82_FR_22666 82 FR 22573 - Sunshine Act Meeting

82 FR 22573 - Sunshine Act Meeting

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 93 (May 16, 2017)

Page Range22573-22574
FR Document2017-09936

Federal Register, Volume 82 Issue 93 (Tuesday, May 16, 2017)
[Federal Register Volume 82, Number 93 (Tuesday, May 16, 2017)]
[Notices]
[Pages 22573-22574]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-09936]


-----------------------------------------------------------------------

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, May 18, 
2017 at 2 p.m.
    Commissioners, Counsel to the Commissioners, the Secretary to the

[[Page 22574]]

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 his designee, has 
certified that, in his 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.
    Commissioner 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; 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: May 11, 2017.
Brent J. Fields,
Secretary.
[FR Doc. 2017-09936 Filed 5-12-17; 11:15 am]
BILLING CODE 8011-01-P



                                                                               Federal Register / Vol. 82, No. 93 / Tuesday, May 16, 2017 / Notices                                                   22573

                                                B. Self-Regulatory Organization’s                          The Commission believes that                       Paper Comments
                                                Statement on Burden on Competition                      waiving the 30-day operative delay is                    • Send paper comments in triplicate
                                                  The Exchange does not believe that                    consistent with the protection of                     to Brent J. Fields, Secretary, Securities
                                                the proposed rule change will result in                 investors and the public interest                     and Exchange Commission, 100 F Street
                                                any burden on competition that is not                   because it will synchronize the timing                NE., Washington, DC 20549–1090.
                                                necessary or appropriate in furtherance                 for publication of Appendix B data for
                                                                                                                                                              All submissions should refer to File
                                                of the purposes of the Act. The                         all Participants, which should enhance
                                                                                                                                                              Number SR–NYSE–2017–19. This file
                                                Exchange notes that the proposed rule                   the consistency and usefulness of the
                                                                                                                                                              number should be included on the
                                                change implements the provisions of the                 data.15 Therefore, the Commission
                                                                                                                                                              subject line if email is used. To help the
                                                Plan, and is designed to assist the                     hereby waives the 30-day operative
                                                                                                                                                              Commission process and review your
                                                Participants in meeting their regulatory                delay and designates the proposed rule
                                                                                                                                                              comments more efficiently, please use
                                                obligations pursuant to the Plan.                       change to be operative on the date of
                                                                                                                                                              only one method. The Commission will
                                                                                                        filing.16
                                                C. Self-Regulatory Organization’s                                                                             post all comments on the Commission’s
                                                                                                           At any time within 60 days of the                  Internet Web site (http://www.sec.gov/
                                                Statement on Comments on the
                                                                                                        filing of the proposed rule change, the               rules/sro.shtml). Copies of the
                                                Proposed Rule Change Received From
                                                                                                        Commission summarily may                              submission, all subsequent
                                                Members, Participants, or Others
                                                                                                        temporarily suspend such rule change if               amendments, all written statements
                                                  No written comments were solicited                    it appears to the Commission that such                with respect to the proposed rule
                                                or received with respect to the proposed                action is necessary or appropriate in the             change that are filed with the
                                                rule change.                                            public interest, for the protection of                Commission, and all written
                                                III. Date of Effectiveness of the                       investors, or otherwise in furtherance of             communications relating to the
                                                Proposed Rule Change and Timing for                     the purposes of the Act. If the                       proposed rule change between the
                                                Commission Action                                       Commission takes such action, the                     Commission and any person, other than
                                                                                                        Commission shall institute proceedings                those that may be withheld from the
                                                   Because the foregoing proposed rule                  to determine whether the proposed rule                public in accordance with the
                                                change does not: (i) Significantly affect               should be approved or disapproved.                    provisions of 5 U.S.C. 552, will be
                                                the protection of investors or the public
                                                                                                        IV. Solicitation of Comments                          available for Web site viewing and
                                                interest; (ii) impose any significant
