82_FR_14610 82 FR 14557 - Sunshine Act Meeting

82 FR 14557 - Sunshine Act Meeting

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 53 (March 21, 2017)

Page Range14557-14558
FR Document2017-05610

Federal Register, Volume 82 Issue 53 (Tuesday, March 21, 2017) 
[Federal Register Volume 82, Number 53 (Tuesday, March 21, 2017)]
[Notices]
[Pages 14557-14558]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-05610]


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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 
23, 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

[[Page 14558]]

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.
    Commissioner Stein, 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; 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: March 16, 2017.
Brent J. Fields,
Secretary.
[FR Doc. 2017-05610 Filed 3-17-17; 11:15 am]
BILLING CODE 8011-01-P

Federal Register / Vol. 82, No. 53 / Tuesday, March 21, 2017 / Notices 14557 Rule 19d–1(c)(2) under the Act,5 the 415 (Reports Related to Position Limits); business days between the hours of Exchange proposed to designate certain and Rule 804(e) (Continuous Quotes). 10:00 a.m. and 3:00 p.m. Copies of the specified rule violations as minor rule Upon the Commission’s declaration of proposed MRVP also will be available violations, and requested that it be effectiveness of the MRVP, the Exchange for inspection and copying at the relieved of the prompt reporting will provide to the Commission a principal office of the Exchange. All requirements regarding such violations, quarterly report for any actions taken on comments received will be posted provided it gives notice of such minor rule violations under the MRVP. without change; the Commission does violations to the Commission on a The quarterly report will include: The not edit personal identifying quarterly basis. Exchange’s internal file number for the information from submissions. You The Exchange proposes to include in case, the name of the individual and/or should submit only information that its MRVP the procedures and violations organization, the nature of the violation, you wish to make available publicly. All currently included in Exchange Rule the specific rule provision violated, the submissions should refer to File No. 4– 1614 (‘‘Imposition of Fines for Minor sanction imposed, the number of times 707 and should be submitted on or Rule Violations’’), which has been the rule violation occurred, and the date before April 11, 2017. incorporated by reference from the of the disposition. International Securities Exchange’s rule The Exchange also proposes that, II. Date of Effectiveness of the Proposed book.6 According to the Exchange’s going forward, to the extent that there Minor Rule Violation Plan and Timing MRVP, under Rule 1614, the Exchange are any changes to the rules applicable for Commission Action may impose a fine (not to exceed to the Exchange’s MRVP, the Exchange Pursuant to Section 19(d)(1) of the Act $2,500) on any Member, or person requests that the Commission deem and Rule 19d–1(c)(2) thereunder,8 after associated with or employed by a such changes to be modifications to the April 11, 2017, the Commission may, by Member, for any rule listed in Rule Exchange’s MRVP. order, declare the Exchange’s proposed 1614(d).7 The Exchange shall serve the MRVP effective if the plan is consistent person against whom a fine is imposed I. Solicitation of Comments with the public interest, the protection with a written statement setting forth Interested persons are invited to of investors, or otherwise in furtherance the rule or rules violated, the act or submit written data, views, and of the purposes of the Act. The omission constituting each such arguments concerning the Exchange’s Commission in its order may restrict the violation, the fine imposed, and the date proposed MRVP, including whether the categories of violations to be designated by which such determination becomes proposed MRVP is consistent with the as minor rule violations and may final or by which