82 FR 25027 - Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Certain Appendix B Web Site Publication Requirements Pursuant to the Regulation NMS Plan To Implement a Tick Size Pilot Program

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 103 (May 31, 2017)

Page Range		25027-25029
FR Document		2017-11143
Federal Register, Volume 82 Issue 103 (Wednesday, May 31, 2017)
[Federal Register Volume 82, Number 103 (Wednesday, May 31, 2017)]
[Notices]
[Pages 25027-25029]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-11143]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-80754; File No. SR-CHX-2017-10]


Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; 
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change 
To Modify Certain Appendix B Web Site Publication Requirements Pursuant 
to the Regulation NMS Plan To Implement a Tick Size Pilot Program

May 24, 2017.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 
(``Act''),\1\ and Rule 19b-4 \2\ thereunder, notice is hereby given 
that on May 15, 2017, the Chicago Stock Exchange, Inc. (``CHX'' or the 
``Exchange'') filed with the Securities and Exchange Commission 
(``Commission'') the proposed rule change as described in Items I, II 
and III below, which Items have been prepared by the Exchange. The 
Commission is publishing this notice to solicit comments on the 
proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance 
of the Proposed Rule Change

    CHX proposes to amend Article 20, Rule 13(b) of the Rules of the 
Exchange (``CHX Rules'') to modify certain Appendix B Web site data 
publication requirements pursuant to the Regulation NMS Plan to 
Implement a Tick Size Pilot Program (``Plan'').
    The text of this proposed rule change is available on the 
Exchange's Web site at (www.chx.com) and in 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 CHX included statements 
concerning the purpose of and basis for the proposed rule changes and 
discussed any comments it received on the proposed rule change. The 
text of these

[[Page 25028]]

statements may be examined at the places specified in Item IV below. 
The CHX has prepared summaries, set forth in sections A, B and C below, 
of the most significant aspects of such statements.