                                                                                                                                                              printing in the Commission’s Public
                                                burden on competition; and (iii) become
                                                                                                          Interested persons are invited to                   Reference Room, 100 F Street, NE.,
                                                operative for 30 days from the date on
                                                                                                        submit written data, views, and                       Washington, DC 20549 on official
                                                which it was filed, or such shorter time
                                                                                                        arguments concerning the foregoing,                   business days between the hours of
                                                as the Commission may designate, it has
                                                                                                        including whether the proposed rule                   10:00 a.m. and 3:00 p.m. Copies of the
                                                become effective pursuant to Section
                                                                                                        change is consistent with the Act.                    filing also will be available for
                                                19(b)(3)(A) of the Act 12 and Rule 19b–
                                                                                                        Comments may be submitted by any of                   inspection and copying at the principal
                                                4(f)(6) thereunder.13
                                                   A proposed rule change filed under                   the following methods:                                office of the Exchange. All comments
                                                Rule 19(b)-4(f)(6) normally does not                                                                          received will be posted without change;
                                                                                                        Electronic Comments                                   the Commission does not edit personal
                                                become operative prior to 30 days after
                                                the date of the filing. However, pursuant                 • Use the Commission’s Internet                     identifying information from
                                                to Rule 19b-4(f)(6)(iii), the Commission                comment form (http://www.sec.gov/                     submissions. You should submit only
                                                may designate a shorter time if such                    rules/sro.shtml); or                                  information that you wish to make
                                                action is consistent with the protection                                                                      available publicly. All submissions
                                                                                                          • Send an email to rule-comments@                   should refer to File Number SR–NYSE–
                                                of investors and the public interest. The               sec.gov. Please include File Number SR–
                                                Exchange has filed the proposed rule                                                                          2017–19 and should be submitted on or
                                                                                                        NYSE–2017–19 on the subject line.                     before June 6, 2017.
                                                change for immediate effectiveness and
                                                has requested that the Commission                                                                               For the Commission, by the Division of
                                                                                                        of Appendix B data related to OTC trading activity.
                                                waive the requirement that the proposed                                                                       Trading and Markets, pursuant to delegated
                                                                                                        See Securities Exchange Release No. 80551, (April
                                                rule change not become operative for 30                 28, 2017), 82 FR 20948 (May 4, 2017). See also        authority.17
                                                days after the date of the filing so that               Letter from David S. Shillman, Associate Director,    Eduardo A. Aleman,
                                                                                                        Division of Trading and Markets, Commission, to       Assistant Secretary.
                                                it may become operative on the date of                  Marcia E. Asquith, Executive Vice President FINRA,
                                                filing.                                                 dated April 28, 2017.                                 [FR Doc. 2017–09815 Filed 5–15–17; 8:45 am]
                                                   The Exchange notes that the proposed                    15 The Commission recently granted exemptive       BILLING CODE 8011–01–P
                                                rule change is intended to mitigate                     relief to the Participants delay the publication of
                                                confidentiality concerns raised in                      their Appendix B data until August 31, 2017. See
                                                                                                        Letter from David S. Shillman, Associate Director,
                                                connection with Section VII(A) of the                   Division of Trading and Markets, Commission, to
                                                                                                                                                              SECURITIES AND EXCHANGE
                                                Plan, which provides that the data made                 Jennifer Piorko Mitchell, Vice President and Deputy   COMMISSION
                                                publicly available will not identify the                Corporate Secretary, FINRA, dated April 27, 2017.
                                                Trading Center that generated the data.                 The Commission notes that other Participants have     Sunshine Act Meeting
                                                                                                        submitted proposed rule changes to delay the
                                                The Exchange states that the additional                 publication of Appendix B data until August 31,         Notice is hereby given, pursuant to
                                                time would allow consideration of a                     2017. See e.g., SR–BatsBYX–2017–10; SR–               the provisions of the Government in the
                                                methodology to mitigate concerns                        BatsEDGA–2017–10; SR–BatsEDGX–2017–19; SR–
sradovich on DSK3GMQ082PROD with NOTICES




