81 FR 60395 - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 37 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis 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 | 60395-60396 | |
| FR Document | 2016-21021 |
[Federal Register Volume 81, Number 170 (Thursday, September 1, 2016)] [Notices] [Pages 60395-60396] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2016-21021] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-78700; File No. S7-24-89] Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 37 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis 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 Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis (``NASDAQ/UTP Plan'' or ``Plan'') \3\ filed with the Securities and Exchange Commission (``Commission'') \4\ an amendment to the Plan to add Investors Exchange LLC (``IEX'') as a Participant \5\ to the Plan. 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, e.g., Securities Exchange Act Release No. 55647 (April 19, 2007) 72 FR 20891 (April 26, 2007). \4\ See Letter from Emily Kasparov, Chairman, Operating Committee, NASDAQ UTP Plan, to Brent J. Fields, Secretary, Securities and Exchange Commission, dated August 10, 2016. \5\ The term ``Participant'' is defined as a registered national securities exchange or national securities association that is a signatory to the Plan --------------------------------------------------------------------------- I. Description and Purpose of the Plan Amendment As noted above, the amendment to the Plan 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 Plan. --------------------------------------------------------------------------- \6\ See Securities Exchange Act Release No. 78101 (June 17, 2016), 81 FR 41141 (June 23, 2016). --------------------------------------------------------------------------- Under Section I.B of the Plan, any other national securities association or national securities exchange, in whose market Eligible Securities become traded, may become a Participant, provided that said organization executes a copy of the Plan and pays its share of development costs, as specified in the Plan. The amendment is effective upon filing with the Commission in accordance with Rule 608 of Regulation NMS. IEX has satisfied all requirements under the Plan, and has executed a copy of the Plan currently in effect, with the only change being the addition of its name to the Plan. Accordingly, all of the Plan requirements for effecting an amendment to the Plan to add IEX as a Participant have been satisfied. II. Effectiveness of the Proposed Plan Amendment The foregoing Plan amendment has become effective pursuant to Rule 608(b)(3)(iii) of the Exchange Act \7\ because it involves solely technical or ministerial matters. At any time within sixty days of the filing of this amendment, the Commission may summarily abrogate the amendment and require that it be refiled pursuant to paragraph (a)(1) of Rule 608,\8\ 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. --------------------------------------------------------------------------- \7\ 17 CFR 242.608(b)(3)(iii). \8\ 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 rule-comments@sec.gov. Please include File Number S7-24-89 on the subject line. [[Page 60396]] 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 S7-24-89. 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 the 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 S7-24-89 and should be submitted on or before September 22, 2016. By the Commission. Brent J. Fields, Secretary. [FR Doc. 2016-21021 Filed 8-31-16; 8:45 am] BILLING CODE 8011-01-P
![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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![60396 Federal Register / Vol. 81, No. 170 / Thursday, September 1, 2016 / Notices
Paper Comments an applicant using the Company name Applicant’s Address: 2806 Flintrock
• Send paper comments in triplicate box, at http://www.sec.gov/search/ Trace, Suite A204, Austin, Texas 78738.
to Brent J. Fields, Secretary, Securities search.htm or by calling (202) 551–
Berwyn Funds [File No. 811–04963]
and Exchange Commission, 100 F Street 8090. An order granting each
application will be issued unless the Summary: Applicant seeks an order
NE., Washington, DC 20549–1090.
SEC orders a hearing. Interested persons declaring that it has ceased to be an
All submissions should refer to File may request a hearing on any investment company. Applicant has
Number S7–24–89. This file number application by writing to the SEC’s transferred its assets to Investment
should be included on the subject line Secretary at the address below and Managers Series Trust and, on April 29,
if email is used. To help the serving the relevant applicant with a 2016, made a final distribution to its
Commission process and review your copy of the request, personally or by shareholders based on net asset value.
comments more efficiently, please use mail. Hearing requests should be Expenses of $780,729 incurred in
only one method. The Commission will received by the SEC by 5:30 p.m. on connection with the reorganization were
post all comments on the Commission’s September 20, 2016, and should be paid by applicant’s investment adviser.
Internet Web site (http://www.sec.gov/ accompanied by proof of service on Filing Date: The application was filed
rules/sro.shtml). Copies of the applicants, in the form of an affidavit or, on July 27, 2016.
submission, all subsequent for lawyers, a certificate of service. Applicant’s Address: c/o Chartwell
amendments, all written statements Pursuant to Rule 0–5 under the Act, Investment Partners, LLC, 1189
with respect to the proposed plan hearing requests should state the nature Lancaster Avenue, Berwyn,
amendment that are filed with the of the writer’s interest, any facts bearing Pennsylvania 19312.
