81 FR 59699 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending and Restating the Second Amended and Restated Certificate of Incorporation of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc.
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 81, Issue 168 (August 30, 2016)
Federal Register Volume 81, Issue 168 (August 30, 2016)
| Page Range | 59699-59700 | |
| FR Document | 2016-20742 |
[Federal Register Volume 81, Number 168 (Tuesday, August 30, 2016)] [Notices] [Pages 59699-59700] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2016-20742] [[Page 59699]] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-78661; File No. SR-NYSE-2016-57] Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending and Restating the Second Amended and Restated Certificate of Incorporation of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc. August 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 August 17, 2016, New York Stock Exchange LLC (``NYSE'' or the ``Exchange'') 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 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 to amend and restate the Second Amended and Restated Certificate of Incorporation (the ``ICE Certificate'') of the Exchange's ultimate parent company, Intercontinental Exchange, Inc. (``ICE''), to increase ICE's authorized share capital, and to make other, non-substantive changes. The proposed rule change is available on the Exchange's Web site at www.nyse.com, at the principal office of the Exchange, 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 proposed amendments would revise the ICE Certificate \4\ to increase the total number of authorized shares of ICE common stock, par value $0.01 per share (``Common Stock''), and make other, non- substantive changes. More specifically, the Exchange proposes to make the following amendments to the ICE Certificate: --------------------------------------------------------------------------- \4\ ICE owns 100% of the equity interest in Intercontinental Exchange Holdings, Inc., which in turn owns 100% of the equity interest in NYSE Holdings LLC. NYSE Holdings LLC owns 100% of the equity interest of NYSE Group, Inc., which in turn directly owns 100% of the equity interest of the Exchange and its affiliates NYSE Arca, Inc. and NYSE MKT LLC. ICE is a publicly traded company listed on the Exchange. The Exchange's affiliates, NYSE MKT LLC and NYSE Arca, Inc., have each submitted substantially the same proposed rule change to propose the changes described herein. See SR-NYSEMKT-2016- 80 and SR-NYSEArca-2016-119. ---------------------------------------------------------------------------In Article IV, Section A, the total number of shares of stock that ICE is authorized to issue would be changed from 600,000,000 to 1,600,000,000 shares, and the portion of that total constituting Common Stock would be changed from 500,000,000 to 1,500,000,000 shares. In Article V, Section A.5, the reference to ``this Section A of ARTICLE VI'' would be corrected to refer to ``this Section A of ARTICLE V''. References to the ``Second Amended and Restated Certificate of Incorporation'' would be changed throughout to refer to the ``Third Amended and Restated Certificate of Incorporation'', and related technical and conforming changes would be made to the recitals and signature page of the ICE Certificate. The proposed amendments to the ICE Certificate were approved by the board of directors of ICE (``ICE Board'') on August 1, 2016. The Exchange proposes that the above amendments to the ICE Certificate would be effective when filed with the Department of State of Delaware, which would not occur until approval of the amendments by the stockholders of ICE is obtained at a Special Meeting of Stockholders on October 12, 2016. The trading price of ICE's Common Stock has risen significantly since ICE's initial public offering in 2005,\5\ and the ICE Board believes that such price appreciation may impact the liquidity of ICE's Common Stock, making it more difficult to efficiently trade and potentially less attractive to certain investors. Accordingly, the ICE Board approved pursuing a 5-for-1 stock split by way of a stock dividend, pursuant to which the holders of record of shares of Common Stock would receive, by way of a dividend, four shares of Common Stock for each share of Common Stock held by such holder (the ``Stock Dividend''). The ICE Board's approval of the Stock Dividend was contingent upon Commission and ICE stockholder approval of the proposed amendments to the ICE Certificate. --------------------------------------------------------------------------- \5\ The closing price of ICE's Common Stock on July 29, 2016, the trading date prior to the ICE Board vote to approve the proposal, was $264.20. The price of ICE's Common Stock at its initial public offering on November 16, 2005, was $26.00. --------------------------------------------------------------------------- The number of shares of Common Stock proposed to be issued in the Stock Dividend exceeds ICE's authorized but unissued shares of Common Stock. The proposed rule change would increase ICE's authorized shares of Common Stock and shares of capital stock sufficient to allow ICE to effectuate the Stock Dividend. The proposed changes would not alter the limitations on voting and ownership set forth in Section V of the ICE Certificate. Such limitations were introduced