                                                                                                        BX–2017–022; SR–CHX–2017–07; SR–FINRA–
                                                                                                                                                              Sunshine Act, Public Law 94–409, that
                                                related to the publication of Appendix                                                                        the Securities and Exchange
                                                                                                        2017–010; SR–IEX–2017–12; SR–NASDAQ–2017–
                                                B data.14                                               044; SR–Phlx–2017–33; SR–NYSEArca–2017–49;            Commission will hold a closed meeting
                                                                                                        SR–NYSEMKT–2017–24.                                   on Thursday, May 18, 2017 at 2 p.m.
                                                  12 15U.S.C. 78s(b)(3)(A).                                16 For purposes only of waiving the operative
                                                  13 17CFR 240.19b–4(f)(6).
                                                                                                                                                                Commissioners, Counsel to the
                                                                                                        delay for this proposal, the Commission has
                                                  14 The Commission recently approved a FINRA           considered the proposed rule’s impact on              Commissioners, the Secretary to the
                                                proposal to implement an aggregated, anonymous          efficiency, competition, and capital formation. See
                                                grouped masking methodology for the publication         15 U.S.C. 78c(f).                                       17 17   CFR 200.30–3(a)(12).



                                           VerDate Sep<11>2014   16:42 May 15, 2017   Jkt 241001   PO 00000   Frm 00097   Fmt 4703   Sfmt 4703   E:\FR\FM\16MYN1.SGM     16MYN1


                                                22574                             Federal Register / Vol. 82, No. 93 / Tuesday, May 16, 2017 / Notices

                                                Commission, and recording secretaries                      been prepared by the Exchange. The                    the Exchange shall make certain
                                                will attend the closed meeting. Certain                    Commission is publishing this notice to               Appendix C data available to FINRA for
                                                staff members who have an interest in                      solicit comments on the proposed rule                 aggregation and publication on the
                                                the matters also may be present.                           change from interested persons.                       FINRA Web site pursuant to FINRA
                                                   The General Counsel of the                                                                                    Rules and the Exchange will publish
                                                                                                           I. Self-Regulatory Organization’s
                                                Commission, or his designee, has                                                                                 Appendix B data on the Exchange Web
                                                                                                           Statement of the Terms of Substance of                site, which shall commence on April 28,
                                                certified that, in his opinion, one or
                                                                                                           the Proposed Rule Change                              2017.6 The Exchange is proposing to
                                                more of the exemptions set forth in 5
                                                U.S.C. 552b(c)(3), (5), (7), 9(B) and (10)                    CHX proposes to amend Article 20,                  further delay the Web site publication of
                                                and 17 CFR 200.402(a)(3), (a)(5), (a)(7),                  Rule 13(b) of the Rules of the Exchange               Appendix B data until August 31, 2017
                                                (a)(9)(ii) and (a)(10), permit                             (‘‘CHX Rules’’) to modify the date of                 to permit additional time to consider a
                                                consideration of the scheduled matter at                   Appendix B Web site data publication                  methodology to mitigate concerns raised
                                                the closed meeting.                                        pursuant to the Regulation NMS Plan to                in connection with the publication of
                                                   Commissioner Piwowar, as duty                           Implement a Tick Size Pilot Program                   Appendix B data.7
                                                officer, voted to consider the items                       (‘‘Plan’’).                                              Pursuant to this proposed
                                                listed for the closed meeting in closed                       The text of this proposed rule change              amendment, the Exchange would
                                                session.                                                   is available on the Exchange’s Web site               publish the required Appendix B data
                                                   The subject matter of the closed                        at (www.chx.com) and in the                           for the Pre-Pilot Period through April
                                                meeting will be:                                           Commission’s Public Reference Room.                   30, 2017 by August 31, 2017. Thereafter,
                                                   Institution and settlement of                                                                                 Appendix B data for a given month
                                                                                                           II. Self-Regulatory Organization’s                    would be published within 120 calendar
                                                injunctive actions;                                        Statement of the Purpose of, and
                                                   Institution and settlement of                                                                                 days following month end.8 Thus, for
                                                                                                           Statutory Basis for, the Proposed Rule                example, Appendix B data for May 2017
                                                administrative proceedings; and                            Change
                                                   Other matters relating to enforcement                                                                         would be made available on the
                                                proceedings.                                                 In its filing with the Commission, the              Exchange Web site by September 28,
                                                   At times, changes in Commission                         CHX included statements concerning                    2017, and data for the month of June
                                                priorities require alterations in the                      the purpose of and basis for the                      2017 would be made available on the
                                                scheduling of meeting items.                               proposed rule changes and discussed                   FINRA [sic] Web site by October 28,
                                                   For further information and to                          any comments it received on the                       2017.
                                                ascertain what, if any, matters have been                  proposed rule change. The text of these                  As noted in Item 2 of this filing, the
                                                added, deleted or postponed; please                        statements may be examined at the                     Exchange has filed the proposed rule
                                                contact Brent J. Fields from the Office of                 places specified in Item IV below. The                change for immediate effectiveness. The
                                                the Secretary at (202) 551–5400.                           CHX has prepared summaries, set forth                 operative date of the proposed rule
                                                                                                           in sections A, B and C below, of the                  change will be the date of filing.
                                                  Dated: May 11, 2017.                                     most significant aspects of such
                                                Brent J. Fields,                                                                                                 2. Statutory Basis
                                                                                                           statements.
                                                Secretary.                                                                                                          The Exchange believes that its
                                                [FR Doc. 2017–09936 Filed 5–12–17; 11:15 am]
                                                                                                           A. Self-Regulatory Organization’s                     proposal is consistent with Section 6(b)
                                                                                                           Statement of the Purpose of, and the                  of the Act 9 in general, and furthers the
                                                BILLING CODE 8011–01–P
                                                                                                           Statutory Basis for, the Proposed Rule                objectives of Section 6(b)(5) of the Act 10
                                                                                                           Change                                                in particular, in that it is designed to
                                                SECURITIES AND EXCHANGE                                    1. Purpose                                            promote just and equitable principles of
                                                COMMISSION
                                                                                                              Article 20, Rule 13(b) (Compliance                    6 See Exchange Act Release No. 80227 (March 13,

