81 FR 94473 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 3.2 and NYSE Arca Equities Rules 1.1, 3.2, 10.3, 10.8, 10.13, and 14
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 81, Issue 247 (December 23, 2016)
Federal Register Volume 81, Issue 247 (December 23, 2016)
| Page Range | 94473-94475 | |
| FR Document | 2016-30940 |
[Federal Register Volume 81, Number 247 (Friday, December 23, 2016)] [Notices] [Pages 94473-94475] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2016-30940] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-79594; File No. SR-NYSEArca-2016-164] Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 3.2 and NYSE Arca Equities Rules 1.1, 3.2, 10.3, 10.8, 10.13, and 14 December 19, 2016. Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of 1934 (``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby given that, on December 8, 2016, NYSE Arca, Inc. (``Exchange'' or ``NYSE Arca'') filed with the Securities and Exchange Commission (``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 Substance of the Proposed Rule Change The Exchange proposes to amend NYSE Arca Rule 3.2 and NYSE Arca Equities Rules 1.1, 3.2, 10.3, 10.8, 10.13, and 14 to delete outdated references. 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. 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 amend the following rules to delete outdated references to the ``NYSE Arca Board of Governors'' in NYSE Arca Rule 3.2 and NYSE Arca Equities Rules 1.1, 3.2, 10.3, 10.8, 10.13, and 14. In 2016, the Exchange amended, among other rules, Rule 10.8 in order to establish a Committee for Review (``CFR'') as a sub-committee of the Regulatory Oversight Committee (``ROC'').\4\ When the Exchange's CFR was created, NYSE Arca Equities Rules 10.3 (Ex Parte Communications), 10.12 (Minor Rule Plan) and 10.13 (Hearing and Review of Decisions) were amended to replace outdated references to the ``NYSE Arca Board of Governors'' with the ``NYSE Arca Board of Directors.'' \5\ However, outdated references to the ``NYSE Arca Board of Governors'' in NYSE Arca Rule 3.2 and NYSE Arca Equities Rules 1.1, 3.2, 10.3, 10.8, 10.13, and 14 were inadvertently omitted. The Exchange accordingly proposes to replace references to ``Governors'' with ``Directors'' in these rules as follows: --------------------------------------------------------------------------- \4\ See Securities Exchange Act Release No. 77898 (May 24, 2016), 81 FR 34404 (May 31, 2016) (SR-NYSEArca-2016-11). Specifically, the Exchange amended NYSE Arca Equities Rule 10.8(a) and (b) to replace references to the NYSE Arca Equities Board Appeals Committee with references to the ``Committee for Review'' or ``CFR'' and to replace references to the ``Appeals Panel'' with the ``CFR Appeals Panel.'' See id., 81 FR at 34406. NYSE Arca Equities Rule 10.8(a) and (b) did not contain references to the ``NYSE Arca Board of Governors.'' \5\ See id., 81 FR at 34406. ---------------------------------------------------------------------------NYSE Arca Rule 3.2 (Options Committees) governs the organization, structure and membership of NYSE Arca Options committees. NYSE Arca Rule 3.2(b) sets forth the eligibility requirements for three [sic] specific Options Committees, including the Nominating Committee which is governed by Rule 3.2(b)(2). The Exchange proposes one replacement of ``Governors'' with ``Directors'' in subsection (C)(i) of Rule 3.2(b)(2). NYSE Arca Equities Rule 1.1(n) defines ETP Holder and describes ETP Holder's limited voting rights to, among other things, nominate directors to the Board of Directors of NYSE Arca. The Exchange proposes to replace ``Governor'' and ``Governors'' with ``Director'' and ``Directors,'' respectively, in NYSE Arca Equities Rule 1.1(n). NYSE Arca Equities Rule 3.2 (Equity Committees) governs the organization, structure and membership of NYSE Arca Equities committees. NYSE Arca Equities Rule 3.2(b) sets forth the eligibility requirements for three [sic] specific Options Committees [sic], including the Nominating Committee which is governed by Rule 3.2(b)(2). The Exchange proposes one replacement of ``Governors'' with ``Directors'' in subsection (C)(ii) of Rule 3.2(b)(2). The Exchange also proposes a non-substantive change to delete ``the'' before ``NYSE Arca, Inc.'' in the last section of subsection (C)(ii). Subsection (a) of NYSE Arca Equities Rule 10.3 (Ex Parte Communications) governs certain prohibited communications. The Exchange proposes to replace ``Governors'' with ``Directors'' in NYSE Arca Equities Rule 10.3(a)(2)(e) and in NYSE Arca Equities Rule 10.3(a)(3)(d). NYSE Arca Equities Rule 10.8 (Review) governs review of review [sic] of disciplinary decisions. The Exchange proposes three replacements of ``Governors'' with ``Directors'' in subsection (c) of NYSE Arca Equities [[Page 94474]] Rule 10.8, and two replacements of ``Governors'' with ``Directors'' in subsection (d). NYSE Arca Equities Rule 10.13 (Hearings and Review of Decisions) sets forth procedures for persons aggrieved by certain Exchange actions to seek review of those actions. The Exchange proposes three replacements of ``Governors'' with ``Directors'' in subsection (k) of NYSE Arca Equities Rule 10.13. Finally, the Exchange proposes one replacement of ``Governors'' with ``Directors'' in NYSE Arca Equities Rule 14.1 (NYSE Arca, Inc.), which sets forth the plan of delegation of functions by NYSE Arca to NYSE Arca Equities. 2. Statutory Basis The Exchange believes that the proposed rule change is consistent with Section 6(b) of the Exchange Act \6\ in general, and with Section 6(b)(5) \7\ in particular, in that it 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 facilitating transactions in securities, and to remove impediments to and perfect the mechanism of a free and open market and a national market system and, in general, help to protect investors and the public interest. Specifically, the Exchange believes that replacing outdated references to ``Governors'' with ``Directors'' in the phrase ``NYSE Arca Board of Governors'' and one reference to a ``Governor'' with ``Director'' in the NYSE Arca and NYSE Arca Equities Rules removes impediments to and perfects the mechanism of a free and open market by removing confusion that may result from having obsolete references in the Exchange's rulebook. The Exchange further believes that the proposal removes impediments to and perfects the mechanism of a free and open market by ensuring that persons subject to the Exchange's jurisdiction, regulators, and the investing public can more easily navigate and understand the Exchange's rulebook. The Exchange believes that eliminating obsolete references would not be inconsistent with the public interest and the protection of investors because investors will not be harmed and in fact would benefit from increased transparency, thereby reducing potential confusion. Removing such obsolete references will also further the goal of transparency and add clarity to the Exchange's rules. --------------------------------------------------------------------------- \6\ 15 U.S.C. 78f(b). \7\ 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 to delete obsolete references, thereby increasing transparency, reducing confusion, and making the Exchange's rules easier to understand and navigate. 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 Because the proposed rule change does not: (i) Significantly affect the protection of investors or the public interest; (ii) impose any significant burden on 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, it has become effective pursuant to Section 19(b)(3)(A) of the Act \8\ and Rule 19b-4(f)(6) thereunder.\9\ --------------------------------------------------------------------------- \8\ 15 U.S.C. 78s(b)(3)(A). \9\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii) requires a self-regulatory organization to give the Commission written notice of its intent to file the proposed rule change, along with a brief description and the 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 pursuant to Rule 19b-4(f)(6) under the Act \10\ normally does not become operative for 30 days after the date of the filing. However, Rule 19b-4(f)(6)(iii) \11\ 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 immediately upon filing. The Exchange notes that the proposed rule change would delete obsolete references, which would reduce confusion and add clarity to its rulebook. The Commission believes that waiving the 30-day operative delay is consistent with the protection of investors and the public interest. Therefore, the Commission hereby waives the operative delay and designates the proposed rule change operative upon filing.