at the time of ICE's acquisition of the Exchange, to ``minimize the potential that a person could improperly interfere with or restrict the ability of the Commission, the Exchange, or its subsidiaries to effectively carry out their regulatory oversight responsibilities under the Act.'' \6\ --------------------------------------------------------------------------- \6\ See Securities Exchange Act Release No. 70210 (August 15, 2013), 78 FR 51758 (August 21, 2013) (SR-NYSE-2013-42; SR-NYSEMKT- 2013-50; and SR-NYSEArca-2013-62), at 51760. ICE was previously named IntercontinentalExchange Group, Inc. See Securities Exchange Act Release No. 72158 (May 13, 2014), 79 FR 28784 (May 19, 2014) (SR-NYSE-2014-23). --------------------------------------------------------------------------- 2. Statutory Basis The Exchange believes that the proposed rule change is consistent with Section 6(b) of the Exchange Act,\7\ in general, and Section 6(b)(1) of the Exchange Act,\8\ in particular, in that it enables the Exchange to be so organized as to have the capacity to be able to carry out the purposes of the Exchange Act and to comply, and to enforce compliance by its exchange members and persons associated with its exchange members, with the provisions of the Exchange Act, the rules and regulations thereunder, and the rules of the Exchange. --------------------------------------------------------------------------- \7\ 15 U.S.C. 78f(b). \8\ 15 U.S.C. 78f(b)(1). --------------------------------------------------------------------------- The proposal to increase ICE's authorized shares of Common Stock and shares of capital stock sufficient to [[Page 59700]] allow ICE to effectuate the Stock Dividend would not impact the Exchange's ability to be so organized as to have the capacity to be able to carry out the purposes of the Exchange Act. In particular, the proposed changes would not alter the limitations on voting and ownership set forth in Section V of the ICE Certificate, and so the proposed changes would not enable a person to ``improperly interfere with or restrict the ability of the Commission, the Exchange, or its subsidiaries to effectively carry out their regulatory oversight responsibilities under the Act.'' \9\ --------------------------------------------------------------------------- \9\ See Securities Exchange Act Release No. 70210, supra note 6, at 51760. --------------------------------------------------------------------------- For similar reasons, the proposal is consistent with Section 6(b)(5) of the Exchange Act,\10\ because it would not impact the Exchange's governance or regulatory structure, which would continue to 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. --------------------------------------------------------------------------- \10\ 15 U.S.C. 78f(b)(5). --------------------------------------------------------------------------- The Exchange believes that approval of the proposal would remove impediments to, and perfect the mechanism of a free and open market and a national market system and, in general, protect investors and the public interest, because by increasing ICE's authorized shares of Common Stock and shares of capital stock sufficient to allow ICE to effectuate the Stock Dividend, the proposed rule change will facilitate broader ownership of ICE. The Exchange believes that amending Article V, Section A.5, to correct the reference to ``this Section A of ARTICLE VI'' to refer to ``this Section A of ARTICLE V'' would reduce potential confusion that may result from having an incorrect reference in the ICE Certificate. Replacing such incorrect reference would further the goal of transparency and add clarity to the ICE Certificate. 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 Exchange Act. The proposed rule change is not designed to address any competitive issue but rather is concerned solely with the number of authorized shares of Common Stock and shares of capital stock of the Exchange's ultimate parent. 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. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Within 45 days of the date of publication of this notice in the Federal Register or within such longer period up to 90 days (i) as the Commission may designate if it finds such longer period to be appropriate and publishes its reasons for so finding or (ii) as to which the Exchange consents, the Commission will: A. By order approve or disapprove such proposed rule change, or B. institute proceedings to determine whether the proposed rule change should be 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 [email protected]. Please include File Number SR-NYSE-2016-57 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-NYSE-2016-57. 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-NYSE-2016-57, and should be submitted on or before September 20, 2016. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.\11\ --------------------------------------------------------------------------- \11\ 17 CFR 200.30-3(a)(12). --------------------------------------------------------------------------- Robert W. Errett, Deputy Secretary. [FR Doc. 2016-20742 Filed 8-29-16; 8:45 am] BILLING CODE 8011-01-P
![Federal Register / Vol. 81, No. 168 / Tuesday, August 30, 2016 / Notices 59699
SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s appreciation may impact the liquidity of
