81 FR 60394 - Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of Amendment No. 26 to the Second Restatement of the CTA Plan and Amendment No. 19 to the Restated CQ Plan To Add the Investors Exchange LLC as a Participant
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 81, Issue 170 (September 1, 2016)
Federal Register Volume 81, Issue 170 (September 1, 2016)
| Page Range | 60394-60395 | |
| FR Document | 2016-21022 |
[Federal Register Volume 81, Number 170 (Thursday, September 1, 2016)] [Notices] [Pages 60394-60395] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2016-21022] ======================================================================= ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-78701; File No. SR-CTA/CQ-2016-01] Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of Amendment No. 26 to the Second Restatement of the CTA Plan and Amendment No. 19 to the Restated CQ Plan To Add the Investors Exchange LLC as a Participant August 26, 2016. Pursuant to Section 11A(a)(3) of the Securities Exchange Act of 1934 (``Exchange Act'') \1\ and Rule 608 thereunder,\2\ notice is hereby given that on August 11, 2016 the Participants in the Second Restatement of the Consolidated Tape Association (``CTA'') Plan and the Restated Consolidated Quotation (``CQ'') Plan (``CTA/CQ Plans'') \3\ filed with the Securities and Exchange Commission (``Commission'') \4\ an amendment to the Plans to add Investors Exchange LLC (``IEX'') as a Participant \5\ to the Plans. The Commission is publishing this notice to solicit comments on the amendment from interested persons. --------------------------------------------------------------------------- \1\ 15 U.S.C 78k-1(a)(3). \2\ 17 CFR 242.608. \3\ See Securities Exchange Act Release Nos. 10787 (May 10, 1974), 39 FR 17799 (May 20, 1974) (declaring the CTA Plan effective); 15009 (July 28, 1978), 43 FR 34851 (August 7, 1978) (temporarily authorizing the CQ Plan); and 16518 (January 22, 1980), 45 FR 6521 (January 28, 1980) (permanently authorizing the CQ Plan). The most recent restatement of both Plans was in 1995. \4\ See Letter from Emily Kasparov, Chairman, Operating Committee, CTA/CQ Plan, to Brent J. Fields, Secretary, Securities and Exchange Commission, dated August 10, 2016. \5\ The term ``Participant'' is defined as a party to the Plan. --------------------------------------------------------------------------- I. Description and Purpose of the Plan Amendment As noted above, the amendment to the Plans adds the IEX as a Participant. On June 17, 2016, the Commission issued an order granting IEX's application for registration as a national securities exchange.\6\ A condition of the Commission's approval was the requirement for IEX to join the Plans. --------------------------------------------------------------------------- \6\ See Securities Exchange Act Release No. 78101 (June 17, 2016), 81 FR 41141 (June 23, 2016). --------------------------------------------------------------------------- Under Section III(c) of the Plan, any national securities association or national securities exchange, may become a Participant by (i) subscribing to, and submitting for filing with the Commission, the Plan; (ii) executing all applicable contracts made pursuant to the Plan, or necessary to its participation; (iii) paying the applicable ``Participation Fee;'' and (iv) paying ``provisioning costs to the Processor.'' The amendment is effective upon filing with the Commission in accordance with Rule 608 of Regulation NMS.\7\ --------------------------------------------------------------------------- \7\ The parallel provision in the CQ Plan is Section III(c). --------------------------------------------------------------------------- IEX has satisfied all requirements under the Plans, and has executed a copy of the Plans currently in effect, with the only change being the addition of its name to the CTA and CQ plans. Accordingly, all of the Plan requirements for effecting an amendment to the Plans to add IEX as a Participant have been satisfied. II. Effectiveness of the Proposed Plan Amendment The foregoing Plan amendments have become effective pursuant to Rule 608(b)(3)(iii) of the Exchange Act \8\ because they involve solely technical or ministerial matters. At any time within sixty days of the filing of this amendment, the Commission may [[Page 60395]] summarily abrogate the amendment and require that it be refiled pursuant to paragraph (a)(1) of Rule 608,\9\ if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or the maintenance of fair and orderly markets, to remove impediments to, and perfect the mechanisms of, a national market system or otherwise in furtherance of the purposes of the Exchange Act. --------------------------------------------------------------------------- \8\ 17 CFR 242.608(b)(3)(iii). \9\ 17 CFR 242.608(a)(1). --------------------------------------------------------------------------- III. Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the amendment is consistent with the Exchange 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-CTA/CQ-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-CTA/CQ-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 plan amendment that are filed with the Commission, and all written communications relating to the amendment 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 such filing also will be available for inspection and copying at the principal office of the Chicago Stock 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-CTA/CQ-2016-01 and should be submitted on or before September 22, 2016. By the Commission. Brent J. Fields, Secretary. [FR Doc. 2016-21022 Filed 8-31-16; 8:45 am] BILLING CODE 8011-01-P
![60394 Federal Register / Vol. 81, No. 170 / Thursday, September 1, 2016 / Notices
DATES: Final Supplement 57 to the GEIS received 11 public comment Plans’’) 3 filed with the Securities and
is available as of September 1, 2016. submissions from State and Federal Exchange Commission
ADDRESSES: Please refer to Docket ID government organizations, public (‘‘Commission’’) 4 an amendment to the
NRC–2014–0268 when contacting the interest organizations, private citizens, Plans to add Investors Exchange LLC
NRC about the availability of and the licensee. The comments (‘‘IEX’’) as a Participant 5 to the Plans.