\12\ --------------------------------------------------------------------------- \10\ 17 CFR 240.19b-4(f)(6). \11\ 17 CFR 240.19b-4(f)(6)(iii). \12\ 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). --------------------------------------------------------------------------- At any time within 60 days of the filing of the 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 to determine whether the proposed rule change should be approved or disapproved. 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 Comments Use 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-NYSEArca-2016-164 on the subject line. Paper Comments Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090. All submissions should refer to File Number SR-NYSEArca-2016-164. 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 [[Page 94475]] 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 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-NYSEArca-2016-164 and should be submitted on or before January 13, 2017. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.\13\ --------------------------------------------------------------------------- \13\ 17 CFR 200.30-3(a)(12). --------------------------------------------------------------------------- Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2016-30940 Filed 12-22-16; 8:45 am] BILLING CODE 8011-01-P
![Federal Register / Vol. 81, No. 247 / Friday, December 23, 2016 / Notices 94473
All submissions should refer to File notice is hereby given that, on December was created, NYSE Arca Equities Rules
Number SR–CBOE–2016–086. This file 8, 2016, NYSE Arca, Inc. (‘‘Exchange’’ or 10.3 (Ex Parte Communications), 10.12
number should be included on the ‘‘NYSE Arca’’) filed with the Securities (Minor Rule Plan) and 10.13 (Hearing
subject line if email is used. To help the and Exchange Commission and Review of Decisions) were amended
Commission process and review your (‘‘Commission’’) the proposed rule to replace outdated references to the
comments more efficiently, please use change as described in Items I and II ‘‘NYSE Arca Board of Governors’’ with
only one method. The Commission will below, which Items have been prepared the ‘‘NYSE Arca Board of Directors.’’ 5
post all comments on the Commission’s by the self-regulatory organization. The However, outdated references to the
Internet Web site (http://www.sec.gov/ Commission is publishing this notice to ‘‘NYSE Arca Board of Governors’’ in
rules/sro.shtml). Copies of the solicit comments on the proposed rule NYSE Arca Rule 3.2 and NYSE Arca
submission, all subsequent change from interested persons. Equities Rules 1.1, 3.2, 10.3, 10.8, 10.13,
amendments, all written statements and 14 were inadvertently omitted. The
I. Self-Regulatory Organization’s
with respect to the proposed rule Exchange accordingly proposes to
Statement of the Terms of Substance of
change that are filed with the replace references to ‘‘Governors’’ with
the Proposed Rule Change
Commission, and all written ‘‘Directors’’ in these rules as follows:
communications relating to the The Exchange proposes to amend • NYSE Arca Rule 3.2 (Options
proposed rule change between the NYSE Arca Rule 3.2 and NYSE Arca Committees) governs the organization,
Commission and any person, other than Equities Rules 1.1, 3.2, 10.3, 10.8, 10.13, structure and membership of NYSE
those that may be withheld from the and 14 to delete outdated references. Arca Options committees. NYSE Arca
public in accordance with the The proposed rule change is available Rule 3.2(b) sets forth the eligibility
provisions of 5 U.S.C. 552, will be on the Exchange’s Web site at requirements for three [sic] specific
available for Web site viewing and www.nyse.com, at the principal office of Options Committees, including the
printing in the Commission’s Public the Exchange, and at the Commission’s Nominating Committee which is
Reference Room, 100 F Street NE., Public Reference Room. governed by Rule 3.2(b)(2). The
Washington, DC 20549 on official II. Self-Regulatory Organization’s Exchange proposes one replacement of
business days between the hours of Statement of the Purpose of, and ‘‘Governors’’ with ‘‘Directors’’ in
10:00 a.m. and 3:00 p.m. Copies of the Statutory Basis for, the Proposed Rule subsection (C)(i) of Rule 3.2(b)(2).
