82 FR 19413 - SEC Advisory Committee on Small and Emerging Companies
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 82, Issue 80 (April 27, 2017)
Federal Register Volume 82, Issue 80 (April 27, 2017)
| Page Range | 19413-19414 | |
| FR Document | 2017-08534 |
[Federal Register Volume 82, Number 80 (Thursday, April 27, 2017)] [Notices] [Pages 19413-19414] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2017-08534] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release Nos. 33-10350; 34-80512; File No. 265-27] SEC Advisory Committee on Small and Emerging Companies AGENCY: Securities and Exchange Commission. ACTION: Notice of meeting. ----------------------------------------------------------------------- SUMMARY: The Securities and Exchange Commission Advisory Committee on Small and Emerging Companies is providing notice that it will hold a public meeting on Wednesday, May 10, 2017, in Multi-Purpose Room LL-006 at the Commission's headquarters, 100 F Street NE., Washington, DC. The meeting will begin at 9:30 a.m. (EST) and will be open to the public. The meeting will be webcast on the Commission's Web site at www.sec.gov. Persons needing special accommodations to take part because of a disability should notify the contact person listed below. The public is invited to submit written statements to the Committee. The agenda for the meeting includes matters relating to rules and regulations affecting small and emerging companies under the federal securities laws. Notice of this meeting is less than fifteen days prior to the meeting due to an administrative delay. DATES: The public meeting will be held on Wednesday, May 10, 2017. Written statements should be received on or before May 8, 2017. ADDRESSES: The meeting will be held at the Commission's headquarters, 100 F Street NE., Washington, DC. Written statements may be submitted by any of the following methods: Electronic StatementsUse the Commission's Internet submission form (http://www.sec.gov/info/smallbus/acsec.shtml); or Send an email message to [email protected]. Please include File Number 265-27 on the subject line; or Paper Statements Send paper statements to Brent J. Fields, Federal Advisory Committee Management Officer, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090. All submissions should refer to File No. 265-27. This file number should be included on the subject line if email is used. To help us process and review your statement more efficiently, please use only one method. The Commission will post all statements on the Advisory Committee's Web site (https:// [[Page 19414]] www.sec.gov/info/smallbus/acsec.shtml). Statements also will be available for Web site viewing and 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. All statements received will be posted without change; we do not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. FOR FURTHER INFORMATION CONTACT: Julie Z. Davis, Senior Special Counsel, at (202) 551-3460, Office of Small Business Policy, Division of Corporation Finance, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-3628. SUPPLEMENTARY INFORMATION: In accordance with Section 10(a) of the Federal Advisory Committee Act, 5 U.S.C.-App. 1, and the regulations thereunder, Elizabeth M. Murphy, responsible as Designated Federal Officer of the Committee, has ordered publication of this notice. Dated: April 24, 2017. Brent J. Fields, Committee Management Officer. [FR Doc. 2017-08534 Filed 4-26-17; 8:45 am] BILLING CODE 8011-01-P
![Federal Register / Vol. 82, No. 80 / Thursday, April 27, 2017 / Notices 19413
within which to take action on the Exchange filed Amendment No. 4 to the SECURITIES AND EXCHANGE
proposed rule change so that it has proposed rule change on April 19, COMMISSION
sufficient time to consider ICC’s 2017.5 The Commission has received no
[Release Nos. 33–10350; 34–80512; File No.
proposed rule change and the associated comment letters on the proposed rule 265–27]
operational risks. change.
Accordingly, the Commission, SEC Advisory Committee on Small and
Section 19(b)(2) of the Act 6 provides
pursuant to Section 19(b)(2) of the Act, Emerging Companies
extends the period by which the that within 45 days of the publication of
Commission shall either approve or notice of the filing of a proposed rule AGENCY: Securities and Exchange
disapprove, or institute proceedings to change, or within such longer period up Commission.
determine whether to disapprove, the to 90 days as the Commission may ACTION: Notice of meeting.