COMMISSION Statement of the Purpose of, and the ICE’s Common Stock, making it more
Statutory Basis for, the Proposed Rule difficult to efficiently trade and
[Release No. 34–78661; File No. SR–NYSE–
2016–57]
Change potentially less attractive to certain
investors. Accordingly, the ICE Board
1. Purpose
Self-Regulatory Organizations; New approved pursuing a 5-for-1 stock split
York Stock Exchange LLC; Notice of The proposed amendments would by way of a stock dividend, pursuant to
Filing of Proposed Rule Change revise the ICE Certificate 4 to increase which the holders of record of shares of
Amending and Restating the Second the total number of authorized shares of Common Stock would receive, by way
Amended and Restated Certificate of ICE common stock, par value $0.01 per of a dividend, four shares of Common
Incorporation of the Exchange’s share (‘‘Common Stock’’), and make Stock for each share of Common Stock
Ultimate Parent Company, other, non-substantive changes. More held by such holder (the ‘‘Stock
Intercontinental Exchange, Inc. specifically, the Exchange proposes to Dividend’’). The ICE Board’s approval of
make the following amendments to the the Stock Dividend was contingent
August 24, 2016. ICE Certificate: upon Commission and ICE stockholder
Pursuant to Section 19(b)(1) 1 of the • In Article IV, Section A, the total approval of the proposed amendments
Securities Exchange Act of 1934 (the number of shares of stock that ICE is to the ICE Certificate.
‘‘Act’’) 2 and Rule 19b–4 thereunder,3 authorized to issue would be changed The number of shares of Common
notice is hereby given that, on August from 600,000,000 to 1,600,000,000 Stock proposed to be issued in the Stock
17, 2016, New York Stock Exchange shares, and the portion of that total Dividend exceeds ICE’s authorized but
LLC (‘‘NYSE’’ or the ‘‘Exchange’’) filed constituting Common Stock would be unissued shares of Common Stock. The
with the Securities and Exchange changed from 500,000,000 to proposed rule change would increase
Commission (the ‘‘Commission’’) the 1,500,000,000 shares. ICE’s authorized shares of Common
proposed rule change as described in • In Article V, Section A.5, the Stock and shares of capital stock
Items I and II below, which Items have reference to ‘‘this Section A of ARTICLE sufficient to allow ICE to effectuate the
been prepared by the self-regulatory VI’’ would be corrected to refer to ‘‘this Stock Dividend.
organization. The Commission is Section A of ARTICLE V’’. The proposed changes would not alter
publishing this notice to solicit • References to the ‘‘Second the limitations on voting and ownership
comments on the proposed rule change Amended and Restated Certificate of set forth in Section V of the ICE
from interested persons. Incorporation’’ would be changed Certificate. Such limitations were
throughout to refer to the ‘‘Third introduced at the time of ICE’s
I. Self-Regulatory Organization’s
Amended and Restated Certificate of acquisition of the Exchange, to
Statement of the Terms of Substance of
Incorporation’’, and related technical ‘‘minimize the potential that a person
the Proposed Rule Change
and conforming changes would be made could improperly interfere with or
The Exchange proposes to amend and to the recitals and signature page of the restrict the ability of the Commission,
restate the Second Amended and ICE Certificate. the Exchange, or its subsidiaries to
Restated Certificate of Incorporation (the The proposed amendments to the ICE effectively carry out their regulatory
‘‘ICE Certificate’’) of the Exchange’s Certificate were approved by the board oversight responsibilities under the
ultimate parent company, of directors of ICE (‘‘ICE Board’’) on Act.’’ 6
Intercontinental Exchange, Inc. (‘‘ICE’’), August 1, 2016. The Exchange proposes
to increase ICE’s authorized share that the above amendments to the ICE 2. Statutory Basis
capital, and to make other, non- Certificate would be effective when filed The Exchange believes that the
substantive changes. The proposed rule with the Department of State of proposed rule change is consistent with
change is available on the Exchange’s Delaware, which would not occur until Section 6(b) of the Exchange Act,7 in
Web site at www.nyse.com, at the approval of the amendments by the general, and Section 6(b)(1) of the
principal office of the Exchange, and at stockholders of ICE is obtained at a Exchange Act,8 in particular, in that it
the Commission’s Public Reference Special Meeting of Stockholders on enables the Exchange to be so organized
Room. October 12, 2016. as to have the capacity to be able to
II. Self-Regulatory Organization’s The trading price of ICE’s Common carry out the purposes of the Exchange
Statement of the Purpose of, and Stock has risen significantly since ICE’s Act and to comply, and to enforce
Statutory Basis for, the Proposed Rule initial public offering in 2005,5 and the compliance by its exchange members
Change ICE Board believes that such price and persons associated with its
exchange members, with the provisions
In its filing with the Commission, the 4 ICE owns 100% of the equity interest in
of the Exchange Act, the rules and
self-regulatory organization included Intercontinental Exchange Holdings, Inc., which in
turn owns 100% of the equity interest in NYSE
regulations thereunder, and the rules of
statements concerning the purpose of,
Holdings LLC. NYSE Holdings LLC owns 100% of the Exchange.
