81 FR 42779 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for a Temporary Suspension of Those Aspects of Rules 36.20-Equities and 36.21-Equities That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Due to the Unavailability of Floor Broker Telephone Services
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 81, Issue 126 (June 30, 2016)
Federal Register Volume 81, Issue 126 (June 30, 2016)
| Page Range | 42779-42781 | |
| FR Document | 2016-15500 |
[Federal Register Volume 81, Number 126 (Thursday, June 30, 2016)] [Notices] [Pages 42779-42781] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2016-15500] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-78155; File No. SR-NYSEMKT-2016-64] Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change for a Temporary Suspension of Those Aspects of Rules 36.20--Equities and 36.21-- Equities That Would Not Permit Floor Brokers To Use Personal Portable Phone Devices on the Trading Floor Due to the Unavailability of Floor Broker Telephone Services June 24, 2016. Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of 1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby given that on June 24, 2016, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I and II below, which Items have been prepared by the self-regulatory organization. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. --------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1). \2\ 15 U.S.C. 78a. \3\ 17 CFR 240.19b-4. --------------------------------------------------------------------------- I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes a temporary suspension of those aspects of Rules 36.20--Equities and 36.21--Equities that would not permit Floor brokers to use personal portable phone devices on the Trading Floor due to the unavailability of Floor broker telephone services on June 24, 2016. The proposed rule change is available on the Exchange's Web site at www.nyse.com, at the principal office of the Exchange, [[Page 42780]] 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 self-regulatory organization included statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it received on the proposed rule change. The text of those 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 parts 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 temporarily suspend those aspects of Rules 36.20--Equities (``Rule 36.20'') and 36.21--Equities (``Rule 36.21'') that would not permit Floor brokers to use personal portable phone devices on the Trading Floor.\4\ As proposed, all other aspects of Rule 36--Equities (``Rule 36'') remain applicable and the temporary suspensions of the applicable Rule 36 requirements are in effect on June 24, 2016 only.\5\ --------------------------------------------------------------------------- \4\ Pursuant to Rule 6A--Equities, the Trading Floor is defined as the restricted-access physical areas designated by the Exchange for the trading of securities. \5\ The Exchange provided Floor brokers with notice of this rule filing, including the applicable recordkeeping and other requirements related to using personal cell phones during the temporary suspension of Rule 36. --------------------------------------------------------------------------- On June 24, 2016, the third-party carrier that provides service for the wired phone lines for Floor brokers experienced an issue that affected the availability of those phone lines. This suspension of service only impacted the service for telephone service for Floor brokers and did not impact phone service for Designated Market Makers. The Exchange is working closely with the third-party carrier to restore such phone service. Rules 36.20 and 36.21 govern the type of telephone communications that are approved for Floor brokers. Pursuant to Rule 36.20, Floor brokers may maintain a telephone line on the Trading Floor and use Exchange authorized and provided portable phones while on the Trading Floor. The use of such Exchange authorized and provided portable phones is governed by Rule 36.21. Because of the issues with the third-party carrier, Floor brokers are unable to reach their customers via their third-party carrier wired telephone lines. While Exchange-provided portable phones are operating, not all Floor brokers have Exchange- provided and authorized portable phones. However, the personal cell phones of Floor brokers are operational on the Trading Floor. The Exchange believes that because communications with customers is a vital part of a Floor broker's role as agent and therefore contributes to maintaining a fair and orderly market, during the period when the phone lines are non-operational, Floor brokers who do not have Exchange authorized and provided portable phones should be permitted to use personal cell phone devices in lieu of the non-operational wired phone lines.\6\ --------------------------------------------------------------------------- \6\ To the extent that the wired phone lines are operational, Floor brokers must use those phone lines rather than use a personal cell phone. --------------------------------------------------------------------------- The Exchange therefore proposes to temporarily suspend the limitations in Rules 36.20 and 36.21 that permit Floor brokers to use only Exchange authorized and provided portable phones so that Floor brokers who do not have an Exchange authorized and portable phone may use personal cell phones on the Trading Floor. The Exchange proposes that pursuant to this temporary suspension, Floor brokers must provide the Exchange with the names of all Floor-based personnel who used personal portable phones during this temporary suspension period, together with the phone number and applicable carrier for each number. Floor broker member organizations must maintain in their books and records all cell phone records that show both incoming and outgoing calls that were made during the period that a personal portable phone was used on the Trading Floor. To the extent the records are unavailable from the third-party carrier, the Floor brokers must maintain contemporaneous records of all calls made or received on a personal portable phone while on the Trading Floor. As with all member organization records, such cell phone records must be provided to Exchange regulatory staff on request. 