the 
provisions of Section 15A(b)(6) of the Act,\8\ which requires, among 
other things, that FINRA rules must be designed to prevent fraudulent 
and manipulative acts and practices, to promote just and equitable 
principles of trade, and, in general, to protect investors and the 
public interest. FINRA believes that the proposed rule change, which 
does not substantively change the rule, is consistent with the Act 
because it is being undertaken pursuant to the rulebook consolidation 
process, which is designed to provide additional clarity and regulatory 
efficiency to FINRA members by consolidating the applicable NASD, 
Incorporated NYSE, and FINRA rules into one rule set.
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    \8\ 15 U.S.C. 78o-3(b)(6).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    FINRA 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. As noted above, the proposed 
rule change will not substantively change either the text or 
application of the rule. FINRA would like to proceed with the rulebook 
consolidation process expeditiously, which is believed will provide 
additional clarity and regulatory efficiency to members.

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

    Because the foregoing 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 \9\ and Rule 19b-
4(f)(6) thereunder.\10\
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    \9\ 15 U.S.C. 78s(b)(3)(A).
    \10\ 17 CFR 240.19b-4(f)(6).
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    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.

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 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-2016-019 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-2016-019. 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 
a.m. and 3 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-2016-019 and should be 
submitted on or before July 19, 2016.

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\11\
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    \11\ 17 CFR 200.30-3(a)(12).
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Brent J. Fields,
Secretary.
[FR Doc. 2016-15178 Filed 6-27-16; 8:45 am]
 BILLING CODE 8011-01-P
42016 Federal Register / Vol. 81, No. 124 / Tuesday, June 28, 2016 / Notices

Paper Comments SECURITIES AND EXCHANGE summaries, set forth in sections A, B,
COMMISSION and C below, of the most significant
• Send paper comments in triplicate aspects of such statements.
to Secretary, Securities and Exchange [Release No. 34–78130; File No. SR–FINRA–
Commission, 100 F Street NE., 2016–019] A. Self-Regulatory Organization’s
Washington, DC 20549–1090. Statement of the Purpose of, and
Self-Regulatory Organizations; Statutory Basis for, the Proposed Rule
All submissions should refer to File Financial Industry Regulatory Change
Number SR BatsBYX–2016–12. This file Authority, Inc.; Notice of Filing and
Immediate Effectiveness of a Proposed 1. Purpose
number should be included on the
subject line if email is used. To help the Rule Change To Adopt NASD Rule As part of the process of developing
Commission process and review your 2830 as FINRA Rule 2341 (Investment a new consolidated rulebook
comments more efficiently, please use Company Securities) in the (‘‘Consolidated FINRA Rulebook’’),4
only one method. The Commission will Consolidated FINRA Rulebook FINRA is proposing to transfer NASD
Rule 2830 (Investment Company
post all comments on the Commission’s June 22, 2016. Securities) into the Consolidated FINRA
Internet Web site (http://www.sec.gov/ Pursuant to Section 19(b)(1) of the Rulebook as FINRA Rule 2341
rules/sro.shtml). Copies of the Securities Exchange Act of 1934 (Investment Company Securities)
submission, all subsequent (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 without any substantive changes. NASD
amendments, all written statements notice is hereby given that on June 9, Rule 2830 regulates members’ activities
with respect to the proposed rule 2016, Financial Industry Regulatory in connection with the sale and
change that are filed with the Authority, Inc. (‘‘FINRA’’) filed with the distribution of securities of companies
Commission, and all written Securities and Exchange Commission registered under the Investment
communications relating to the (‘‘SEC’’ or ‘‘Commission’’) the proposed Company Act of 1940 (‘‘investment
proposed rule change between the rule change as described in Items I, II, company securities’’).5 In connection
Commission and any person, other than and III below, which Items have been with the distribution and sale of
those that may be withheld from the prepared by FINRA. FINRA has investment company securities, NASD
public in accordance with the designated the proposed rule change as Rule 2830 limits the sales charges
provisions of 5 U.S.C. 552, will be constituting a ‘‘non-controversial’’ rule members may receive, prohibits
available for Web site viewing and change under paragraph (f)(6) of Rule directed brokerages arrangements, limits
printing in the Commission’s Public 19b–4 under the Act,3 which renders the payment and receipt of cash and
Reference Room, 100 F Street NE., the proposal effective upon receipt of non-cash compensation, sets conditions
this filing by the Commission. The on discounts to dealers, and addresses
Washington, DC 20549, on official
Commission is publishing this notice to other issues such as members’
business days between the hours of
solicit comments on the proposed rule purchases and sales of investment
10:00 a.m. and 3:00 p.m. Copies of the change from interested persons. company securities as principal.
filing also will be available for Proposed FINRA Rule 2341 closely
inspection and copying at the principal I. Self-Regulatory Organization’s
tracks the language of NASD Rule 2830
office of the Exchange. All comments Statement of the Terms of Substance of
and makes only non-substantive,
received will be posted without change; the Proposed Rule Change
technical changes to the text of the
the Commission does not edit personal FINRA is proposing to adopt NASD NASD rule by, for instance, replacing
identifying information from Rule 2830 (Investment Company the reference to a legacy NASD rule
submissions. You should submit only Securities) as FINRA Rule 2341 with the applicable FINRA rule and
information that you wish to make (Investment Company Securities) in the making other non-substantive, technical
available publicly. All submissions consolidated FINRA rulebook without conforming changes.6
should refer to File Number SR– any substantive changes. FINRA also
BatsBYX–2016–12, and should be proposes to update cross-references 4 The current FINRA rulebook consists of: (1)