filing also will be available for • NYSE Arca Equities Rule 1.1(n)
Change
inspection and copying at the principal defines ETP Holder and describes ETP
office of the Exchange. All comments In its filing with the Commission, the Holder’s limited voting rights to, among
received will be posted without change; self-regulatory organization included other things, nominate directors to the
the Commission does not edit personal statements concerning the purpose of, Board of Directors of NYSE Arca. The
identifying information from and basis for, the proposed rule change Exchange proposes to replace
submissions. You should submit only and discussed any comments it received ‘‘Governor’’ and ‘‘Governors’’ with
information that you wish to make on the proposed rule change. The text ‘‘Director’’ and ‘‘Directors,’’
available publicly. All submissions of those statements may be examined at respectively, in NYSE Arca Equities
should refer to File Number SR–CBOE– the places specified in Item IV below. Rule 1.1(n).
2016–086 and should be submitted on The Exchange has prepared summaries, • NYSE Arca Equities Rule 3.2
or before January 13, 2017. set forth in sections A, B, and C below, (Equity Committees) governs the
of the most significant parts of such organization, structure and membership
For the Commission, by the Division of statements.
Trading and Markets, pursuant to delegated
of NYSE Arca Equities committees.
authority.14 A. Self-Regulatory Organization’s NYSE Arca Equities Rule 3.2(b) sets
Eduardo A. Aleman, Statement of the Purpose of, and the forth the eligibility requirements for
Statutory Basis for, the Proposed Rule three [sic] specific Options Committees
Assistant Secretary.
Change [sic], including the Nominating
[FR Doc. 2016–30937 Filed 12–22–16; 8:45 am]
Committee which is governed by Rule
BILLING CODE 8011–01–P 1. Purpose 3.2(b)(2). The Exchange proposes one
The Exchange proposes to amend the replacement of ‘‘Governors’’ with
SECURITIES AND EXCHANGE following rules to delete outdated ‘‘Directors’’ in subsection (C)(ii) of Rule
COMMISSION references to the ‘‘NYSE Arca Board of 3.2(b)(2). The Exchange also proposes a
Governors’’ in NYSE Arca Rule 3.2 and non-substantive change to delete ‘‘the’’
[Release No. 34–79594; File No. SR– NYSE Arca Equities Rules 1.1, 3.2, 10.3, before ‘‘NYSE Arca, Inc.’’ in the last
NYSEArca–2016–164] 10.8, 10.13, and 14. section of subsection (C)(ii).
In 2016, the Exchange amended, • Subsection (a) of NYSE Arca
Self-Regulatory Organizations; NYSE among other rules, Rule 10.8 in order to Equities Rule 10.3 (Ex Parte
Arca, Inc.; Notice of Filing and establish a Committee for Review Communications) governs certain
Immediate Effectiveness of Proposed (‘‘CFR’’) as a sub-committee of the prohibited communications. The
Rule Change Amending NYSE Arca Regulatory Oversight Committee Exchange proposes to replace
Rule 3.2 and NYSE Arca Equities Rules (‘‘ROC’’).4 When the Exchange’s CFR ‘‘Governors’’ with ‘‘Directors’’ in NYSE
1.1, 3.2, 10.3, 10.8, 10.13, and 14 Arca Equities Rule 10.3(a)(2)(e) and in
December 19, 2016.
4 See Securities Exchange Act Release No. 77898
NYSE Arca Equities Rule 10.3(a)(3)(d).
