81 FR 78873 - Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add to the Rules of the Exchange the Eleventh Amended and Restated Operating Agreement of the New York Stock Exchange LLC
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 81, Issue 217 (November 9, 2016)
Federal Register Volume 81, Issue 217 (November 9, 2016)
| Page Range | 78873-78875 | |
| FR Document | 2016-27025 |
[Federal Register Volume 81, Number 217 (Wednesday, November 9, 2016)] [Notices] [Pages 78873-78875] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2016-27025] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-79232; File No. SR-NYSEMKT-2016-96] Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add to the Rules of the Exchange the Eleventh Amended and Restated Operating Agreement of the New York Stock Exchange LLC November 3, 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 October 24, 2016, NYSE MKT LLC (the ``Exchange'' or ``NYSE MKT'') 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 the Substance of the Proposed Rule Change The Exchange proposes to add to the rules of the Exchange the Eleventh Amended and Restated Operating Agreement of the New York Stock Exchange LLC (``NYSE LLC''). 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. [[Page 78874]] A. Self-Regulatory Organization's Statement of the Purpose of, and the Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to add to the rules of the Exchange the Eleventh Amended and Restated Operating Agreement of NYSE LLC (the ``Eleventh NYSE Operating Agreement''). In September 2015, the Exchange filed the Eighth Amended and Restated Operating Agreement of NYSE LLC (the ``Eighth NYSE Operating Agreement'') as a ``rule of the exchange'' under Section 3(a)(27) of the Act because NYSE LLC has a wholly-owned subsidiary, NYSE Market (DE), Inc., which owns a majority interest in NYSE Amex Options LLC (``NYSE Amex Options''), a facility of the Exchange.\4\ The Exchange subsequently removed the obsolete Eighth NYSE Operating Agreement and replaced it with the Ninth Amended and Restated Operating Agreement of NYSE LLC as a ``rule of the exchange'' under Section 3(a)(27) of the Act.\5\ In turn, when the Ninth Amended and Restated Operating Agreement of NYSE LLC was amended, the Exchange removed it and replaced it with the Tenth Amended and Restated Operating Agreement of NYSE LLC (the ``Tenth NYSE Operating Agreement'') as a ``rule of the exchange'' under Section 3(a)(27) of the Act.\6\ --------------------------------------------------------------------------- \4\ See 15 U.S.C. 78c(a)(27); Securities Exchange Act Release No. 75984 (September 25, 2015), 80 FR 59213, 59214 (October 1, 2015) (SR-NYSEMKT-2015-71). \5\ See 15 U.S.C. 78c(a)(27); Securities Exchange Act Release No. 76637 (December 14, 2015), 80 FR 79124 (December 18, 2015) (SR- NYSEMKT-2015-102). \6\ See Securities Exchange Act Release No. 78436 (July 28, 2016), 81 FR 51249 (August 3, 2016) (SR-NYSE-2016-51). --------------------------------------------------------------------------- On October 6, 2016, NYSE LLC filed on an immediately effective basis to amend Section 4.05 of the Tenth NYSE Operating Agreement regarding the use of regulatory assets, fees, fines and penalties, and to make additional, non-substantive edits.\7\ On October 18, 2016, NYSE LLC's rule filing amending the Tenth NYSE Operating Agreement was noticed.\8\ Such rule change will become operative 30 days from the date on which it was filed, or such shorter time as the Commission may designate.\9\ --------------------------------------------------------------------------- \7\ See Securities Exchange Act Release No. 79115 (October 18, 2016), 81 FR 73187 (October 24, 2016) (SR-NYSE-2016-66). \8\ Id. \9\ Id. at 73189. --------------------------------------------------------------------------- The Exchange is accordingly filing to remove the obsolete Tenth NYSE Operating Agreement as a ``rule of the exchange'' under Section 3(a)(27) of the Act, and replace it with the Eleventh NYSE Operating Agreement as a ``rule of the exchange'' under Section 3(a)(27) of the Act.\10\ The Exchange proposes that the rule change become effective on the date that the rule change amending the Tenth NYSE Operating Agreement becomes operative. --------------------------------------------------------------------------- \10\ See 15 U.S.C. 78c(a)(27). --------------------------------------------------------------------------- 2. Statutory Basis The Exchange believes that the proposed rule change is consistent with Section 6(b) of the Exchange Act \11\ in general, and with Section 6(b)(1) \12\ 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. --------------------------------------------------------------------------- \11\ 15 U.S.C. 78f(b). \12\ 15 U.S.C. 78f(b)(1). --------------------------------------------------------------------------- The