submitted on or before July 19, 2016. within other FINRA rules accordingly. FINRA Rules; (2) NASD Rules; and (3) rules
The text of the proposed rule change incorporated from New York Stock Exchange LLC
For the Commission, by the Division of (‘‘NYSE’’) (‘‘Incorporated NYSE Rules’’) (together,
is available on FINRA’s Web site at the NASD Rules and Incorporated NYSE Rules are
Trading and Markets, pursuant to delegated http://www.finra.org, at the principal referred to as the ‘‘Transitional Rulebook’’). While
authority.27 office of FINRA and at the the NASD Rules generally apply to all FINRA
Brent J. Fields, Commission’s Public Reference Room. members, the Incorporated NYSE Rules apply only
to those members of FINRA that are also members
Secretary. of the NYSE (‘‘Dual Members’’). The FINRA Rules
II. Self-Regulatory Organization’s
[FR Doc. 2016–15172 Filed 6–27–16; 8:45 am] apply to all FINRA members, unless such rules
Statement of the Purpose of, and have a more limited application by their terms. For
BILLING CODE 8011–01–P Statutory Basis for, the Proposed Rule more information about the rulebook consolidation
Change process, see Information Notice, March 12, 2008
(Rulebook Consolidation Process).
In its filing with the Commission, 5 As with NASD Rule 2830, FINRA Rule 2341

FINRA included statements concerning would not regulate members’ activities in
the purpose of and basis for the connection with variable insurance contracts,
which are regulated by FINRA Rule 2320 (Variable
asabaliauskas on DSK3SPTVN1PROD with NOTICES

proposed rule change and discussed any Contracts of an Insurance Company).
comments it received on the proposed 6 FINRA previously solicited comment on a
rule change. The text of these statements proposal to move NASD Rule 2830 to the
may be examined at the places specified Consolidated FINRA Rulebook with substantive
in Item IV below. FINRA has prepared changes. See Regulatory Notice 09–34 (June 2009);
see also Securities Exchange Act Release No. 64386
May 3, 2011), 76 FR 26779 (May 9, 2011) (Notice
1 15 U.S.C. 78s(b)(1). of Filing File No. SR–FINRA–2011–018)
2 17 CFR 240.19b–4. (withdrawn on August 1, 2011). Given that FINRA
27 17 CFR 200.30–3(a)(12). 3 17 CFR 240.19b–4(f)(6). would like to proceed with the rulebook

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Federal Register / Vol. 81, No. 124 / Tuesday, June 28, 2016 / Notices 42017