2. Statutory Basis The Exchange believes that the proposed rule change is consistent with Section 6(b) of the Act,\7\ in general, and furthers the objectives of Section 6(b)(5) of the Act,\8\ in particular, in that it is 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 facilitating transactions in securities, and to remove impediments to and perfect the mechanism of a free and open market and a national market system. --------------------------------------------------------------------------- \7\ 15 U.S.C. 78f(b). \8\ 15 U.S.C. 78f(b)(5). --------------------------------------------------------------------------- In particular, because of issues experienced by a third-party phone carrier, wired phone lines are not functional. The Exchange believes that the proposed temporary suspensions from those aspects of Rule 36 that restrict Floor broker's use of personal portable phones on the Trading Floor removes impediments to and perfects the mechanism of a free and open market and national market system because the proposed relief will enable Floor brokers who do not have an Exchange authorized and provided portable phone to conduct their regular business, notwithstanding the ongoing issues with telephone service. The Exchange further believes that without the requested relief, Floor brokers would be compromised in their ability to conduct their regular course of business on the Trading Floor. In particular, for Floor brokers, because they operate as agents for customers, their inability to communicate with customers could compromise their ability to represent public orders on the Trading Floor. B. Self-Regulatory Organization's Statement on Burden on Competition The Exchange 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. The Exchange does not believe that the proposed rule change will impose any burden on competition because the proposed change only impacts Floor brokers and has no change in operations for other market participants or other market centers. To the contrary, the Exchange believes that without the proposed relief, Floor brokers would be compromised in their ability to conduct their regular course of business on the Trading Floor, thereby placing a burden on the Floor brokers' ability to compete. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others No written comments were solicited or received with respect to the proposed rule change. [[Page 42781]] III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action The Exchange has filed the proposed rule change pursuant to Section 19(b)(3)(A)(iii) of the Act \9\ and Rule 19b-4(f)(6) thereunder.\10\ 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 prior to 30 days from the date on which it was filed, or such shorter time as the Commission may designate, if consistent with the protection of investors and the public interest, the proposed rule change has become effective pursuant to Section 19(b)(3)(A) of the Act and Rule 19b- 4(f)(6)(iii) thereunder.\11\ --------------------------------------------------------------------------- \9\ 15 U.S.C. 78s(b)(3)(A)(iii). \10\ 17 CFR 240.19b-4(f)(6). \11\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6) requires a self-regulatory organization to give the Commission written notice of its intent to file the proposed rule change, along with a brief description and text of the proposed rule change, at least five business days prior to the date of filing of the proposed rule change, or such shorter time as designated by the Commission. The Commission has determined to waive the five-day prefiling period in this case. --------------------------------------------------------------------------- A proposed rule change filed under Rule 19b-4(f)(6) under the Act \12\ normally does not become operative prior to 30 days after the date of the filing. However, pursuant to Rule 19b-4(f)(6)(iii),\13\ the Commission may 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. In support of the request, the Exchange states that waiver the 30-day operative delay will allow the Exchange to invoke the relief immediately upon filing, which is necessary so that Floor brokers may be able to communicate with their customers on a day with significantly increased volumes of trading due both to the United Kingdom referendum vote to leave the European Union and the rebalancing of the Russell Investment Group indices after the close of trading on June 24, 2016. Based on the above, the Commission believes that waiver of the 30-day operative delay is consistent with the protection of investors and the public interest because it will permit Floor brokers to remain in communication with customers while wired phone lines are unavailable. Accordingly, the Commission designates the proposed rule change as operative upon filing with the Commission.\14\ --------------------------------------------------------------------------- \12\ 17 CFR 240.19b-4(f)(6). \13\ 17 CFR 240.19b-4(f)(6)(iii). \14\ For purposes only of waiving the 30-day operative delay, the Commission has 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 such proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act. If the Commission takes such action, the Commission shall institute proceedings under Section 19(b)(2)(B) \15\ of the Act to determine whether the proposed rule change should be approved or disapproved. --------------------------------------------------------------------------- \15\ 15 U.S.C. 78s(b)(2)(B). --------------------------------------------------------------------------- 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-NYSEMKT-2016-64 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-NYSEMKT-2016-64. 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-NYSEMKT-2016-64, and should be submitted on or before July 21, 2016. --------------------------------------------------------------------------- \16\ 17 CFR 200.30-3(a)(12). For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.\16\ Jill M. Peterson, Assistant Secretary. [FR Doc. 2016-15500 Filed 6-29-16; 8:45 am] BILLING CODE 8011-01-P
![Federal Register / Vol. 81, No. 126 / Thursday, June 30, 2016 / Notices 42779
directly into the FCM Clearing securities clearing or persons using such not edit personal identifying
Member’s segregated futures account. securities-clearing service. At any time information from submissions. You
For the reasons stated above, OCC within 60 days of the filing of the should submit only information that
believes that the proposed rule change proposed rule change, the Commission you wish to make available publicly.