information regarding this document. received on the draft Supplement 57 The Commission is publishing this
You may obtain publicly-available were addressed in the final Supplement notice to solicit comments on the
information related to this document 57 to the GEIS. amendment from interested persons.
using any of the following methods: II. Discussion I. Description and Purpose of the Plan
• Federal Rulemaking Web site: Go to Amendment
http://www.regulations.gov and search As discussed in Chapter 5 of the final
for Docket ID NRC–2014–0268. Address Supplement 57 to the GEIS, the NRC As noted above, the amendment to the
questions about NRC dockets to Carol determined that the adverse Plans adds the IEX as a Participant. On
Gallagher; telephone: 301–415–3463; environmental impacts of license June 17, 2016, the Commission issued
email: Carol.Gallagher@nrc.gov. For renewal for LSCS are not so great that an order granting IEX’s application for
technical questions, contact the preserving the option of license renewal registration as a national securities
individual listed in the FOR FURTHER for energy-planning decision makers exchange.6 A condition of the
INFORMATION CONTACT section of this would be unreasonable. This Commission’s approval was the
document. recommendation is based on: (1) The requirement for IEX to join the Plans.
• NRC’s Agencywide Documents analysis and findings in the GEIS; (2) Under Section III(c) of the Plan, any
Access and Management System information provided in the national securities association or
(ADAMS): You may obtain publicly- environmental report and other national securities exchange, may
available documents online in the documents submitted by Exelon become a Participant by (i) subscribing
ADAMS Public Documents collection at Generation Company, LLC; (3) to, and submitting for filing with the
http://www.nrc.gov/reading-rm/ consultation with Federal, State, local, Commission, the Plan; (ii) executing all
adams.html. To begin the search, select and Tribal government agencies; (4) the applicable contracts made pursuant to
‘‘ADAMS Public Documents’’ and then NRC staff’s independent environmental the Plan, or necessary to its
select ‘‘Begin Web-based ADAMS review; and (5) consideration of public participation; (iii) paying the applicable
Search.’’ For problems with ADAMS, comments received during the scoping ‘‘Participation Fee;’’ and (iv) paying
please contact the NRC’s Public process and on the draft Supplement 57 ‘‘provisioning costs to the Processor.’’
Document Room (PDR) reference staff at to the GEIS. The amendment is effective upon filing
1–800–397–4209, 301–415–4737, or by with the Commission in accordance
Dated at Rockville, Maryland, this 26th day
email to pdr.resource@nrc.gov. Final with Rule 608 of Regulation NMS.7
of August, 2016.
Supplement 57 to the GEIS is available IEX has satisfied all requirements
For the Nuclear Regulatory Commission. under the Plans, and has executed a
in ADAMS under Accession No. James G. Danna,
ML16238A029. copy of the Plans currently in effect,
Chief, Environmental Review and Projects with the only change being the addition
• NRC’s PDR: You may examine and Branch, Division of License Renewal, Office
purchase copies of public documents at of its name to the CTA and CQ plans.
of Nuclear Reactor Regulation. Accordingly, all of the Plan
the NRC’s PDR, Room O1–F21, One [FR Doc. 2016–21055 Filed 8–31–16; 8:45 am]
White Flint North, 11555 Rockville requirements for effecting an
Pike, Rockville, Maryland 20852.
BILLING CODE 7590–01–P amendment to the Plans to add IEX as
a Participant have been satisfied.