(May 24, 2016), 81 FR 34404 (May 31, 2016) (SR– • NYSE Arca Equities Rule 10.8
mstockstill on DSK3G9T082PROD with NOTICES
Pursuant to Section 19(b)(1) 1
of the NYSEArca–2016–11). Specifically, the Exchange
Securities Exchange Act of 1934 amended NYSE Arca Equities Rule 10.8(a) and (b)
(Review) governs review of review [sic]
(‘‘Act’’) 2 and Rule 19b–4 thereunder,3 to replace references to the NYSE Arca Equities of disciplinary decisions. The Exchange
Board Appeals Committee with references to the proposes three replacements of
14 17
‘‘Committee for Review’’ or ‘‘CFR’’ and to replace ‘‘Governors’’ with ‘‘Directors’’ in
CFR 200.30–3(a)(12). references to the ‘‘Appeals Panel’’ with the ‘‘CFR
1 15 U.S.C. 78s(b)(1). Appeals Panel.’’ See id., 81 FR at 34406. NYSE Arca subsection (c) of NYSE Arca Equities
2 15 U.S.C. 78a.
Equities Rule 10.8(a) and (b) did not contain
3 17 CFR 240.19b–4. references to the ‘‘NYSE Arca Board of Governors.’’ 5 See id., 81 FR at 34406.
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![Federal Register / Vol. 81, No. 247 / Friday, December 23, 2016 / Notices 94475
printing in the Commission’s Public to submit a notice registration on Form response to Rule 6a–4 shall not be kept
Reference Room, 100 F Street NE., 1–N.3 Form 1–N calls for information confidential; the information collected
Washington, DC 20549 on official regarding how the futures market is public information.
business days between the hours of operates, its rules and procedures, An agency may not conduct or
10:00 a.m. and 3:00 p.m. Copies of the corporate governance, its criteria for sponsor, and a person is not required to
filing also will be available for membership, its subsidiaries and respond to, a collection of information
inspection and copying at the principal affiliates, and the security futures under the PRA unless it displays a
office of the Exchange. All comments products it intends to trade. Rule 6a–4 currently valid OMB control number.
received will be posted without change; also requires entities that have The public may view background
the Commission does not edit personal submitted an initial Form 1–N to file: (1) documentation for this information
identifying information from Amendments to Form 1–N in the event collection at the following Web site,
submissions. You should submit only of material changes to the information www.reginfo.gov. Comments should be
information that you wish to make provided in the initial Form 1–N; (2) directed to: (i) Desk Officer for the
available publicly. All submissions periodic updates of certain information Securities and Exchange Commission,
should refer to File Number SR– provided in the initial Form 1–N; (3) Office of Information and Regulatory
NYSEArca–2016–164 and should be certain information that is provided to Affairs, Office of Management and
submitted on or before January 13, 2017. the futures market’s members; and (4) a Budget, Room 10102, New Executive
For the Commission, by the Division of monthly report summarizing the futures Office Building, Washington, DC 20503,
Trading and Markets, pursuant to delegated market’s trading of security futures or by sending an email to: Shagufta_
authority.13 products. The information required to Ahmed@omb.eop.gov; and (ii) Pamela
Eduardo A. Aleman, be filed with the Commission pursuant Dyson, Director/Chief Information
Assistant Secretary. to Rule 6a–4 is designed to enable the Officer, Securities and Exchange
[FR Doc. 2016–30940 Filed 12–22–16; 8:45 am] Commission to carry out its statutorily Commission, c/o Remi Pavlik-Simon,
mandated oversight functions and to 100 F Street NE., Washington, DC 20549
BILLING CODE 8011–01–P
ensure that registered and exempt or send an email to: PRA_Mailbox@
exchanges continue to be in compliance sec.gov. Comments must be submitted to
SECURITIES AND EXCHANGE with the Act. OMB within 30 days of this notice.
COMMISSION The respondents to the collection of Dated: December 13, 2016.
information are futures markets. Robert W. Errett,
Submission for OMB Review; The Commission estimates that the
Deputy Secretary.