is designed to assure the safeguarding of summarily may temporarily suspend All submissions should refer to File
securities and funds which are in the such rule change if it appears to the Number SR–OCC–2016–003 and should
custody or control of OCC or for which Commission that such action is be submitted on or before July 21, 2016.
it is responsible in accordance with necessary or appropriate in the public For the Commission, by the Division of
Section 17A(b)(3)(F) of the Act 10 and is interest, for the protection of investors, Trading and Markets, pursuant to delegated
reasonably designed to ensure that OCC or otherwise in furtherance of the authority.16
holds margin assets in a manner that purposes of the Act. Brent J. Fields,
minimizes risk of loss or delay in its Secretary.
IV. Solicitation of Comments
access to them, consistent with Rule
Interested persons are invited to [FR Doc. 2016–15455 Filed 6–29–16; 8:45 am]
17Ad–22(d)(3).11 The proposed rule
change is not inconsistent with the submit written data, views and BILLING CODE 8011–01–P
existing rules of OCC, including any arguments concerning the foregoing,
other rules proposed to be amended. including whether the proposed rule
change is consistent with the Act. SECURITIES AND EXCHANGE
(B) Clearing Agency’s Statement on Comments may be submitted by any of COMMISSION
Burden on Competition the following methods:
[Release No. 34–78155; File No. SR–
OCC does not believe that the Electronic Comments NYSEMKT–2016–64]
proposed rule change would have any
impact or impose any burden on • Use the Commission’s Internet Self-Regulatory Organizations; NYSE
competition12 not necessary or comment form (http://www.sec.gov/ MKT LLC; Notice of Filing and
appropriate in furtherance of the Act rules/sro.shtml); or Immediate Effectiveness of Proposed
because it pertains solely to OCC’s • Send an email to rule-comments@ Rule Change for a Temporary
activities relating to the clearing of sec.gov. Please include File Number SR– Suspension of Those Aspects of Rules
commodity futures products subject to OCC–2016–003 on the subject line. 36.20—Equities and 36.21—Equities
the exclusive jurisdiction of the CFTC Paper Comments That Would Not Permit Floor Brokers
and therefore would not have any • Send paper comments in triplicate To Use Personal Portable Phone
impact or impose any burden on to Secretary, Securities and Exchange Devices on the Trading Floor Due to
competition in securities markets or any Commission, 100 F Street NE., the Unavailability of Floor Broker
other market governed by the Act. Washington, DC 20549–1090. Telephone Services
(C) Clearing Agency’s Statement on All submissions should refer to File June 24, 2016.
Comments on the Proposed Rule Number SR–OCC–2016–003. This file Pursuant to Section 19(b)(1) 1 of the
Change Received From Members, number should be included on the Securities Exchange Act of 1934 (the
Participants or Others subject line if email is used. To help the ‘‘Act’’) 2 and Rule 19b–4 thereunder,3
Written comments on the proposed Commission process and review your notice is hereby given that on June 24,
rule change were not and are not comments more efficiently, please use 2016, NYSE MKT LLC (the ‘‘Exchange’’
intended to be solicited with respect to only one method. The Commission will or ‘‘NYSE MKT’’) filed with the
the proposed rule change and none have post all comments on the Commission’s Securities and Exchange Commission
been received. Internet Web site (http://www.sec.gov/ (‘‘Commission’’) the proposed rule
rules/sro.shtml). Copies of the change as described in Items I and II
III. Date of Effectiveness of the submission, all subsequent below, which Items have been prepared
Proposed Rule Change and Timing for amendments, all written statements by the self-regulatory organization. The
Commission Action with respect to the proposed rule Commission is publishing this notice to
The foregoing rule change has become change that are filed with the solicit comments on the proposed rule
effective upon filing 13 pursuant to Commission, and all written change from interested persons.
