81 FR 70460 - Sunshine Act Meeting
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 81, Issue 197 (October 12, 2016)
Federal Register Volume 81, Issue 197 (October 12, 2016)
| Page Range | 70460-70460 | |
| FR Document | 2016-24731 |
[Federal Register Volume 81, Number 197 (Wednesday, October 12, 2016)] [Notices] [Page 70460] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2016-24731] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission will hold an open meeting on Thursday, October 13, 2016 at 10 a.m., in the Auditorium, Room L-002. The subject matters of the open meeting will be:The Commission will consider whether to adopt new rules and forms and amendments to certain rules and forms to modernize the reporting of information by registered investment companies. The Commission will consider whether to adopt a new rule and amendments to certain rules and forms that would provide for liquidity risk management programs and related disclosures for open-end management investment companies. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted, or postponed, please contact Brent J. Fields in the Office of the Secretary at (202) 551-5400. Dated: October 6, 2016. Brent J. Fields, Secretary. [FR Doc. 2016-24731 Filed 10-7-16; 11:15 am] BILLING CODE 8011-01-P
![70460 Federal Register / Vol. 81, No. 197 / Wednesday, October 12, 2016 / Notices
available for Web site viewing and Dated: October 6, 2016. NASAA Letter on August 12, 2016.9
printing in the Commission’s Public Brent J. Fields, This order institutes proceedings under
Reference Room, 100 F Street NE., Secretary. Section 19(b)(2)(B) of the Act 10 to
Washington, DC 20549, on official [FR Doc. 2016–24731 Filed 10–7–16; 11:15 am] determine whether to approve or
business days between the hours of BILLING CODE 8011–01–P
disapprove the proposed rule changes.
10:00 a.m. and 3:00 p.m. Copies of the II. Description of the Proposed Rule
filing also will be available for Changes
inspection and copying at the principal SECURITIES AND EXCHANGE
office of the Exchange. All comments COMMISSION NYSEMKT–2016–52
received will be posted without change; NYSE MKT proposes to amend its
[Release No. 34–79055; File Nos. SR–
the Commission does not edit personal rules regarding when a member,
NYSEMKT–2016–52 and SR–NYSEArca–
identifying information from 2016–103] member organization, or an ATP Holder
submissions. You should submit only must file a Form U5 and amendments
information that you wish to make Self-Regulatory Organizations; NYSE thereto. Under Commentary .01 to NYSE
available publicly. All submissions MKT LLC; NYSE Arca, Inc.; Order MKT Rule 340, members and member
should refer to File Number SR– Instituting Proceedings To Determine organizations (collectively, ‘‘Members’’)
NYSEArca–2016–82 and should be Whether To Approve or Disapprove are required to file a Form U5 and any
submitted on or before November 2, Proposed Rule Changes To Extend the amendment thereto with the Central
2016. Rebuttal comments should be Time Within Which a Member, Member Registration Depository (‘‘CRD’’) within
submitted by November 16, 2016. Organization, an ATP Holder, an OTP 10 days of the date of termination of an
For the Commission, by the Division of Holder, or an OTP Firm Must File a employee that has been approved for
Trading and Markets, pursuant to delegated Uniform Termination Notice for admission to the trading floor. Under
authority.35 Securities Industry Registration Commentary .09 to NYSE MKT Rule
Brent J. Fields, (‘‘Form U5’’) 341, Members must submit information
concerning the termination of
Secretary. October 5, 2016. employment of a member, registered
[FR Doc. 2016–24577 Filed 10–11–16; 8:45 am]
I. Introduction employee, or an officer on Form U5
BILLING CODE 8011–01–P within 10 days of the date of
On June 16, 2016, NYSE MKT LLC termination. Under NYSE MKT Rule
(‘‘NYSE MKT’’) filed with the Securities 359(a), an ATP Holder that terminates
SECURITIES AND EXCHANGE and Exchange Commission an ATP Holder or approved person must
COMMISSION (‘‘Commission’’), pursuant to Section file a Form U5 within 10 days of such
19(b)(1) 1 of the Securities Exchange Act termination.