Commission, and all written upon the desirability of a hearing on the
communications relating to the Paramount Institutional Access Fund
matter, the reason for the request, and [File No. 811–22580]
amendment between the Commission the issues contested. Persons who wish
and any person, other than those that to be notified of a hearing may request Summary: Applicant, a closed-end
may be withheld from the public in notification by writing to the investment company, seeks an order
accordance with the provisions of 5 Commission’s Secretary. declaring that it has ceased to be an
U.S.C. 552, will be available for Web investment company. Applicant has
ADDRESSES: The Commission: Secretary,
site viewing and printing in the never made a public offering of its
Commission’s Public Reference Room, U.S. Securities and Exchange securities and does not propose to make
100 F Street NE., Washington, DC Commission, 100 F Street NE., a public offering or engage in business
20549, on official business days Washington, DC 20549–1090. of any kind.
between the hours of 10:00 a.m. and FOR FURTHER INFORMATION CONTACT: Hae- Filing Dates: The application was
3:00 p.m. Copies of the filing also will Sung Lee, Attorney-Adviser, at (202) filed on July 28, 2016, and amended on
be available for inspection and copying 551–7345 or Chief Counsel’s Office at August 19, 2016.
at the principal office of the Chicago (202) 551–6821; SEC, Division of Applicant’s Address: c/o Paramount
Stock Exchange. All comments received Investment Management, Chief Access Advisors, LLC, Millennium
will be posted without change; the Counsel’s Office, 100 F Street NE., Tower, Suite 1200, 15455 N. Dallas
Commission does not edit personal Washington, DC 20549–8010. Pkwy, Addison, Texas 75001.
identifying information from American Funds Tax-Exempt Series I Paramount Access Fund [File No. 811–
submissions. You should submit only [File No. 811–04653] 22579]
information that you wish to make
available publicly. All submissions Summary: Applicant seeks an order Summary: Applicant, a closed-end
should refer to File Number S7–24–89 declaring that it has ceased to be an investment company, seeks an order
and should be submitted on or before investment company. Applicant has declaring that it has ceased to be an
September 22, 2016. transferred its assets to Tax-Exempt investment company. Applicant has
Bond Fund of America and, on June 17, never made a public offering of its
By the Commission. 2016, made a final distribution to its securities and does not propose to make
Brent J. Fields, shareholders based on net asset value. a public offering or engage in business
Secretary. Expenses of $161,000 incurred in of any kind.
[FR Doc. 2016–21021 Filed 8–31–16; 8:45 am] connection with the reorganization were Filing Date: The application was filed
BILLING CODE 8011–01–P paid by applicant’s investment adviser. on July 28, 2016.
Filing Date: The application was filed Applicant’s Address: c/o Paramount
on June 20, 2016. Access Advisors, LLC, Millennium
SECURITIES AND EXCHANGE Applicant’s Address: 6455 Irvine Tower, Suite 1200, 15455 N. Dallas
COMMISSION Center Drive, Irvine, California 92618. Pkwy, Addison, Texas 75001.
[Release No. IC–32239] Newmark Risk-Managed Opportunistic Dreyfus Municipal Money Market
Fund [File No. 811–08993] Fund, Inc. [File No. 811–02946]
Notice of Applications for
Deregistration Under Section 8(f) of the Summary: Applicant seeks an order Summary: Applicant seeks an order
Investment Company Act of 1940 declaring that it has ceased to be an declaring that it has ceased to be an
investment company. On December 31, investment company. Applicant has
asabaliauskas on DSK3SPTVN1PROD with NOTICES
August 26, 2016. 2015, applicant made a liquidating transferred its assets to General
The following is a notice of distribution to its shareholders, based Municipal Money Market Fund and, on
applications for deregistration under on net asset value. Expenses of $350 November 13, 2015, made a final
section 8(f) of the Investment Company incurred in connection with the distribution to its shareholders based on
Act of 1940 for the month of August liquidation were paid by applicant’s net asset value. Expenses of $169,000
2016. A copy of each application may be investment adviser. incurred in connection with the
obtained via the Commission’s Web site Filing Date: The application was filed reorganization were paid by applicant’s
by searching for the file number, or for on June 21, 2016. investment adviser.
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Document Created: 2018-02-09 11:57:40
Document Modified: 2018-02-09 11:57:40
| 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 60395 |
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