Section 19(b)(3)(A)(iii) of the Act 14 and communications relating to the
Rule 19b–4(f)(4)(ii) thereunder 15 proposed rule change between the I. Self-Regulatory Organization’s
because it effects a change in an existing Commission and any person, other than Statement of the Terms of Substance of
service of OCC that (i) primarily affects those that may be withheld from the the Proposed Rule Change
the clearing operations of OCC with public in accordance with the The Exchange proposes a temporary
respect to products that are not provisions of 5 U.S.C. 552, will be suspension of those aspects of Rules
securities, including futures that are not available for Web site viewing and 36.20—Equities and 36.21—Equities
security futures and (ii) does not printing in the Commission’s Public that would not permit Floor brokers to
significantly affect any securities Reference Room, 100 F Street NE., use personal portable phone devices on
clearing operations of OCC or any rights Washington, DC 20549, on official the Trading Floor due to the
or obligations of OCC with respect to business days between the hours of unavailability of Floor broker telephone
10:00 a.m. and 3:00 p.m. Copies of such services on June 24, 2016. The proposed
filings also will be available for
mstockstill on DSK3G9T082PROD with NOTICES
10 15 U.S.C. 78q–1(b)(3)(F). rule change is available on the
11 17 CFR 240.17Ad–22(d)(3). inspection and copying at the principal Exchange’s Web site at www.nyse.com,
12 15 U.S.C. 78q–1(b)(3)(I).
office of OCC and on OCC’s Web site at at the principal office of the Exchange,
13 Notwithstanding the immediate effectiveness of
http://www.theocc.com/components/
the proposed rule change, implementation of this
rule change is also contingent on it being deemed docs/legal/rules_and_bylaws/sr_occ_16_ 16 17 CFR 200.30–3(a)(12).
certified under CFTC Regulation § 40.6. 003.pdf. 1 15 U.S.C. 78s(b)(1).
14 15 U.S.C. 78s(b)(3)(A)(iii). All comments received will be posted 2 15 U.S.C. 78a.
15 17 CFR 240.19b–4(f)(4)(ii). without change; the Commission does 3 17 CFR 240.19b–4.
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![Federal Register / Vol. 81, No. 126 / Thursday, June 30, 2016 / Notices 42781
III. Date of Effectiveness of the operative upon filing with the Washington, DC 20549 on official
Proposed Rule Change and Timing for Commission.14 business days between the hours of
Commission Action At any time within 60 days of the 10:00 a.m. and 3:00 p.m. Copies of the
The Exchange has filed the proposed filing of such proposed rule change, the filing also will be available for
rule change pursuant to Section Commission summarily may inspection and copying at the principal
19(b)(3)(A)(iii) of the Act 9 and Rule temporarily suspend such rule change if office of the Exchange. All comments
19b–4(f)(6) thereunder.10 Because the it appears to the Commission that such received will be posted without change;
proposed rule change does not: (i) action is necessary or appropriate in the the Commission does not edit personal
significantly affect the protection of public interest, for the protection of identifying information from
investors or the public interest; (ii) investors, or otherwise in furtherance of submissions. You should submit only
impose any significant burden on the purposes of the Act. If the information that you wish to make
competition; and (iii) become operative Commission takes such action, the available publicly. All submissions
prior to 30 days from the date on which Commission shall institute proceedings should refer to File Number SR–
it was filed, or such shorter time as the under Section 19(b)(2)(B) 15 of the Act to NYSEMKT–2016–64, and should be
Commission may designate, if determine whether the proposed rule submitted on or before July 21, 2016.
consistent with the protection of change should be approved or For the Commission, by the Division of
investors and the public interest, the disapproved. Trading and Markets, pursuant to delegated
proposed rule change has become IV. Solicitation of Comments authority.16
effective pursuant to Section 19(b)(3)(A) Jill M. Peterson,
Interested persons are invited to
of the Act and Rule 19b–4(f)(6)(iii) Assistant Secretary.
submit written data, views, and
thereunder.11 arguments concerning the foregoing, [FR Doc. 2016–15500 Filed 6–29–16; 8:45 am]
A proposed rule change filed under BILLING CODE 8011–01–P
including whether the proposed rule
Rule 19b–4(f)(6) under the Act 12
change is consistent with the Act.