and basis for, the proposed rule change the equity interest of NYSE Group, Inc., which in The proposal to increase ICE’s
and discussed any comments it received turn directly owns 100% of the equity interest of authorized shares of Common Stock and
on the proposed rule change. The text the Exchange and its affiliates NYSE Arca, Inc. and
NYSE MKT LLC. ICE is a publicly traded company
shares of capital stock sufficient to
of those statements may be examined at
listed on the Exchange. The Exchange’s affiliates,
the places specified in Item IV below. NYSE MKT LLC and NYSE Arca, Inc., have each 6 See Securities Exchange Act Release No. 70210
mstockstill on DSK3G9T082PROD with NOTICES
The Exchange has prepared summaries, submitted substantially the same proposed rule (August 15, 2013), 78 FR 51758 (August 21, 2013)
set forth in sections A, B, and C below, change to propose the changes described herein. (SR–NYSE–2013–42; SR–NYSEMKT–2013–50; and
of the most significant parts of such See SR–NYSEMKT–2016–80 and SR–NYSEArca– SR–NYSEArca–2013–62), at 51760. ICE was
2016–119. previously named IntercontinentalExchange Group,
statements. 5 The closing price of ICE’s Common Stock on Inc. See Securities Exchange Act Release No. 72158
July 29, 2016, the trading date prior to the ICE (May 13, 2014), 79 FR 28784 (May 19, 2014) (SR–
1 15 U.S.C. 78s(b)(1). NYSE–2014–23).
Board vote to approve the proposal, was $264.20.
2 15 U.S.C. 78a. 7 15 U.S.C. 78f(b).
The price of ICE’s Common Stock at its initial
3 17 CFR 240.19b–4. public offering on November 16, 2005, was $26.00. 8 15 U.S.C. 78f(b)(1).
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![59700 Federal Register / Vol. 81, No. 168 / Tuesday, August 30, 2016 / Notices
allow ICE to effectuate the Stock The proposed rule change is not Commission, and all written
Dividend would not impact the designed to address any competitive communications relating to the
Exchange’s ability to be so organized as issue but rather is concerned solely with proposed rule change between the
to have the capacity to be able to carry the number of authorized shares of Commission and any person, other than
out the purposes of the Exchange Act. Common Stock and shares of capital those that may be withheld from the
In particular, the proposed changes stock of the Exchange’s ultimate parent. public in accordance with the
would not alter the limitations on voting provisions of 5 U.S.C. 552, will be
C. Self-Regulatory Organization’s
and ownership set forth in Section V of available for Web site viewing and
Statement on Comments on the
the ICE Certificate, and so the proposed printing in the Commission’s Public
Proposed Rule Change Received From
changes would not enable a person to Reference Room, 100 F Street NE.,
Members, Participants, or Others
‘‘improperly interfere with or restrict Washington, DC 20549, on official
the ability of the Commission, the No written comments were solicited business days between the hours of
Exchange, or its subsidiaries to or received with respect to the proposed 10:00 a.m. and 3:00 p.m. Copies of the
effectively carry out their regulatory rule change. filing also will be available for
oversight responsibilities under the III. Date of Effectiveness of the inspection and copying at the principal
Act.’’ 9 Proposed Rule Change and Timing for office of the Exchange. All comments
For similar reasons, the proposal is Commission Action received will be posted without change;
consistent with Section 6(b)(5) of the the Commission does not edit personal
Exchange Act,10 because it would not Within 45 days of the date of identifying information from
impact the Exchange’s governance or publication of this notice in the Federal submissions. You should submit only
regulatory structure, which would Register or within such longer period information that you wish to make
continue to be designed to prevent up to 90 days (i) as the Commission may available publicly. All submissions
fraudulent and manipulative acts and designate if it finds such longer period should refer to File Number SR–NYSE–
practices, to promote just and equitable to be appropriate and publishes its 2016–57, and should be submitted on or
principles of trade, to foster cooperation reasons for so finding or (ii) as to which before September 20, 2016.