                                                [Release No. 34–80647; File No. SR–CHX–                    with Data Collection Requirements) 3                  2017), 82 FR 14263 (March 17, 2017) (SR–CHX–
                                                2017–07]                                                   implements the data collection and Web                2017–05). See also Letter from David S. Shillman,
                                                                                                                                                                 Associate Director, Division of Trading and
                                                                                                           site publication requirements of the                  Markets, Commission, to Robert L.D. Colby,
                                                Self-Regulatory Organizations;                             Plan.4 Paragraph .08 of Article 20, Rule              Executive Vice President and Chief Legal Officer,
                                                Chicago Stock Exchange, Inc.; Notice                       13(b) currently provides, among other                 FINRA, dated February 28, 2017.
                                                of Filing and Immediate Effectiveness                      things, that with respect to data for the                7 On March 3, 2017, FINRA filed a proposed rule

                                                of a Proposed Rule Change To Modify                        Pre-Pilot Period 5 and the Pilot Period,              change to implement an anonymous, grouped
                                                the Date of Appendix B Web Site Data                                                                             masking methodology for Appendix B.I, B.II. and
                                                                                                                                                                 B.IV. data. The comment period ended on April 5,
                                                Publication Pursuant to the Regulation                        3 See Securities Exchange Act Release No. 80227    2017, and the Commission received three comment
                                                NMS Plan To Implement a Tick Size                          (March 13, 2017), 82 FR 14263 (March 17, 2017)        letters. See Securities Exchange Act Release No.
                                                Pilot Program                                              (SR–CHX–2017–05); see also Securities Exchange        80193 (March 9, 2017) 82 FR 13901 (March 15,
                                                                                                           Act Release No. 79538 (December 13, 2016), 81 FR      2017). FINRA and the Exchange also submitted an
                                                May 10, 2017.                                              91979 (December 19, 2016) (SR–CHX–2016–21); see       exemptive request to the SEC, which, if granted,
                                                                                                           also Securities Exchange Act Release No. 77469        would permit FINRA to, among other things,
                                                   Pursuant to Section 19(b)(1) of the                     (March 29, 2016), 81 FR 19275 (April 4, 2016) (SR–    publish on its Web site Appendix B.I., B.II. and
                                                Securities Exchange Act of 1934                            CHX–2016–02).                                         B.IV. data for over-the-counter activity with respect
                                                (‘‘Act’’),1 and Rule 19b–4 2 thereunder,                      4 The Plan Participants filed the Plan to comply   to Trading Centers for which FINRA or the
                                                notice is hereby given that on April 28,                   with an order issued by the Commission on June        Exchange is the designated examining authority, in
                                                                                                           24, 2014. See Letter from Brendon J. Weiss, Vice      a manner consistent with FINRA’s proposed
                                                2017, the Chicago Stock Exchange, Inc.                                                                           anonymous, grouped masking methodology. See
                                                                                                           President, Intercontinental Exchange, Inc., to
sradovich on DSK3GMQ082PROD with NOTICES




                                                (‘‘CHX’’ or the ‘‘Exchange’’) filed with                   Secretary, Commission, dated August 25, 2014          Letter from Marcia E. Asquith, Executive Vice
                                                the Securities and Exchange                                (‘‘SRO Tick Size Plan Proposal’’). See Securities     President, Board and External Relations, FINRA, to
                                                Commission (‘‘Commission’’) the                            Exchange Act Release No 72460 (June 24, 2014), 79     Robert W. Errett, Deputy Secretary, SEC, dated
                                                                                                           FR 36840 (June 30, 2014); see also Securities         March 2, 2017.
                                                proposed rule change as described in                                                                                8 FINRA, on behalf of the Participants, is
                                                                                                           Exchange Act Release No. 74892 (May 6, 2015), 80
                                                Items I and II below, which Items have                     FR 27513 (May 13, 2015).                              submitting an exemptive request to the SEC in
                                                                                                              5 Unless otherwise defined herein, capitalized     connection with the instant filing.
                                                  1 15   U.S.C. 78s(b)(1).                                                                                          9 15 U.S.C. 78f(b).
                                                                                                           terms have the meaning ascribed to them in CHX
                                                  2 17   CFR 240.19b–4.                                    Article 20, Rule 13.                                     10 15 U.S.C. 78f(b)(5).




                                           VerDate Sep<11>2014      16:42 May 15, 2017   Jkt 241001   PO 00000   Frm 00098   Fmt 4703   Sfmt 4703   E:\FR\FM\16MYN1.SGM   16MYN1



Document Created: 2017-05-16 13:52:41
Document Modified: 2017-05-16 13:52:41
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 22573 

2025 Federal Register | Disclaimer | Privacy Policy
USC | CFR | eCFR