proposed rule change (File No. SR–ICC– designate if it finds such longer period
2017–003) to no later than June 7, 2017. to be appropriate and publishes its SUMMARY: The Securities and Exchange
reasons for so finding, or as to which the Commission Advisory Committee on
For the Commission by the Division of
Trading and Markets, pursuant to delegated self-regulatory organization consents, Small and Emerging Companies is
authority.5 the Commission shall either approve the providing notice that it will hold a
Eduardo A. Aleman, proposed rule change, disapprove the public meeting on Wednesday, May 10,
proposed rule change, or institute 2017, in Multi-Purpose Room LL–006 at
Assistant Secretary.
proceedings to determine whether the the Commission’s headquarters, 100 F
[FR Doc. 2017–08466 Filed 4–26–17; 8:45 am]
proposed rule change should be Street NE., Washington, DC. The
BILLING CODE 8011–01–P
disapproved. The 45th day after meeting will begin at 9:30 a.m. (EST)
publication of the notice for this and will be open to the public. The
proposed rule change is April 21, 2017. meeting will be webcast on the
SECURITIES AND EXCHANGE
The Commission is extending this 45- Commission’s Web site at www.sec.gov.
COMMISSION
day time period. Persons needing special
[Release No. 34–80505; File No. SR– accommodations to take part because of
BatsBZX–2017–14] The Commission finds it appropriate a disability should notify the contact
to designate a longer period within person listed below. The public is
Self-Regulatory Organizations; Bats which to take action on the proposed invited to submit written statements to
BZX Exchange, Inc.; Notice of rule change so that it has sufficient time the Committee. The agenda for the
Designation of a Longer Period for to consider this proposed rule change, meeting includes matters relating to
Commission Action on a Proposed as modified by Amendment Nos. 3 and rules and regulations affecting small and
Rule Change, as Modified by 4. Accordingly, the Commission, emerging companies under the federal
Amendment Nos. 3 and 4, To List and pursuant to Section 19(b)(2) of the Act,7 securities laws. Notice of this meeting is
Trade Shares of the Amplify designates June 5, 2017, as the date by less than fifteen days prior to the
YieldShares Oil Hedged MLP Fund, a meeting due to an administrative delay.
which the Commission shall either
Series of the Amplify ETF Trust, Under
approve or disapprove, or institute DATES: The public meeting will be held
BZX Rule 14.11(i), Managed Fund
proceedings to determine whether to on Wednesday, May 10, 2017. Written
Shares
disapprove, the proposed rule change statements should be received on or
April 21, 2017. (File No. SR–BatsBZX–2017–14), as before May 8, 2017.
On February 17, 2017, Bats BZX modified by Amendment Nos. 3 and 4. ADDRESSES: The meeting will be held at
Exchange, Inc. (‘‘BZX’’) filed with the For the Commission, by the Division of the Commission’s headquarters, 100 F
Securities and Exchange Commission Trading and Markets, pursuant to delegated Street NE., Washington, DC. Written
(‘‘Commission’’), pursuant to Section authority.8 statements may be submitted by any of
19(b)(1) of the Securities Exchange Act the following methods:
Eduardo A. Aleman,
of 1934 (‘‘Act’’) 1 and Rule 19b–4
thereunder,2 a proposed rule change to Assistant Secretary. Electronic Statements
list and trade shares of the Amplify [FR Doc. 2017–08465 Filed 4–26–17; 8:45 am] • Use the Commission’s Internet
YieldShares Oil Hedged MLP Fund, a BILLING CODE 8011–01–P submission form (http://www.sec.gov/
series of the Amplify ETF Trust. The info/smallbus/acsec.shtml); or
proposed rule change was published for • Send an email message to rule-
comment in the Federal Register on comments@sec.gov. Please include File
March 7, 2017.3 On March 30, 2017, the Number 265–27 on the subject line; or
Exchange filed Amendment No. 2 to the
149689.pdf. Because Amendment No. 3 does not Paper Statements
proposed rule change, and on April 7, materially alter the substance of the proposed rule
2017, the Exchange filed Amendment change or raise unique or novel regulatory issues, • Send paper statements to Brent J.
No. 3 to the proposed rule change.4 The it is not subject to notice and comment. Fields, Federal Advisory Committee
5 Amendment No. 4, which partially amends the Management Officer, Securities and
5 17 CFR 200.30–3(a)(12). proposed rule change, as modified by Amendment Exchange Commission, 100 F Street NE.,
1 15 U.S.C. 78s(b)(1). No. 3, is available at https://www.sec.gov/ Washington, DC 20549–1090.