Sunshine Act Meeting of 1934 (‘‘Act’’) 2 and Rule 19b–4 NYSE MKT proposes to amend these
thereunder,3 a proposed rule change to rules by replacing the 10-day deadline
Notice is hereby given, pursuant to extend the time within which a member with a requirement to promptly file a
the provisions of the Government in the or member organization, or an Amex Form U5 with CRD, but not later than
Sunshine Act, Public Law 94–409, that Trading Permit Holder (‘‘ATP Holder’’) 30 calendar days after the date of
the Securities and Exchange must file a Form U5, or any termination of a member, ATP Holder,
Commission will hold an open meeting amendments thereto. The proposed rule registered employee, officer, or
on Thursday, October 13, 2016 at 10 change was published for comment in approved person. Further, the proposed
a.m., in the Auditorium, Room L–002. the Federal Register on July 7, 2016.4 rule change would require that any
The subject matters of the open On July 14, 2016, NYSE Arca, Inc. amendment to a Form U5 be promptly
meeting will be: (‘‘NYSE Arca’’) (NYSE MKT and NYSE filed with CRD, but not later than 30
Arca, each an ‘‘Exchange’’) filed with calendar days after learning of the facts
• The Commission will consider
the Commission, pursuant to Section or circumstances giving rise to the
whether to adopt new rules and forms
19(b)(1) 5 of the Act and Rule 19b–4 amendment. In addition, the proposed
and amendments to certain rules and
thereunder,6 a proposed rule change to rule change would require that all Form
forms to modernize the reporting of
extend the time within which an U5s be provided to the terminated
information by registered investment
Options Trading Permit Holder (‘‘OTP person concurrently with filing.
companies.
Holder’’) or Options Trading Permit
• The Commission will consider NYSEArca–2016–103
Firm (‘‘OTP Firm’’) must file a Form U5,
whether to adopt a new rule and or any amendments thereto. The Under NYSE Arca Rule 2.17(c), an
amendments to certain rules and forms proposed rule change was published for OTP Holder that terminates an OTP is
that would provide for liquidity risk comment in the Federal Register on July required to file a Form U5 or any
management programs and related 27, 2016.7 The Commission received amendment thereto within 10 business
disclosures for open-end management two comment letters regarding the days of the termination or the
investment companies. proposals.8 NYSE responded to the occurrence requiring the amendment.
At times, changes in Commission
1 15 U.S.C.78s(b)(1). Inc., dated August 3, 2016 (‘‘NASAA Letter’’) and
priorities require alterations in the 2 15 Rick A. Fleming, Investor Advocate and Tracey L.
U.S.C. 78a.
scheduling of meeting items. McNeil, Ombudsman, Office of the Investor
mstockstill on DSK3G9T082PROD with NOTICES
3 17 CFR 240.19b–4.
Advocate, Commission, dated October 3, 2016, to
For further information and to 4 See Securities Exchange Act Release No. 78198
Brent J. Fields, Secretary, Commission (‘‘OIA
ascertain what, if any, matters have been (June 30, 2016), 81 FR 44363. Letter’’).
5 15 U.S.C.78s(b)(1).
added, deleted, or postponed, please 9 See letter from Elizabeth K. King, General
6 17 CFR 240.19b–4.
contact Brent J. Fields in the Office of Counsel and Corporate Secretary, New York Stock
7 See Securities Exchange Act Release No. 78381 Exchange LLC, to Brent J. Fields, Secretary,
the Secretary at (202) 551–5400. (July 21, 2016), 81 FR 49286. Securities and Exchange Commission, dated August
8 See letters from Judith Shaw, President, North 12, 2016 (‘‘NYSE Letter’’).
35 17 CFR 200.30–3(a)(57). American Securities Administrators Association, 10 15 U.S.C. 78s(b)(2)(B).
VerDate Sep<11>2014 20:38 Oct 11, 2016 Jkt 241001 PO 00000 Frm 00075 Fmt 4703 Sfmt 4703 E:\FR\FM\12OCN1.SGM 12OCN1](https://thefederalregister.org/doc/81_FR_70657/page/1.svg)
Document Created: 2016-10-12 00:55:30
Document Modified: 2016-10-12 00:55:30
| 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 70460 |
2025 Federal Register | Disclaimer | Privacy Policy
USC | CFR | eCFR