FOR FURTHER INFORMATION CONTACT:
William Ford, Office of Nuclear Reactor II. Effectiveness of the Proposed Plan
SECURITIES AND EXCHANGE
Regulation, U.S. Nuclear Regulatory Amendment
COMMISSION
Commission, Washington, DC 20555– The foregoing Plan amendments have
0001; telephone: 1–800–368–5642, [Release No. 34–78701; File No. SR–CTA/ become effective pursuant to Rule
extension 1263; email: William.Ford@ CQ–2016–01]
608(b)(3)(iii) of the Exchange Act 8
nrc.gov. because they involve solely technical or
Consolidated Tape Association; Notice
SUPPLEMENTARY INFORMATION: of Filing and Immediate Effectiveness ministerial matters. At any time within
of Amendment No. 26 to the Second sixty days of the filing of this
I. Background
Restatement of the CTA Plan and amendment, the Commission may
In accordance with section 51.118 of Amendment No. 19 to the Restated CQ
title 10 of the Code of Federal Plan To Add the Investors Exchange
3 See Securities Exchange Act Release Nos. 10787
Regulations, the NRC is making LLC as a Participant
(May 10, 1974), 39 FR 17799 (May 20, 1974)
available for public inspection, final (declaring the CTA Plan effective); 15009 (July 28,
1978), 43 FR 34851 (August 7, 1978) (temporarily
Supplement 57 to the GEIS regarding August 26, 2016. authorizing the CQ Plan); and 16518 (January 22,
the renewal of Exelon Generation Pursuant to Section 11A(a)(3) of the 1980), 45 FR 6521 (January 28, 1980) (permanently
Company, LLC, operating licenses NPF– Securities Exchange Act of 1934 authorizing the CQ Plan). The most recent
11 and NPF–18 for an additional 20 restatement of both Plans was in 1995.
(‘‘Exchange Act’’) 1 and Rule 608 4 See Letter from Emily Kasparov, Chairman,
years of operation for LSCS. Draft
asabaliauskas on DSK3SPTVN1PROD with NOTICES
thereunder,2 notice is hereby given that Operating Committee, CTA/CQ Plan, to Brent J.
Supplement 57 to the GEIS was noticed on August 11, 2016 the Participants in Fields, Secretary, Securities and Exchange
by the NRC in the Federal Register on the Second Restatement of the Commission, dated August 10, 2016.
February 11, 2016 (81 FR 7378), and Consolidated Tape Association (‘‘CTA’’) 5 The term ‘‘Participant’’ is defined as a party to
was noticed by the Environmental the Plan.
Plan and the Restated Consolidated 6 See Securities Exchange Act Release No. 78101
Protection Agency on February 19, 2016 Quotation (‘‘CQ’’) Plan (‘‘CTA/CQ (June 17, 2016), 81 FR 41141 (June 23, 2016).
(81 FR 8490). The public comment 7 The parallel provision in the CQ Plan is Section
period on draft Supplement 57 to the 1 15 U.S.C 78k–1(a)(3). III(c).
GEIS ended on April 4, 2016. The NRC 2 17 CFR 242.608. 8 17 CFR 242.608(b)(3)(iii).
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![Federal Register / Vol. 81, No. 170 / Thursday, September 1, 2016 / Notices 60395
summarily abrogate the amendment and identifying information from an order granting IEX’s application for
require that it be refiled pursuant to submissions. You should submit only registration as a national securities
paragraph (a)(1) of Rule 608,9 if it information that you wish to make exchange.6 A condition of the
appears to the Commission that such available publicly. All submissions Commission’s approval was the
action is necessary or appropriate in the should refer to File Number SR–CTA/ requirement for IEX to join the Plan.
public interest, for the protection of CQ–2016–01 and should be submitted Under Section I.B of the Plan, any
investors, or the maintenance of fair and on or before September 22, 2016. other national securities association or
orderly markets, to remove impediments By the Commission. national securities exchange, in whose
to, and perfect the mechanisms of, a Brent J. Fields, market Eligible Securities become
national market system or otherwise in traded, may become a Participant,
Secretary.
furtherance of the purposes of the provided that said organization executes
[FR Doc. 2016–21022 Filed 8–31–16; 8:45 am]
Exchange Act. a copy of the Plan and pays its share of
BILLING CODE 8011–01–P
III. Solicitation of Comments development costs, as specified in the
Plan. The amendment is effective upon
Interested persons are invited to filing with the Commission in
submit written data, views and SECURITIES AND EXCHANGE
COMMISSION accordance with Rule 608 of Regulation
arguments concerning the foregoing, NMS.
including whether the amendment is [Release No. 34–78700; File No. S7–24–89] IEX has satisfied all requirements
consistent with the Exchange Act. under the Plan, and has executed a copy
Comments may be submitted by any of Joint Industry Plan; Notice of Filing of the Plan currently in effect, with the
the following methods: and Immediate Effectiveness of only change being the addition of its
Amendment No. 37 to the Joint Self- name to the Plan. Accordingly, all of the
Electronic Comments
Regulatory Organization Plan Plan requirements for effecting an
• Use the Commission’s Internet Governing the Collection,
comment form (http://www.sec.gov/ amendment to the Plan to add IEX as a
Consolidation and Dissemination of Participant have been satisfied.
