82 FR 12150 - Sunshine Act Meeting

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 38 (February 28, 2017)

Page Range		12150-12150
FR Document		2017-03928

Federal Register, Volume 82 Issue 38 (Tuesday, February 28, 2017)

[Federal Register Volume 82, Number 38 (Tuesday, February 28, 2017)]
[Notices]
[Page 12150]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-03928]


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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 a closed meeting on Thursday, March 
2, 2017 at 11 a.m.
    Commissioners, Counsel to the Commissioners, the Secretary to the 
Commission, and recording secretaries will attend the closed meeting. 
Certain staff members who have an interest in the matters also may be 
present.
    The General Counsel of the Commission, or her designee, has 
certified that, in her opinion, one or more of the exemptions set forth 
in 5 U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) and 17 CFR 
200.402(a)(3), (a)(5), (a)(7), (a)(9)(ii) and (a)(10), permit 
consideration of the scheduled matter at the closed meeting.
    Acting Chairman Piwowar, as duty officer, voted to consider the 
items listed for the closed meeting in closed session.
    The subject matter of the closed meeting will be:
    Institution and settlement of injunctive actions;
    Institution and settlement of administrative proceedings;
    Adjudicatory matters;
    Resolution of litigation claims; and
    Other matters relating to enforcement proceedings.
    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 from 
the Office of the Secretary at (202) 551-5400.

    Dated: February 23, 2017.
Brent J. Fields,
Secretary.
[FR Doc. 2017-03928 Filed 2-24-17; 11:15 am]
BILLING CODE 8011-01-P

12150 Federal Register / Vol. 82, No. 38 / Tuesday, February 28, 2017 / Notices

Commission and any person, other than Institution and settlement of II. Self-Regulatory Organization’s
those that may be withheld from the administrative proceedings; Statement of the Purpose of, and
public in accordance with the Adjudicatory matters; Statutory Basis for, the Proposed Rule
provisions of 5 U.S.C. 552, will be Resolution of litigation claims; and Change
available for Web site viewing and Other matters relating to enforcement In its filing with the Commission, the
printing in the Commission’s Public proceedings. Exchange included statements
Reference Room, 100 F Street NE., concerning the purpose of and basis for
Washington, DC 20549, on official At times, changes in Commission
priorities require alterations in the the proposed rule change and discussed
business days between the hours of any comments it received on the
10:00 a.m. and 3:00 p.m. Copies of the scheduling of meeting items.
proposed rule change. The text of these
filing also will be available for For further information and to
statements may be examined at the
inspection and copying at the principal ascertain what, if any, matters have been
places specified in Item IV below. The
office of the Exchange. All comments added, deleted or postponed; please
Exchange has prepared summaries, set
received will be posted without change; contact Brent J. Fields from the Office of
forth in sections A, B, and C below, of
the Commission does not edit personal the Secretary at (202) 551–5400.
the most significant aspects of such
identifying information from Dated: February 23, 2017. statements.
submissions. You should submit only Brent J. Fields,
information that you wish to make A. Self-Regulatory Organization’s
Secretary.
available publicly. Statement of the Purpose of, and
[FR Doc. 2017–03928 Filed 2–24–17; 11:15 am] Statutory Basis for, the Proposed Rule
All submissions should refer to File
Number SR–NASDAQ–2017–017 and
BILLING CODE 8011–01–P Change
should be submitted on or before March 1. Purpose
21, 2017. SECURITIES AND EXCHANGE The purpose of the proposed rule
For the Commission, by the Division of COMMISSION change is to codify functionality
Trading and Markets, pursuant to delegated currently offered to members—i.e., QCC
authority.13 [Release No. 34–80090; File No. SR–ISE– with Stock Orders. The QCC with Stock
Robert W. Errett, 2017–12] Order is a piece of functionality that
Deputy Secretary. facilitates the execution of stock
[FR Doc. 2017–03846 Filed 2–27–17; 8:45 am] Self-Regulatory Organizations; component of qualified contingent
BILLING CODE 8011–01–P
International Securities Exchange, trades. In particular, a QCC with Stock
LLC; Notice of Filing and Immediate Order is a QCC Order entered with a
Effectiveness of Proposed Rule stock component to be communicated to
SECURITIES AND EXCHANGE Change To Amend Rule 715 and Rule a designated broker-dealer for
COMMISSION 721 execution.3 QCC with Stock Orders
February 22, 2017.
assist members in maintaining
Sunshine Act Meeting compliance with Exchange rules
Pursuant to Section 19(b)(1) of the regarding the execution of the stock
Notice is hereby given, pursuant to Securities Exchange Act of 1934 component of qualified contingent
the provisions of the Government in the (‘‘Act’’),1 and Rule 19b–4 thereunder,2 trades, and help maintain an audit trail
Sunshine Act, Public Law 94–409, that notice is hereby given that on February for surveillance of members for
the Securities and Exchange 13, 2017, the International Securities compliance with such rules.
Commission will hold a closed meeting Exchange, LLC (‘‘ISE’’ or ‘‘Exchange’’) Currently, although the Exchange has
on Thursday, March 2, 2017 at 11 a.m. filed with the Securities and Exchange rules on QCC Orders, those rules do not
Commissioners, Counsel to the Commission (‘‘SEC’’ or ‘‘Commission’’) specify how the stock component of
Commissioners, the Secretary to the the proposed rule change as described such transactions is to be executed. In
Commission, and recording secretaries in Items I and II below, which Items particular, those rules do not describe
will attend the closed meeting. Certain have been prepared by the Exchange. how this process may be facilitated by
staff members who have an interest in The Commission is publishing this the Exchange electronically
the matters also may be present. notice to solicit comments on the communicating the stock component to
The General Counsel of the proposed rule change from interested a designated broker-dealer for execution
Commission, or her designee, has persons. on the behalf of the member. The
certified that, in her opinion, one or proposed rule change will increase the
more of the exemptions set forth in 5 I. Self-Regulatory Organization’s
Statement of the Terms of Substance of transparency of this process to the
U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) benefit of members and other market
and 17 CFR 200.402(a)(3), (a)(5), (a)(7), the Proposed Rule Change
participants that execute QCC Orders on
(a)(9)(ii) and (a)(10), permit The Exchange proposes to amend the Exchange, including those that use
consideration of the scheduled matter at Rule 715 (Types of Orders) and Rule 721 the QCC with Stock Order functionality
the closed meeting. (Crossing Orders) to codify its Qualified described in this filing.
Acting Chairman Piwowar, as duty Contingent Cross (‘‘QCC’’) with Stock A QCC Order is comprised of an
officer, voted to consider the items Order functionality. originating order to buy or sell at least
listed for the closed meeting in closed The text of the proposed rule change 1000 contracts that is identified as being
mstockstill on DSK3G9T082PROD with NOTICES

session. is available on the Exchange’s Web site part of a qualified contingent trade,4
The subject matter of the closed at www.ise.com, at the principal office
meeting will be: of the Exchange, and at the 3 See Proposed Rule 715(t).
Institution and settlement of Commission’s Public Reference Room. 4 See Rule 715(j). A ‘‘qualified contingent trade’’
injunctive actions; is a transaction consisting of two or more
component orders, executed as agent or principal,
1 15 U.S.C. 78s(b)(1). where: (a) At least one component is an NMS Stock,
13 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4. as defined in Rule 600 of Regulation NMS under the

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Document Created: 2017-02-27 23:53:54
Document Modified: 2017-02-27 23:53:54

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		82 FR 12150