Exchange believes that the proposed rule change would contribute to the orderly operation of the Exchange and would enable the Exchange to be so organized as to have the capacity to carry out the purposes of the Act and comply and enforce compliance by its members and persons associated with its members, with the provisions of the Act because, by removing the obsolete Tenth NYSE Operating Agreement and making the Eleventh NYSE Operating Agreement a rule of the Exchange, the Exchange would be ensuring that its rules remain consistent with the NYSE LLC operating agreement in effect. The Exchange notes that, as with the Tenth NYSE Operating Agreement, it would be required to file any changes to the Eleventh NYSE Operating Agreement with the Commission as a proposed rule change.\13\ In addition, the Exchange believes that the proposed changes are consistent with and will facilitate an ownership structure of the Exchange's facility NYSE Amex Options that will provide the Commission with appropriate oversight tools to ensure that the Commission will have the ability to enforce the Act with respect to NYSE Amex Options and its direct and indirect parent entities. --------------------------------------------------------------------------- \13\ The Exchange notes that any amendment to the NYSE LLC Operating Agreement would also require that NYSE LLC file a proposed rule change with the Commission. --------------------------------------------------------------------------- The Exchange also believes that this filing furthers the objectives of Section 6(b)(5) of the Act \14\ because the proposed rule change would be consistent with and facilitate a governance and regulatory structure that is 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. The Exchange believes that removing the obsolete Tenth NYSE Operating Agreement and making the Eleventh NYSE Operating Agreement a rule of the Exchange will remove impediments to the operation of the Exchange by ensuring that its rules remain consistent with the NYSE LLC operating agreement in effect. The Exchange notes that, as with the Tenth NYSE Operating Agreement, no amendment to the Eleventh NYSE Operating Agreement could be made without the Exchange filing a proposed rule change with the Commission. For the same reasons, the proposed rule change is also designed to protect investors as well as the public interest. --------------------------------------------------------------------------- \14\ 15 U.S.C. 78f(b)(5). --------------------------------------------------------------------------- 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 intended to address competitive issues but rather is concerned solely with ensuring that the Commission will have the ability to enforce the Act with respect to NYSE Amex Options and its direct and indirect parent entities. 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 The Exchange has filed the proposed rule change pursuant to Section 19(b)(3)(A)(iii) of the Act \15\ and Rule 19b-4(f)(6) thereunder.\16\ Because the proposed rule change does not: (i) Significantly affect the protection of investors or the public interest; (ii) impose any significant burden on [[Page 78875]] competition; and (iii) become operative for 30 days from the date on which it was filed, or such shorter time as the Commission may designate, the proposed rule change has become effective pursuant to Section 19(b)(3)(A) of the Act and Rule 19b-4(f)(6)(iii) thereunder.\17\ --------------------------------------------------------------------------- \15\ 15 U.S.C. 78s(b)(3)(A)(iii). \16\ 17 CFR 240.19b-4(f)(6). \17\ In addition, Rule 19b-4(f)(6)(iii) requires the Exchange to give the Commission written notice of the Exchange's intent to file the proposed rule change, along with a brief description and text of the proposed rule change, at least five business days prior to the date of filing of the proposed rule change, or such shorter time as designated by the Commission. The Exchange has satisfied this requirement. --------------------------------------------------------------------------- A proposed rule change filed under Rule 19b-4(f)(6) \18\ normally does not become operative prior to 30 days after the date of the filing. However, Rule 19b-4(f)(6)(iii) permits the Commission to designate a shorter time if such action is consistent with the protection of investors and the public interest. The Exchange has asked the Commission to waive the 30-day operative delay so that the proposal may become operative on November 5, 2016, the same date that the proposed rule change to amend the Tenth NYSE Operating Agreement and to renumber it as the Eleventh NYSE Operating Agreement becomes operative.\19\ The Commission believes that waiver of the 30-day operative delay is appropriate because it would permit the Eleventh NYSE Operating Agreement to become ``rules of an exchange'' of NYSE MKT without delay.