rules/sro.shtml); or Quotation and Transaction Information
• Send an email to rule-comments@ for Nasdaq-Listed Securities Traded on II. Effectiveness of the Proposed Plan
sec.gov. Please include File Number SR– Exchanges on an Unlisted Trading Amendment
CTA/CQ–2016–01 on the subject line. Privileges Basis To Add the Investors The foregoing Plan amendment has
Paper Comments Exchange LLC as a Participant become effective pursuant to Rule
• Send paper comments in triplicate August 26, 2016. 608(b)(3)(iii) of the Exchange Act 7
to Brent J. Fields, Secretary, Securities Pursuant to Section 11A(a)(3) of the because it involves solely technical or
and Exchange Commission, 100 F Street Securities Exchange Act of 1934 ministerial matters. At any time within
NE., Washington, DC 20549–1090. (‘‘Exchange Act’’) 1 and Rule 608 sixty days of the filing of this
All submissions should refer to File thereunder,2 notice is hereby given that amendment, the Commission may
Number SR–CTA/CQ–2016–01.This file on August 11, 2016 the Participants in summarily abrogate the amendment and
number should be included on the the Joint Self-Regulatory Organization require that it be refiled pursuant to
subject line if email is used. To help the Plan Governing the Collection, paragraph (a)(1) of Rule 608,8 if it
Commission process and review your Consolidation and Dissemination of appears to the Commission that such
comments more efficiently, please use Quotation and Transaction Information action is necessary or appropriate in the
only one method. The Commission will for Nasdaq-Listed Securities Traded on public interest, for the protection of
post all comments on the Commission’s Exchanges on an Unlisted Trading investors, or the maintenance of fair and
Internet Web site (http://www.sec.gov/ Privileges Basis (‘‘NASDAQ/UTP Plan’’ orderly markets, to remove impediments
rules/sro.shtml). Copies of the or ‘‘Plan’’) 3 filed with the Securities and to, and perfect the mechanisms of, a
submission, all subsequent Exchange Commission national market system or otherwise in
amendments, all written statements (‘‘Commission’’) 4 an amendment to the furtherance of the purposes of the
with respect to the proposed plan Plan to add Investors Exchange LLC Exchange Act.
amendment that are filed with the (‘‘IEX’’) as a Participant 5 to the Plan. III. Solicitation of Comments
Commission, and all written The Commission is publishing this
communications relating to the Interested persons are invited to
notice to solicit comments on the
amendment between the Commission amendment from interested persons. submit written data, views and
and any person, other than those that arguments concerning the foregoing,
I. Description and Purpose of the Plan including whether the amendment is
may be withheld from the public in
Amendment consistent with the Exchange Act.
accordance with the provisions of 5
U.S.C. 552, will be available for Web As noted above, the amendment to the Comments may be submitted by any of
site viewing and printing in the Plan adds the IEX as a Participant. On the following methods:
Commission’s Public Reference Room, June 17, 2016, the Commission issued Electronic Comments
100 F Street NE., Washington, DC
1 15 U.S.C. 78k–1(a)(3). • Use the Commission’s Internet
20549, on official business days
2 17 CFR 242.608. comment form (http://www.sec.gov/
between the hours of 10:00 a.m. and
asabaliauskas on DSK3SPTVN1PROD with NOTICES
3 See, e.g., Securities Exchange Act Release No. rules/sro.shtml); or
3:00 p.m. Copies of such filing also will 55647 (April 19, 2007) 72 FR 20891 (April 26, • Send an email to rule-comments@
be available for inspection and copying 2007). sec.gov. Please include File Number S7–
at the principal office of the Chicago 4 See Letter from Emily Kasparov, Chairman,
Operating Committee, NASDAQ UTP Plan, to Brent
24–89 on the subject line.
Stock Exchange. All comments received
J. Fields, Secretary, Securities and Exchange
will be posted without change; the Commission, dated August 10, 2016. 6 See Securities Exchange Act Release No. 78101
Commission does not edit personal 5 The term ‘‘Participant’’ is defined as a registered (June 17, 2016), 81 FR 41141 (June 23, 2016).
7 17 CFR 242.608(b)(3)(iii).
national securities exchange or national securities
9 17 CFR 242.608(a)(1). association that is a signatory to the Plan 8 17 CFR 242.608(a)(1).
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Document Created: 2018-02-09 11:57:42
Document Modified: 2018-02-09 11:57:42
| 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 60394 |
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