In addition, the proposed rule change is designed to provide additional clarity Electronic Comments
makes technical changes to paragraph and regulatory efficiency to FINRA
(b)(10) of NASD Rule 2830. Paragraph members by consolidating the • Use the Commission’s Internet
(b)(10) of NASD Rule 2830 incorporates applicable NASD, Incorporated NYSE, comment form (http://www.sec.gov/
by reference several definitions under and FINRA rules into one rule set. rules/sro.shtml); or
the Investment Company Act, including • Send an email to rule-comments@
B. Self-Regulatory Organization’s
‘‘open-end management investment sec.gov. Please include File Number SR–
Statement on Burden on Competition
company.’’ However, the Investment FINRA–2016–019 on the subject line.
Company Act does not define the term FINRA does not believe that the
‘‘open-end management investment proposed rule change will result in any Paper Comments
company,’’ but defines ‘‘management burden on competition that is not
company,’’ and divides this term into necessary or appropriate in furtherance • Send paper comments in triplicate
two sub-classifications, ‘‘open-end of the purposes of the Act. As noted to Secretary, Securities and Exchange
company’’ and ‘‘closed-end company.’’ 7 above, the proposed rule change will Commission, 100 F Street NE.,
Accordingly, paragraph (b)(10) of not substantively change either the text Washington, DC 20549–1090.
proposed FINRA Rule 2341 would or application of the rule. FINRA would
like to proceed with the rulebook All submissions should refer to File
incorporate the definitions of ‘‘open-end
consolidation process expeditiously, Number SR–FINRA–2016–019. This file
company’’ and ‘‘closed-end company’’
from the Investment Company Act, which is believed will provide number should be included on the
rather than ‘‘open-end management additional clarity and regulatory subject line if email is used. To help the
investment company.’’ The proposed efficiency to members. Commission process and review your
rule change would then replace comments more efficiently, please use
C. Self-Regulatory Organization’s only one method. The Commission will
references to the terms ‘‘open-end Statement on Comments on the
management investment company,’’ post all comments on the Commission’s
Proposed Rule Change Received From
‘‘open-end investment company,’’ and Internet Web site (http://www.sec.gov/
Members, Participants, or Others
‘‘open-end management company’’ in rules/sro.shtml). Copies of the
NASD Rule 2830(c), (d), (g), (h), (i) and Written comments were neither submission, all subsequent
(j) with references to ‘‘open-end solicited nor received. amendments, all written statements
company.’’ Similarly, the proposed rule III. Date of Effectiveness of the with respect to the proposed rule
change would replace references to the Proposed Rule Change and Timing for change that are filed with the
term ‘‘closed-end investment company’’ Commission Action Commission, and all written
in NASD Rule 2830(d) and (j) with a communications relating to the
reference to ‘‘closed-end company.’’ Because the foregoing proposed rule
change does not: (i) Significantly affect proposed rule change between the
These proposed changes would correct Commission and any person, other than
these references in the NASD rule for the protection of investors or the public
interest; (ii) impose any significant those that may be withheld from the
the purposes of adopting it as a FINRA public in accordance with the
rule, without changing the substantive burden on competition; and (iii) become
operative for 30 days from the date on provisions of 5 U.S.C. 552, will be
meaning. FINRA has filed the proposed
which it was filed, or such shorter time available for Web site viewing and
rule change for immediate effectiveness.
The implementation date will be 30 as the Commission may designate, it has printing in the Commission’s Public
days after the date of the filing. become effective pursuant to Section Reference Room, 100 F Street NE.,
19(b)(3)(A) of the Act 9 and Rule 19b– Washington, DC 20549, on official
2. Statutory Basis 4(f)(6) thereunder.10 business days between the hours of 10
FINRA believes that the proposed rule At any time within 60 days of the a.m. and 3 p.m. Copies of such filing
change is consistent with the provisions filing of the proposed rule change, the also will be available for inspection and
of Section 15A(b)(6) of the Act,8 which Commission summarily may copying at the principal office of
requires, among other things, that temporarily suspend such rule change if FINRA. All comments received will be
FINRA rules must be designed to it appears to the Commission that such posted without change; the Commission
prevent fraudulent and manipulative action is necessary or appropriate in the does not edit personal identifying
acts and practices, to promote just and public interest, for the protection of information from submissions. You
equitable principles of trade, and, in investors, or otherwise in furtherance of
should submit only information that
general, to protect investors and the the purposes of the Act. If the
you wish to make available publicly. All
public interest. FINRA believes that the Commission takes such action, the
submissions should refer to File
proposed rule change, which does not Commission shall institute proceedings
to determine whether the proposed rule Number SR–FINRA–2016–019 and
substantively change the rule, is should be submitted on or before July
consistent with the Act because it is should be approved or disapproved.
19, 2016.
being undertaken pursuant to the IV. Solicitation of Comments
rulebook consolidation process, which For the Commission, by the Division of
Interested persons are invited to Trading and Markets, pursuant to delegated
submit written data, views and
asabaliauskas on DSK3SPTVN1PROD with NOTICES

consolidation process expeditiously to provide authority.11
greater clarity and regulatory efficiency to FINRA arguments concerning the foregoing, Brent J. Fields,
members, FINRA is proposing to move NASD Rule including whether the proposed rule
2830 to the Consolidated FINRA Rulebook without Secretary.
change is consistent with the Act.
substantive changes at this time, but FINRA may [FR Doc. 2016–15178 Filed 6–27–16; 8:45 am]
consider proposing substantive changes to the rule Comments may be submitted by any of
as part of future rulemaking. the following methods: BILLING CODE 8011–01–P
7 See Sections 4(3) and 5(a) of the Investment

Company Act. 9 15 U.S.C. 78s(b)(3)(A).
8 15 U.S.C. 78o–3(b)(6). 10 17 CFR 240.19b–4(f)(6). 11 17 CFR 200.30–3(a)(12).

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Document Created: 2016-06-28 00:53:19
Document Modified: 2016-06-28 00:53:19
Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Notices
FR Citation		81 FR 42016