\20\ Based on the foregoing, the Commission believes that the waiver of the operative delay is consistent with the protection of investors and the public interest.\21\ The Commission hereby grants the waiver and designates the proposal operative upon November 5, 2016, the same date that the rule change amending the Tenth NYSE Operating Agreement and renumbering it as the Eleventh NYSE Operating Agreement becomes operative.\22\ --------------------------------------------------------------------------- \18\ 17 CFR 240.19b-4(f)(6). \19\ See supra note 7. \20\ See 15 U.S.C. 78c(a)(27). \21\ For purposes only of waiving the 30-day operative delay, the Commission has also considered the proposed rule's impact on efficiency, competition, and capital formation. See 15 U.S.C. 78c(f). \22\ See supra note 7. --------------------------------------------------------------------------- At any time within 60 days of the filing of such proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act. If the Commission takes such action, the Commission shall institute proceedings under Section 19(b)(2)(B) \23\ of the Act to determine whether the proposed rule change should be approved or disapproved. --------------------------------------------------------------------------- \23\ 15 U.S.C. 78s(b)(2)(B). --------------------------------------------------------------------------- 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 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-NYSEMKT-2016-96 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-NYSEMKT-2016-96. 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 20549-1090, 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-NYSEMKT-2016-96 and should be submitted on or before November 30, 2016. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.\24\ --------------------------------------------------------------------------- \24\ 17 CFR 200.30-3(a)(12). --------------------------------------------------------------------------- Brent J. Fields, Secretary. [FR Doc. 2016-27025 Filed 11-8-16; 8:45 am] BILLING CODE 8011-01-P
![Federal Register / Vol. 81, No. 217 / Wednesday, November 9, 2016 / Notices 78873
subject to the MSRB’s regulation and Paper Comments SECURITIES AND EXCHANGE
oversight and to provide for their COMMISSION
representation in the decision-making • Send paper comments in triplicate
processes of the Board. to Secretary, Securities and Exchange
[Release No. 34–79232; File No. SR–
Commission, 100 F Street NE.,
B. Self-Regulatory Organization’s NYSEMKT–2016–96]
Washington, DC 20549.
Statement on Burden on Competition
All submissions should refer to File Self-Regulatory Organizations; NYSE
Section 15B(b)(2)(C) of the Act 13 Number SR–MSRB–2016–13. This file MKT LLC; Notice of Filing and
requires that MSRB rules not be number should be included on the Immediate Effectiveness of Proposed
designed to impose any burden on subject line if email is used. To help the Rule Change To Add to the Rules of
competition not necessary or Commission process and review your the Exchange the Eleventh Amended
appropriate in furtherance of the comments more efficiently, please use and Restated Operating Agreement of
purposes of the Act. The MSRB believes only one method. The Commission will the New York Stock Exchange LLC
that the proposed rule change does not post all comments on the Commission’s
impose any burden on competition not November 3, 2016.
Internet Web site (http://www.sec.gov/
necessary or appropriate in furtherance Pursuant to Section 19(b)(1) 1 of the
rules/sro.shtml). Copies of the
of the purposes of the Act, in that the Securities Exchange Act of 1934 (the
proposed rule change simply amends submission, all subsequent
amendments, all written statements ‘‘Act’’) 2 and Rule 19b–4 thereunder,3
the quorum requirements applicable to
with respect to the proposed rule notice is hereby given that on October
the MSRB Board, and does not affect or
change that are filed with the 24, 2016, NYSE MKT LLC (the
impose a burden on competition.
Commission, and all written ‘‘Exchange’’ or ‘‘NYSE MKT’’) filed with
C. Self-Regulatory Organization’s communications relating to the the Securities and Exchange
Statement on Comments on the proposed rule change between the Commission (the ‘‘Commission’’) the
Proposed Rule Change Received From Commission and any person, other than proposed rule change as described in
Members, Participants, or Others those that may be withheld from the Items I and II below, which Items have
Written comments were neither public in accordance with the been prepared by the self-regulatory
solicited nor received on the proposed provisions of 5 U.S.C. 552, will be organization. The Commission is
rule change. available for Web site viewing and publishing this notice to solicit
