81_FR_60565 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

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)

Page Range60395-60396
FR Document2016-21021

Federal Register, Volume 81 Issue 170 (Thursday, September 1, 2016)
[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]


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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.
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    \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
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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).
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    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 Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to rule-comments@sec.gov. Please include 
File Number 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
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionNotices
FR Citation81 FR 60395 

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