and coordination with persons engaged the Exchange consents, the Commission
will: For the Commission, by the Division of
in regulating, clearing, settling, Trading and Markets, pursuant to delegated
processing information with respect to, A. By order approve or disapprove
authority.11
and facilitating transactions in such proposed rule change, or
B. institute proceedings to determine Robert W. Errett,
securities, to remove impediments to, Deputy Secretary.
and perfect the mechanism of a free and whether the proposed rule change
open market and a national market should be disapproved. [FR Doc. 2016–20742 Filed 8–29–16; 8:45 am]
BILLING CODE 8011–01–P
system and, in general, to protect IV. Solicitation of Comments
investors and the public interest.
The Exchange believes that approval Interested persons are invited to
submit written data, views, and SECURITIES AND EXCHANGE
of the proposal would remove
arguments concerning the foregoing, COMMISSION
impediments to, and perfect the
mechanism of a free and open market including whether the proposed rule
and a national market system and, in change is consistent with the Act. [Release No. 34–78666; File No. SR–
general, protect investors and the public Comments may be submitted by any of BatsBZX–2016–48]
interest, because by increasing ICE’s the following methods:
Self-Regulatory Organizations; Bats
authorized shares of Common Stock and Electronic Comments BZX Exchange, Inc.; Notice of Filing of
shares of capital stock sufficient to • Use the Commission’s Internet a Proposed Rule Change to Rule
allow ICE to effectuate the Stock comment form (http://www.sec.gov/ 14.11(c)(4) To List and Trade Shares of
Dividend, the proposed rule change will rules/sro.shtml); or the iShares iBonds Dec 2023 Term
facilitate broader ownership of ICE. • Send an email to rule-comments@ Muni Bond ETF and iShares iBonds
The Exchange believes that amending sec.gov. Please include File Number SR– Dec 2024 Term Muni Bond ETF of the
Article V, Section A.5, to correct the NYSE–2016–57 on the subject line. iShares U.S. ETF Trust
reference to ‘‘this Section A of ARTICLE
VI’’ to refer to ‘‘this Section A of Paper Comments August 24, 2016.
ARTICLE V’’ would reduce potential • Send paper comments in triplicate
confusion that may result from having Pursuant to Section 19(b)(1) of the
to Secretary, Securities and Exchange Securities Exchange Act of 1934
an incorrect reference in the ICE Commission, 100 F Street NE.,
Certificate. Replacing such incorrect (‘‘Act’’),1 and Rule 19b–4 thereunder,2
Washington, DC 20549–1090. notice is hereby given that on August 9,
reference would further the goal of All submissions should refer to File
transparency and add clarity to the ICE 2016, Bats BZX Exchange, Inc.
Number SR–NYSE–2016–57. This file (‘‘Exchange’’ or ‘‘BZX’’) filed with the
Certificate. number should be included on the Securities and Exchange Commission
B. Self-Regulatory Organization’s subject line if email is used. To help the (‘‘Commission’’) the proposed rule
Statement on Burden on Competition Commission process and review your change as described in Items I and II
The Exchange does not believe that comments more efficiently, please use below, which Items have been prepared
only one method. The Commission will
mstockstill on DSK3G9T082PROD with NOTICES
the proposed rule change will impose by the Exchange. The Commission is
any burden on competition that is not post all comments on the Commission’s publishing this notice to solicit
necessary or appropriate in furtherance Internet Web site (http://www.sec.gov/ comments on the proposed rule change
of the purposes of the Exchange Act. rules/sro.shtml). Copies of the from interested persons.
submission, all subsequent
9 See Securities Exchange Act Release No. 70210, amendments, all written statements 11 17 CFR 200.30–3(a)(12).
supra note 6, at 51760. with respect to the proposed rule 1 15 U.S.C. 78s(b)(1).
10 15 U.S.C. 78f(b)(5). change that are filed with the 2 17 CFR 240.19b–4.
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Document Created: 2018-02-09 11:42:35
Document Modified: 2018-02-09 11:42:35
| 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 59699 |
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