such determination Act. Comments may be submitted by impose any other terms or conditions to must be contested. If the person against any of the following methods: the proposed MRVP, File No. 4–707, whom the fine is imposed pays the fine, and to the period of its effectiveness, Electronic Comments such payment shall be deemed to be a which the Commission deems necessary waiver of such person’s right to a • Use the Commission’s Internet or appropriate in the public interest, for disciplinary proceeding and any review comment form (http://www.sec.gov/ the protection of investors or otherwise of the matter under the Exchange rules. rules/sro.shtml); or in furtherance of the purposes of the Any person against whom a fine is • Send an email to rule-comments@ Act. imposed may contest the Exchange’s sec.gov. Please include File No. 4–707 on the subject line. For the Commission, by the Division of determination by filing with the Trading and Markets, pursuant to delegated Exchange a written answer, at which Paper Comments authority.9 point the matter shall become a • Send paper comments in triplicate Eduardo A. Aleman, disciplinary proceeding. The Exchange proposes that, as set to Secretary, Securities and Exchange Assistant Secretary. forth in Exchange Rule 1614(d), Commission, 100 F Street NE., [FR Doc. 2017–05554 Filed 3–20–17; 8:45 am] violations of the following rules would Washington, DC 20549–1090. BILLING CODE 8011–01–P be appropriate for disposition under the All submissions should refer to File No. MRVP: Rule 412 (Position Limits); Rule 4–707. This file number should be 1403 (Focus Reports); Rule 1404 included on the subject line if email is SECURITIES AND EXCHANGE (Requests for Trade Data); Rule 723 used. To help the Commission process COMMISSION (Price Improvement Mechanism for and review your comments more efficiently, please use only one method. Sunshine Act Meeting Crossing Transactions); Rule 717 (Order Entry); Rule 803 (Quotation Parameters); The Commission will post all comments Notice is hereby given, pursuant to Rule 805 (Execution of Orders in on the Commission’s Internet Web site the provisions of the Government in the Appointed Options); Rule 419 (http://www.sec.gov/rules/sro.shtml). Sunshine Act, Public Law 94–409, that (Mandatory Systems Testing); Rule 1100 Copies of the submission, all the Securities and Exchange (Exercise of Options Contracts); Rule subsequent amendments, all written Commission will hold a closed meeting statements with respect to the proposed on Thursday, March 23, 2017 at 11 a.m. sought an adjudication, including a hearing, or MRVP that are filed with the Commissioners, Counsel to the otherwise exhausted his administrative remedies. Commission, and all written Commissioners, the Secretary to the 5 17 CFR 240.19d–1(c)(2). communications relating to the Commission, and recording secretaries 6 The Exchange received its grant of registration proposed MRVP between the will attend the closed meeting. Certain on January 29, 2016, which included approving the Commission and any person, other than mstockstill on DSK3G9T082PROD with NOTICES rules that govern the Exchange. See Securities staff members who have an interest in Exchange Act Release No. 76998 (Jan. 29, 2016), 81 those that may be withheld from the the matters also may be present. FR 6066 (Feb. 4, 2016). public in accordance with the The General Counsel of the 7 While Rule 1614 allows the Exchange to provisions of 5 U.S.C. 552, will be Commission, or her designee, has administer fines up to $5,000, the Exchange is only available for Web site viewing and seeking relief from the reporting requirements of certified that, in her opinion, one or paragraph (c)(1) of Rule 19d–1 for fines printing in the Commission’s Public administered under Rule 1614(d) that do not exceed Reference Room, 100 F Street NE., 8 15 U.S.C. 78s(d)(1); 17 CFR 240.19d–1(c)(2). $2,500. Washington, DC 20549, on official 9 17 CFR 200.30–3(a)(44). VerDate Sep<11>2014 16:47 Mar 20, 2017 Jkt 241001 PO 00000 Frm 00057 Fmt 4703 Sfmt 4703 E:\FR\FM\21MRN1.SGM 21MRN1