normally does not become operative
Comments may be submitted by any of
prior to 30 days after the date of the SECURITIES AND EXCHANGE
the following methods:
filing. However, pursuant to Rule 19b– COMMISSION
4(f)(6)(iii),13 the Commission may Electronic Comments
[Release No. 34–78152; File No. SR–
designate a shorter time if such action • Use the Commission’s Internet NYSEArca–2016–90]
is consistent with the protection of comment form (http://www.sec.gov/
investors and the public interest. The rules/sro.shtml); or Self-Regulatory Organizations; NYSE
Exchange has asked the Commission to • Send an email to rule-comments@ Arca, Inc.; Notice of Filing and
waive the 30-day operative delay so that sec.gov. Please include File Number SR– Immediate Effectiveness of Proposed
the proposal may become operative NYSEMKT–2016–64 on the subject line. Rule Change to Temporarily Widen
immediately upon filing. In support of Price Collar Thresholds for the Core
the request, the Exchange states that Paper Comments
Open Auction and Trading Halt
waiver the 30-day operative delay will • Send paper comments in triplicate Auctions
allow the Exchange to invoke the relief to Brent J. Fields, Secretary, Securities
immediately upon filing, which is and Exchange Commission, 100 F Street June 24, 2016.
necessary so that Floor brokers may be NE., Washington, DC 20549–1090. Pursuant to Section 19(b)(1) 1 of the
able to communicate with their All submissions should refer to File Securities Exchange Act of 1934 (the
customers on a day with significantly Number SR–NYSEMKT–2016–64. This ‘‘Act’’),2 and Rule 19b–4 thereunder,3
increased volumes of trading due both file number should be included on the notice is hereby given that on June 24,
to the United Kingdom referendum vote subject line if email is used. To help the 2016, NYSE Arca, Inc. (the ‘‘Exchange’’
to leave the European Union and the Commission process and review your or ‘‘NYSE Arca’’) filed with the
rebalancing of the Russell Investment comments more efficiently, please use Securities and Exchange Commission
Group indices after the close of trading only one method. The Commission will (the ‘‘Commission’’) the proposed rule
on June 24, 2016. Based on the above, post all comments on the Commission’s change as described in Items I and II
the Commission believes that waiver of Internet Web site (http://www.sec.gov/ below, which Items have been prepared
the 30-day operative delay is consistent rules/sro.shtml). Copies of the by the self-regulatory organization. The
with the protection of investors and the submission, all subsequent Commission is publishing this notice to
public interest because it will permit amendments, all written statements solicit comments on the proposed rule
Floor brokers to remain in with respect to the proposed rule change from interested persons.
communication with customers while change that are filed with the I. Self-Regulatory Organization’s
wired phone lines are unavailable. Commission, and all written Statement of the Terms of Substance of
Accordingly, the Commission communications relating to the the Proposed Rule Change
designates the proposed rule change as proposed rule change between the
Commission and any person, other than The Exchange proposes to temporarily
9 15 U.S.C. 78s(b)(3)(A)(iii). those that may be withheld from the widen price collar thresholds for the
10 17 CFR 240.19b–4(f)(6).
public in accordance with the Core Open Auction and Trading Halt
11 17 CFR 240.19b–4(f)(6). In addition, Rule 19b–
provisions of 5 U.S.C. 552, will be Auctions, which would be operative on
4(f)(6) requires a self-regulatory organization to give
the Commission written notice of its intent to file available for Web site viewing and June 24, 2016 only. The proposed rule
mstockstill on DSK3G9T082PROD with NOTICES
the proposed rule change, along with a brief printing in the Commission’s Public change is available on the Exchange’s
description and text of the proposed rule change,
Reference Room, 100 F Street NE., Web site at www.nyse.com, at the
at least five business days prior to the date of filing principal office of the Exchange, and at
of the proposed rule change, or such shorter time
as designated by the Commission. The Commission 14 For purposes only of waiving the 30-day
16 17 CFR 200.30–3(a)(12).
has determined to waive the five-day prefiling operative delay, the Commission has considered the
period in this case. 1 15 U.S.C. 78s(b)(1).
proposed rule’s impact on efficiency, competition,
12 17 CFR 240.19b–4(f)(6). and capital formation. See 15 U.S.C. 78c(f). 2 15 U.S.C. 78a.
13 17 CFR 240.19b–4(f)(6)(iii). 15 15 U.S.C. 78s(b)(2)(B). 3 17 CFR 240.19b–4.
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Document Created: 2018-02-08 07:44:36
Document Modified: 2018-02-08 07:44:36
| 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 42779 |
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