2 17 CFR 240.19b–4.
comments/sr-batsbzx-2017-14/batsbzx201714-
All submissions should refer to File No.
mstockstill on DSK30JT082PROD with NOTICES
3 See Securities Exchange Act Release No. 80136 1711101-150239.pdf. Because Amendment No. 4
(March 1, 2017), 82 FR 12860. does not materially alter the substance of the
265–27. This file number should be
4 The Exchange filed and withdrew Amendment
proposed rule change or raise unique or novel included on the subject line if email is
No. 1 on March 30, 2017 and subsequently filed regulatory issues, it is not subject to notice and used. To help us process and review
Amendment No. 2, which replaced the original comment. your statement more efficiently, please
filing in its entirety. Amendment No. 3, which
replaced the original filing in its entirety, is
6 15 U.S.C. 78s(b)(2). use only one method. The Commission
available at https://www.sec.gov/comments/sr-
7 Id. will post all statements on the Advisory
batsbzx-2017-14/batsbzx201714-1692102- 8 17 CFR 200.30–3(a)(31). Committee’s Web site (https://
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![19414 Federal Register / Vol. 82, No. 80 / Thursday, April 27, 2017 / Notices
www.sec.gov/info/smallbus/ Rule 19b–4(f)(6) thereunder.4 The Corporation (‘‘OCC’’). When
acsec.shtml). Commission is publishing this notice to adjustments have been made,
Statements also will be available for solicit comments on the proposed rule announcement of that fact will be made
Web site viewing and printing in the change from interested persons. by the Exchange, and the adjusted unit
Commission’s Public Reference Room, of trading and the adjusted exercise
I. Self-Regulatory Organization’s price will be posted at the post at which
100 F Street NE., Washington, DC
Statement of the Terms of Substance of the series is traded and will be effective
20549, on official business days
the Proposed Rule Change at the time specified in the
between the hours of 10:00 a.m. and
3:00 p.m. All statements received will The Exchange proposes to amend announcement for all subsequent
be posted without change; we do not Rule 5.7. The text of the proposed rule transactions in that series.
edit personal identifying information change is provided below. OCC lists and clears all options that
from submissions. You should submit (additions are italicized; deletions are trade on national securities exchanges.
only information that you wish to make [bracketed]) As stated in Rule 5.7, OCC rules govern
available publicly. * * * * * options contract adjustments. OCC has
FOR FURTHER INFORMATION CONTACT: Julie
sole discretion for adjustment decisions
Chicago Board Options Exchange, to ensure those decisions are consistent,
Z. Davis, Senior Special Counsel, at Incorporated Rules
(202) 551–3460, Office of Small efficient and free from undue influence.
Business Policy, Division of Corporation * * * * * Because OCC’s rules govern and provide
OCC with sole discretion regarding
Finance, Securities and Exchange Rule 5.7. Adjustments
options contract adjustments, including
Commission, 100 F Street NE., Options contracts are subject to how and when these adjustments are
Washington, DC 20549–3628. adjustments in accordance with the Rules of made,5 CBOE does not believe it is
SUPPLEMENTARY INFORMATION: In the Options Clearing Corporation. [When
necessary to have any role in the
accordance with Section 10(a) of the adjustments have been made, announcement
of that fact will be made by the Exchange, contract adjustment process.6 When
Federal Advisory Committee Act, 5 OCC adjusts an options contract, OCC
U.S.C.-App. 1, and the regulations and the adjusted unit of trading and the
adjusted exercise price will be posted at the issues an information circular and
thereunder, Elizabeth M. Murphy, post at which the series is traded and will be publishes other information regarding
responsible as Designated Federal effective at the time specified in the the adjustment on its Web site. As a
Officer of the Committee, has ordered announcement for all subsequent result, all Trading Permit Holders have
publication of this notice. transactions in that series.] access to information regarding contract
Dated: April 24, 2017. adjustments from OCC.7 Therefore,
* * * * *
Brent J. Fields, The text of the proposed rule change CBOE does not believe its rules should
Committee Management Officer. is also available on the Exchange’s Web impose any requirements on CBOE to
announce contract adjustments made by
[FR Doc. 2017–08534 Filed 4–26–17; 8:45 am] site (http://www.cboe.com/AboutCBOE/
OCC.8 CBOE proposes to amend Rule
BILLING CODE 8011–01–P CBOELegalRegulatoryHome.aspx), at
5.7 by deleting the requirement to
the Exchange’s Office of the Secretary,
announce contract adjustments, as it is
and at the Commission’s Public
SECURITIES AND EXCHANGE duplicative of OCC’s requirement to
Reference Room.