Comment Request total annual burden for all respondents
[FR Doc. 2016–30916 Filed 12–22–16; 8:45 am]
to provide ad hoc amendments 4 to keep
Upon Written Request, Copies Available the Form 1–N accurate and up to date BILLING CODE 8011–01–P
From: Securities and Exchange as required under Rule 6a–4 would be
Commission, Office of FOIA Services, 60 hours (15 hours/respondent per year
100 F Street NE., Washington, DC × 4 respondents 5) and $400 of DEPARTMENT OF STATE
20549–2736.
miscellaneous clerical expenses. The [Public Notice 9814]
Extension: Commission estimates that the total
Rule 6a–4, Form 1–N, SEC File No. 270– annual burden for all respondents to Culturally Significant Objects Imported
496, OMB Control No. 3235–0554. for Exhibition Determinations: ‘‘The
provide annual and three-year
Notice is hereby given that pursuant amendments 6 under Rule 6a–4 would Mysterious Landscapes of Hercules
to the Paperwork Reduction Act of 1995 be 88 hours (22 hours/respondent per Segers’’ Exhibition
(44 U.S.C. 3501 et seq.), the Securities year × 4 respondents) and $576 ($144
SUMMARY: Notice is hereby given of the
and Exchange Commission per year × 4 respondents 7). The
(‘‘Commission’’) has submitted to the following determinations: Pursuant to
Commission estimates that the total
Office of Management and Budget the authority vested in me by the Act of
annual burden for the filing of the
(‘‘OMB’’) a request for extension of the October 19, 1965 (79 Stat. 985; 22 U.S.C.
supplemental information 8 and the
previously approved collection of 2459), E.O. 12047 of March 27, 1978, the
monthly reports required under Rule
information provided for in Rule 6a–4 Foreign Affairs Reform and
6a–4 would be 24 hours (6 hours/
Restructuring Act of 1998 (112 Stat.
and Form 1–N, as discussed below. The respondent per year × 4 respondents 9)
Code of Federal Regulation citation to 2681, et seq.; 22 U.S.C. 6501 note, et
and $240 of miscellaneous clerical
this collection of information is 17 CFR seq.), Delegation of Authority No. 234 of
expenses. Thus, the Commission
240.6a–4 and 17 CFR 249.10 under the October 1, 1999, Delegation of Authority
estimates the total annual burden for
Securities Exchange Act of 1934 (15 No. 236–3 of August 28, 2000 (and, as
complying with Rule 6a–4 is 172 hours
U.S.C. 78a et seq.) (the ‘‘Act’’). appropriate, Delegation of Authority No.
and $1216 in miscellaneous clerical
Section 6 of the Act 1 sets out a 257 of April 15, 2003), I hereby
expenses.
framework for the registration and determine that the objects to be
Compliance with Rule 6a–4 is
regulation of national securities included in the exhibition ‘‘The
mandatory. Information received in
exchanges. Under the Commodity Mysterious Landscapes of Hercules
Futures Modernization Act of 2000, a 3 17 CFR 249.10.
Segers,’’ imported from abroad for
futures market may trade security 4 17 CFR 240.6a–4(b)(1). temporary exhibition within the United
States, are of cultural significance. The
mstockstill on DSK3G9T082PROD with NOTICES
futures products by registering as a 5 The Commission estimates that four exchanges
national securities exchange. Rule 6a– will file amendments with the Commission in order objects are imported pursuant to loan
to keep their Form 1–N current. agreements with the foreign owners or
4 2 sets forth these registration 6 17 CFR 240.6a–4(b)(3) and (4).
procedures and directs futures markets 7 The Commission notes that while there are
custodians. I also determine that the
currently five Security Futures Product Exchanges,
exhibition or display of the exhibit
13 17 CFR 200.30–3(a)(12). one of those exchanges, NQLX, is dormant. objects at The Metropolitan Museum of
1 15 U.S.C. 78f. 8 17 CFR 240.6a–4(c) Art, New York, New York, from on or
2 17 CFR 240.6a–4. 9 See supra footnote 7. about February 7, 2017, until on or
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Document Created: 2016-12-23 12:29:06
Document Modified: 2016-12-23 12:29:06
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
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| Section | Notices | |
| FR Citation | 81 FR 94473 |
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