printing in the Commission’s Public comments on the proposed rule change
III. Date of Effectiveness of the Reference Room, 100 F Street NE., from interested persons.
Proposed Rule Change and Timing for Washington, DC 20549 on official
Commission Action I. Self-Regulatory Organization’s
business days between the hours of Statement of the Terms of the Substance
The foregoing proposed rule change 10:00 a.m. and 3:00 p.m. Copies of the of the Proposed Rule Change
has become effective pursuant to filing also will be available for
Section 19(b)(3)(A) of the Act 14 and inspection and copying at the principal The Exchange proposes to add to the
paragraph (f) of Rule 19b–4 office of the MSRB. All comments rules of the Exchange the Eleventh
thereunder.15 At any time within 60 received will be posted without change; Amended and Restated Operating
days of the filing of the proposed rule the Commission does not edit personal Agreement of the New York Stock
change, the Commission summarily may identifying information from Exchange LLC (‘‘NYSE LLC’’). The
temporarily suspend such rule change if submissions. You should submit only proposed rule change is available on the
it appears to the Commission that such information that you wish to make Exchange’s Web site at www.nyse.com,
action is necessary or appropriate in the available publicly. All submissions at the principal office of the Exchange,
public interest, for the protection of should refer to File Number SR–MSRB– and at the Commission’s Public
investors, or otherwise in furtherance of 2016–13 and should be submitted on or Reference Room.
the purposes of the Act. before November 30, 2016.
II. Self-Regulatory Organization’s
IV. Solicitation of Comments For the Commission, pursuant to delegated Statement of the Purpose of, and
authority.16 Statutory Basis for, the Proposed Rule
Interested persons are invited to
submit written data, views, and Brent J. Fields, Change
arguments concerning the foregoing, Secretary.
In its filing with the Commission, the
including whether the proposed rule [FR Doc. 2016–27021 Filed 11–8–16; 8:45 am]
change is consistent with the Act. self-regulatory organization included
BILLING CODE 8011–01–P
Comments may be submitted by any of statements concerning the purpose of,
the following methods: and basis for, the proposed rule change
and discussed any comments it received
Electronic Comments on the proposed rule change. The text
• Use the Commission’s Internet of those statements may be examined at
comment form (http://www.sec.gov/ the places specified in Item IV below.
rules/sro.shtml); or The Exchange has prepared summaries,
sradovich on DSK3GMQ082PROD with NOTICES
set forth in sections A, B, and C below,
• Send an email to rule-comments@ of the most significant parts of such
sec.gov. Please include File Number SR–
statements.
MSRB–2016–13 on the subject line.
13 15 1 15 U.S.C. 78s(b)(1).
U.S.C. 78o–4(b)(2)(C).
14 15 2 15 U.S.C. 78a.
U.S.C. 78s(b)(3)(A).
15 17 CFR 240.19b–4(f). 16 17 CFR 200.30–3(a)(12). 3 17 CFR 240.19b–4.
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![Federal Register / Vol. 81, No. 217 / Wednesday, November 9, 2016 / Notices 78875
competition; and (iii) become operative under Section 19(b)(2)(B) 23 of the Act to For the Commission, by the Division of
for 30 days from the date on which it determine whether the proposed rule Trading and Markets, pursuant to delegated
was filed, or such shorter time as the change should be approved or authority.24
Commission may designate, the disapproved. Brent J. Fields,
proposed rule change has become Secretary.
IV. Solicitation of Comments
effective pursuant to Section 19(b)(3)(A) [FR Doc. 2016–27025 Filed 11–8–16; 8:45 am]
of the Act and Rule 19b–4(f)(6)(iii) Interested persons are invited to
submit written data, views, and BILLING CODE 8011–01–P
thereunder.17
A proposed rule change filed under arguments concerning the foregoing,
Rule 19b–4(f)(6) 18 normally does not including whether the proposed rule
become operative prior to 30 days after change is consistent with the Act. SECURITIES AND EXCHANGE
the date of the filing. However, Rule Comments may be submitted by any of COMMISSION
19b–4(f)(6)(iii) permits the Commission the following methods:
to designate a shorter time if such action [Release No. 34–79229; File No. SR–
Electronic Comments
is consistent with the protection of BatsBZX–2016–67]
investors and the public interest. The • Use the Commission’s Internet
Exchange has asked the Commission to comment form (http://www.sec.gov/ Self-Regulatory Organizations; Bats
waive the 30-day operative delay so that rules/sro.shtml); or BZX Exchange, Inc.; Notice of Filing
the proposal may become operative on • Send an email to rule-comments@ and Immediate Effectiveness of a
November 5, 2016, the same date that sec.gov. Please include File Number SR– Proposed Rule Change to Amend BZX
the proposed rule change to amend the NYSEMKT–2016–96 on the subject line. Rule 2.5, Restrictions, Regarding
Tenth NYSE Operating Agreement and Paper Comments Members and Associated Persons of
to renumber it as the Eleventh NYSE Members Who Are or Become Subject
• Send paper comments in triplicate
Operating Agreement becomes to a Statutory Disqualification
to Brent J. Fields, Secretary, Securities
operative.19 The Commission believes
and Exchange Commission, 100 F Street November 3, 2016.