COMMISSION publish this information. The Exchange
II. Self-Regulatory Organization’s also proposes to delete the requirement
[Release No. 34–80510; File No. SR–CBOE– Statement of the Purpose of, and to post the adjusted unit of trading and
2017–034] Statutory Basis for, the Proposed Rule exercise price at the post at which the
Change series is traded. The concept of posting
Self-Regulatory Organizations; In its filing with the Commission, the information at a trading post on the
Chicago Board Options Exchange, Exchange included statements trading floor is outdated, as the
Incorporated; Notice of Filing and concerning the purpose of and basis for Exchange’s current primary means of
Immediate Effectiveness of a Proposed the proposed rule change and discussed communicating information to Trading
Rule Change Relating to Rule 5.7 any comments it received on the Permit Holders is electronic means,
April 21, 2017. proposed rule change. The text of these 5 See Securities Exchange Act Release No. 34–
Pursuant to Section 19(b)(1) of the statements may be examined at the 69977 (July 11, 2013), 78 FR 42815, 42816–42817
Securities Exchange Act of 1934 (the places specified in Item IV below. The (July 17, 2013) (SR–OCC–2013–05) (order approving
‘‘Act’’),1 and Rule 19b–4 thereunder,2 Exchange has prepared summaries, set proposed rule change to provide that OCC, rather
forth in sections A, B, and C below, of than adjustment panel of the securities committee,
notice is hereby given that on April 12, will determine adjustments to the terms of options
2017, Chicago Board Options Exchange, the most significant aspects of such contracts to account for certain events, such as
Incorporated (the ‘‘Exchange’’ or statements. certain dividend distributions or other corporate
actions, that affect the underlying security or other
‘‘CBOE’’) filed with the Securities and A. Self-Regulatory Organization’s underlying interest).
Exchange Commission (the Statement of the Purpose of, and 6 CBOE does not comment on contract
‘‘Commission’’) the proposed rule Statutory Basis for, the Proposed Rule adjustments, and directs investors to contact OCC
change as described in Items I and II, Change for information on contract adjustments. CBOE
below, which Items have been prepared cannot provide guidance as to how OCC’s by-laws
by the Exchange. The Exchange filed the 1. Purpose or rules may be applied in any particular situation.
mstockstill on DSK30JT082PROD with NOTICES
7 See http://www.theocc.com/webapps/
proposal as a ‘‘non-controversial’’ The Exchange proposes to amend infomemos. OCC’s Web site permits investors to
proposed rule change pursuant to Rule 5.7. Currently, Rule 5.7 states subscribe (free of charge) to directly receive
Section 19(b)(3)(A)(iii) of the Act 3 and options contracts are subject to information memos regarding contract adjustments
from OCC when issued.
adjustments in accordance with the 8 Currently, CBOE publishes information
1 15 U.S.C. 78s(b)(1). Rules of the Options Clearing regarding contract adjustments on its Web site. See
2 17 CFR 240.19b–4. http://www.cboe.com/trading-resources/contract-
3 15 U.S.C. 78s(b)(3)(A)(iii). 4 17 CFR 240.19b–4(f)(6). adjustments.
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Document Created: 2017-04-27 01:39:41
Document Modified: 2017-04-27 01:39:41
| 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 | |
| Action | Notice of meeting. | |
| Dates | The public meeting will be held on Wednesday, May 10, 2017. Written statements should be received on or before May 8, 2017. | |
| Contact | Julie Z. Davis, Senior Special Counsel, at (202) 551-3460, Office of Small Business Policy, Division of Corporation Finance, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-3628. | |
| FR Citation | 82 FR 19413 |
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