14558 Federal Register / Vol. 82, No. 53 / Tuesday, March 21, 2017 / Notices more of the exemptions set forth in 5 I. Self-Regulatory Organization’s Interpretations and Policies .02, Short U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) Statement of the Terms of Substance of Term Option Series Program, to correct and 17 CFR 200.402(a)(3), (a)(5), (a)(7), the Proposed Rule Change a typographical error in paragraph (d). (a)(9)(ii) and (a)(10), permit The Exchange is filing a proposal to The fourth sentence in the paragraph consideration of the scheduled matter at make minor corrective changes to begins, ‘‘Market makers,’’ whereas the closed meeting. Exchange Rules 100, 404.02(d), 515(f), ‘‘makers’’ should be capitalized. Commissioner Stein, as duty officer, 529(b)(2)(ii), 601(b), 601(b)(2), 601(b)(4), Therefore, the Exchange proposes to voted to consider the items listed for the 601(b)(5), 601(c)(1), 601(c)(1)(ii), amend the rule to replace the term closed meeting in closed session. 601(c)(2), 601(c)(3), and the title pages ‘‘Market makers,’’ with ‘‘Market The subject matter of the closed to Chapter VIII and Chapter XI. Makers.’’ The text of the proposed rule change Third, the Exchange proposes to meeting will be: is available on the Exchange’s Web site amend Exchange Rule 515(f) to make a Institution and settlement of injunctive at http://www.miaxoptions.com/rule- minor grammatical correction by actions; filings/pearl at MIAX PEARL’s principal removing a superfluous word from the Institution and settlement of office, and at the Commission’s Public last sentence which reads, administrative proceedings; Reference Room. ‘‘[u]nexecuted contracts remaining from Adjudicatory matters; and an ISO order will be immediately II. Self-Regulatory Organization’s canceled. ISO is an acronym for Other matters relating to enforcement Statement of the Purpose of, and Intermarket Sweep Order. Having the proceedings. Statutory Basis for, the Proposed Rule word ‘‘order’’ follow ISO is unnecessary At times, changes in Commission Change and redundant. Therefore, the Exchange priorities require alterations in the In its filing with the Commission, the proposes to amend the rule to remove scheduling of meeting items. Exchange included statements the word ‘‘order’’ from the sentence. For further information and to concerning the purpose of and basis for Fourth, the Exchange proposes to ascertain what, if any, matters have been the proposed rule change and discussed amend Exchange Rule 529(b)(2)(ii) to added, deleted or postponed; please any comments it received on the make a minor grammatical correction by contact Brent J. Fields from the Office of proposed rule change. The text of these removing a superfluous word from the the Secretary at (202) 551–5400. statements may be examined at the first sentence which reads, ‘‘[t]he places specified in Item IV below. The System will route ISO orders Dated: March 16, 2017. representing Eligible Orders to away Brent J. Fields, Exchange has prepared summaries, set forth in sections A, B, and C below, of markets disseminating prices better than Secretary. the Exchange’s disseminated market.’’ the most significant aspects of such [FR Doc. 2017–05610 Filed 3–17–17; 11:15 am] ISO is an acronym for Intermarket statements. BILLING CODE 8011–01–P Sweep Order. Having the word ‘‘order’’ A. Self-Regulatory Organization’s follow ISO is unnecessary and Statement of the Purpose of, and redundant. Therefore, the Exchange SECURITIES AND EXCHANGE Statutory Basis for, the Proposed Rule proposes to amend the rule to remove COMMISSION Change the word ‘‘order’’ from the sentence. Additionally, the Exchange proposes to 1. Purpose [Release No. 34–80251; File No. SR– add an ‘‘s’’ to the end of ‘‘ISO’’ to PEARL–2017–11] The Exchange proposes to make indicate that the reference is not for a minor corrective changes to Exchange singular order. Self-Regulatory Organizations; MIAX Rule 100, Definitions; Rule 404, Series Fifth, the Exchange proposes to PEARL, LLC; Notice of Filing and of Option Contracts Open for Trading; amend Exchange Rule 601(b), 601(b)(2), Immediate Effectiveness of a Proposed Rule 515, Execution of Orders; Rule 529, 601(b)(4), 601(b)(5), 601(c)(1), Rule Change To Amend MIAX PEARL Order Routing to Other Exchanges; Rule 601(c)(1)(ii), 601(c)(2), and 601(c)(3), to Rules 100, 404, 515, 529, 601 and the 601, Obligations of Market Maker make minor grammatical corrections. Title Pages of Chapter VIII and Chapter Authorized Traders; and the title pages The Exchange proposes to replace the XI of Chapter VIII and Chapter XI. First, the indefinite article ‘‘a’’ in the phrase ‘‘a Exchange proposes to amend Exchange MMAT’’ with the indefinite article ‘‘an’’ March 15, 2017. Rule 100, Definitions, to correct a to improve the readability and precision Pursuant to the provisions of Section typographical error in the last word of of the rule. 19(b)(1) of the Securities Exchange Act the first sentence in the definition of Sixth, the Exchange proposes to of 1934 (‘‘Act’’) 1 and Rule 19b–4 Priority Customer. Currently, the amend the title page of Chapter VIII, thereunder,2 notice is hereby given that definition reads, ‘‘[t]he term ‘Priority Records, Reports and Audits, to correct on March 3, 2017, MIAX PEARL, LLC Customer’ means a person or entity that a minor typographical error. The fourth (‘‘MIAX PEARL’’ or ‘‘Exchange’’) filed (i) is not a broker or dealer in securities, sentence contains the number 2 whereas with the Securities and Exchange and (ii) does not place more than 390 it should read ‘‘MIAX PEARL’’ instead. Commission (‘‘Commission’’) a orders in listed options per day on Currently, the fourth sentence reads, proposed rule change as described in average during a calendar month for its ‘‘[s]olely by way of example, and not in Items I, II, and III below, which Items own beneficial accounts(s).’’ The word limitation or exhaustion: the defined have been prepared by the Exchange. accounts should not be plural in this term ‘‘Exchange’’ in the Chapter VIII mstockstill on DSK3G9T082PROD with NOTICES The Commission is publishing this instance and instead should read, Rules shall be read to refer to MIAX notice to solicit comments on the ‘‘account(s)’’. Therefore, the Exchange PEARL; the defined term ‘‘Rule’’ in the proposed rule change from interested proposes to amend this rule to replace Chapter VIII Rules shall be read to refer persons. the word ‘‘accounts’’ with ‘‘account.’’ to the 2 Rule; [. . .].’’ Therefore, the Second, the Exchange proposes to Exchange proposes to amend the Rule to 1 15 U.S.C. 78s(b)(1). amend Exchange Rule 404, Series of replace the number 2 with the words 2 17 CFR 240.19b–4. Option Contracts Open for Trading, ‘‘MIAX PEARL.’’ VerDate Sep<11>2014 16:47 Mar 20, 2017 Jkt 241001 PO 00000 Frm 00058 Fmt 4703 Sfmt 4703 E:\FR\FM\21MRN1.SGM 21MRN1


Document Created: 2017-03-21 01:09:47
Document Modified: 2017-03-21 01:09:47
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 Citation82 FR 14557 
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