that waiver of the 30-day operative
NE., Washington, DC 20549–1090.
delay is appropriate because it would Pursuant to Section 19(b)(1) of the
permit the Eleventh NYSE Operating All submissions should refer to File
Number SR–NYSEMKT–2016–96. This Securities Exchange Act of 1934 (the
Agreement to become ‘‘rules of an ‘‘Act’’),1 and Rule 19b–4 thereunder,2
exchange’’ of NYSE MKT without file number should be included on the
subject line if email is used. To help the notice is hereby given that on October
delay.20 Based on the foregoing, the
Commission process and review your 24, 2016, Bats BZX Exchange, Inc. (the
Commission believes that the waiver of
comments more efficiently, please use ‘‘Exchange’’ or ‘‘BZX’’) filed with the
the operative delay is consistent with
the protection of investors and the only one method. The Commission will Securities and Exchange Commission
public interest.21 The Commission post all comments on the Commission’s (‘‘Commission’’) the proposed rule
hereby grants the waiver and designates Internet Web site (http://www.sec.gov/ change as described in Items I and II
the proposal operative upon November rules/sro.shtml). Copies of the below, which Items have been prepared
5, 2016, the same date that the rule submission, all subsequent by the Exchange. The Exchange has
change amending the Tenth NYSE amendments, all written statements designated this proposal as a ‘‘non-
Operating Agreement and renumbering with respect to the proposed rule controversial’’ proposed rule change
it as the Eleventh NYSE Operating change that are filed with the pursuant to Section 19(b)(3)(A) of the
Agreement becomes operative.22 Commission, and all written Act 3 and Rule 19b–4(f)(6)(iii)
At any time within 60 days of the communications relating to the thereunder,4 which renders it effective
filing of such proposed rule change, the proposed rule change between the upon filing with the Commission. The
Commission summarily may Commission and any person, other than Commission is publishing this notice to
temporarily suspend such rule change if those that may be withheld from the solicit comments on the proposed rule
it appears to the Commission that such public in accordance with the change from interested persons.
action is necessary or appropriate in the provisions of 5 U.S.C. 552, will be
public interest, for the protection of available for Web site viewing and I. Self-Regulatory Organization’s
investors, or otherwise in furtherance of printing in the Commission’s Public Statement of the Terms of Substance of
the purposes of the Act. If the Reference Room, 100 F Street NE., the Proposed Rule Change
Commission takes such action, the Washington, DC 20549–1090, on official
Commission shall institute proceedings business days between the hours of The Exchange filed a proposal to
10:00 a.m. and 3:00 p.m. Copies of the amend BZX Rules regarding Members
17 In addition, Rule 19b–4(f)(6)(iii) requires the filing also will be available for and associated persons of Members who
Exchange to give the Commission written notice of inspection and copying at the principal are or become subject to a statutory
the Exchange’s intent to file the proposed rule disqualification.
change, along with a brief description and text of
office of the Exchange. All comments
the proposed rule change, at least five business days received will be posted without change; The text of the proposed rule change
prior to the date of filing of the proposed rule the Commission does not edit personal is available at the Exchange’s Web site
change, or such shorter time as designated by the identifying information from
Commission. The Exchange has satisfied this
at www.batstrading.com, at the
requirement. submissions. You should submit only principal office of the Exchange, and at
sradovich on DSK3GMQ082PROD with NOTICES
18 17 CFR 240.19b–4(f)(6). information that you wish to make the Commission’s Public Reference
19 See supra note 7. available publicly. All submissions Room.
20 See 15 U.S.C. 78c(a)(27). should refer to File Number SR–
21 For purposes only of waiving the 30-day
NYSEMKT–2016–96 and should be 24 17 CFR 200.30–3(a)(12).
operative delay, the Commission has also submitted on or before November 30, 1 15 U.S.C. 78s(b)(1).
considered the proposed rule’s impact on
efficiency, competition, and capital formation. See 2016. 2 17 CFR 240.19b–4.
15 U.S.C. 78c(f). 3 15 U.S.C. 78s(b)(3)(A).
22 See supra note 7. 23 15 U.S.C. 78s(b)(2)(B). 4 17 CFR 240.19b–4(f)(6)(iii).
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Document Created: 2016-11-09 01:39:45
Document Modified: 2016-11-09 01:39:45
| 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 78873 |
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