A. Self-Regulatory Organization's Statement of the Purpose of, and the 
Statutory Basis for, the Proposed Rule Change

1. Purpose
    Article 20, Rule 13(b) (Compliance with Data Collection 
Requirements) \3\ implements the data collection and Web site 
publication requirements of the Plan.\4\ Article 20, Rule 13(b)(2)(A) 
requires, among other things, that a CHX Participant \5\ that operates 
a Trading Center subject to the Plan and for which the Exchange is the 
designated examining authority (``DEA'') shall collect and transmit to 
the Exchange data described under Items I and II of Appendix B of the 
Plan. Subparagraph (v) under Article 20, Rule 13(b)(2)(A) provides, 
among other things, that the Exchange shall publish such Appendix B.I. 
and B.II. data on the CHX Web site within 120 calendar days following 
month end at no charge and shall not identify the Trading Center that 
generated the data. Paragraph .08 of the Interpretations and Policies 
under Article 20, Rule 13(b) provides, among other things, that the 
requirement that the Exchange make certain data publicly available on 
the Exchange or DEA's Web site pursuant to Appendix B and C to the Plan 
shall commence at the beginning of the Pilot Period,\6\ and that the 
Exchange shall make Appendix C.I data available to the Financial 
Industry Regulatory Authority (``FINRA'') for aggregation and 
publication on the FINRA Web site pursuant to FINRA Rules and the 
Exchange will publish Appendix B data on the Exchange Web site, which 
shall commence on August 31, 2017.\7\
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    \3\ See Securities Exchange Act Release No. 79538 (December 13, 
2016), 81 FR 91979 (December 19, 2016) (SR-CHX-2016-21); see also 
Securities Exchange Act Release No. 77469 (March 29, 2016), 81 FR 
19275 (April 4, 2016) (SR-CHX-2016-03).
    \4\ The Plan Participants filed the Plan to comply with an order 
issued by the Commission on June 24, 2014. See Letter from Brendon 
J. Weiss, Vice President, Intercontinental Exchange, Inc., to 
Secretary, Commission, dated August 25, 2014 (``SRO Tick Size Plan 
Proposal''). See Securities Exchange Act Release No 72460 (June 24, 
2014), 79 FR 36840 (June 30, 2014); see also Securities Exchange Act 
Release No. 74892 (May 6, 2015), 80 FR 27513 (May 13, 2015).
    \5\ A ``Participant'' is a ``member'' of the Exchange for 
purposes of the Act. See CHX Article 1, Rule 1(s). For clarity, the 
Exchange proposes to utilize the term ``CHX Participant'' when 
referring to members of the Exchange and the term ``Plan 
Participant'' when referring to Participants of the Plan.
    \6\ Unless otherwise defined herein, capitalized terms have the 
meaning ascribed to them in CHX Article 20, Rule 13.
    \7\ On November 30, 2016, the SEC granted exemptive relief to 
the Plan Participants to, among other things, delay the publication 
of Web site data pursuant to Appendices B and C to the Plan until 
February 28, 2017, and to delay the ongoing Web site publication by 
ninety days such that data would be published within 120 calendar 
days following the end of the month. See Letter from David S. 
Shillman, Associate Director, Division of Trading and Markets, 
Commission, to Marcia E. Asquith, Senior Vice President and 
Corporate Secretary, FINRA, dated November 30, 2016; see also SR-
CHX-2016-21, supra note 3. The Exchange filed a proposed rule change 
for immediate effectiveness that, among other things, delayed the 
date by which Pre-Pilot and Pilot Appendix B data is to be made 
publicly available on the Exchange's Web site from February 28, 
2017, until April 28, 2017. See Securities Exchange Act Release No. 
80227 (March 13, 2017), 82 FR 14263 (March 17, 2017) (SR-CHX-2017-
05). The Exchange recently filed a proposed rule change for 
immediate effectiveness that delayed the date by which Pre-Pilot and 
Pilot Appendix B data is to be made publicly available on the 
Exchange's Web site from April 28, 2017, until August 31, 2017. See 
Securities Exchange Act Release No. 80647 (May 10, 2017) (SR-CHX-
2017-07). The SEC granted exemptive relief to the Plan Participants 
to delay the publication of their Appendix B data until August 31, 
2017. See Letter from David S. Shillman, Associate Director, 
Division of Trading and Markets, Commission, to Jennifer Piorko 
Mitchell, Vice President and Deputy Corporate Secretary, FINRA, 
dated April 28, 2017.
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    The Exchange is proposing to amend certain provisions under Article 
20, Rule 13(b) to comport to recent amendments to FINRA Rule 6191 \8\ 
that were adopted to mitigate confidentiality concerns previously 
raised by commenters \9\ regarding the publication of data related to 
over-the-counter (``OTC'') activity. Given that the Exchange is the DEA 
for a relatively small number of OTC Trading Centers, publishing their 
data, whether on an aggregated or a disaggregated basis, raises 
concerns that the identities of these Trading Centers could be 
determined. In order to address these concerns, pursuant to paragraph 
.15 of the Supplementary Materials of FINRA Rule 6191, FINRA will 
incorporate the firms for which the Exchange is the DEA into the 
anonymous, grouped masked methodology and publish OTC-wide statistics 
for Appendix B.I, B.II. and B.IV. data on the FINRA Web site.\10\ The 
Exchange will publish Appendix B data with respect to any Trading 
Center operated by the Exchange on the Exchange Web site. Thus, the 
Exchange proposes to amend the CHX Rules as follows:
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    \8\ See Securities Exchange Act Release No. 80551 (April 28, 
2017), 82 FR 20948 (May 4, 2017) (``Approval Order''); see also 
Securities Exchange Act Release No. 80193 (March 9, 2017), 82 FR 
13901 (March 15, 2017) (SR-FINRA-2017-006); see also infra note 10.
    \9\ See Letter from William Hebert, Managing Director, Financial 
Information Forum (``FIF''), to Robert W. Errett, Deputy Secretary, 
Commission, dated December 21, 2016 (``FIF letter''); see also 
Letter from Adam C. Cooper, Senior Managing Director and Chief Legal 
Officer, Citadel Securities, to Brent J. Fields, Secretary, 
Commission, dated December 21, 2016 (``Citadel letter''); see also 
SR-CHX-2016-21, supra note 3.
    \10\ On April 28, 2017, the SEC granted exemptive relief to 
FINRA and CHX to permit the publication of Appendix B data related 
to OTC trading activity on an aggregated basis using the anonymous, 
grouped masking methodology adopted by FINRA. See Letter from David 
S. Shillman, Associate Director, Division of Trading and Markets, 
Commission, to Marcia E. Asquith, Executive Vice President Board and 
External Relations, FINRA, dated April 28, 2017; see also Approval 
Order, supra note 8.
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     Amend Article 20, Rule 13(b)(2)(A)(v) to modify the Web 
site publication requirement to provide that the Exchange shall make 
the Appendix B.I. and B.II. data collected pursuant to current Article 
20, Rule 13(b)(2)(A) available to FINRA for aggregation and publication 
on the FINRA Web site pursuant to FINRA Rules.
     Amend paragraph .08 of the Interpretations and Policies of 
Article 20, Rule 13(b) to provide that notwithstanding the provisions 
of Article 20, Rule 13(b)(2) and (b)(3), with respect to data for the 
Pre-Pilot Period and the Pilot Period, the Exchange shall make the 
Appendix B.I. and B.II. data collected pursuant to Article 20, Rule 
13(b)(2)(A) and the Appendix C.I. data collected pursuant to Article 
20, Rule 13(b)(4)(A) available to FINRA for aggregation and publication 
on the FINRA Web site pursuant to FINRA Rules and the Exchange will 
publish Appendix B data with respect to any Trading Center operated by 
the Exchange on the Exchange Web site, which shall commence on August 
31, 2017.
2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section 
6(b) of the Act \11\ in general, and furthers the objectives of Section 
6(b)(5) of the Act \12\ in particular, in that it is designed to 
promote just and equitable principles of trade, to foster cooperation 
and coordination with persons engaged in facilitating transactions in 
securities, to remove impediments to and perfect the mechanism of a 
free and open market and a national market system and, in general, to 
protect investors and the public interest; and are not designed to 
permit unfair discrimination between customers, issuers, brokers, or 
dealers.
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    \11\ 15 U.S.C. 78f(b).
    \12\ 15 U.S.C. 78f(b)(5).
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    The Plan is designed to allow the Commission, market participants, 
and the public to study and assess the

[[Page 25029]]

impact of increment conventions on the liquidity and trading of the 
common stock of small-capitalization companies. The Exchange believes 
that this proposal is consistent with the Act and Section VII(A) of the 
Plan because it mitigates confidentiality concerns regarding the 
identity of certain OTC Trading Centers for which the Exchange is the 
DEA.\13\
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    \13\ See supra note 9.
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B. Self-Regulatory Organization's Statement on Burden on Competition

    The Exchange does not believe that the proposed rule change will 
result in any burden on competition that is not necessary or 
appropriate in furtherance of the purposes of the Act. The Exchange 
notes that the proposed rule change implements the provisions of the 
Plan.

C. Self-Regulatory Organization's Statement on Comments on the Proposed 
Rule Change Received From Members, Participants, or Others

    No written comments were either solicited or received.

III. Date of Effectiveness of the Proposed Rule Change and Timing for 
Commission Action

    The Exchange asserts that the proposed rule change: (1) Will not 
significantly affect the protection of investors or the public 
interest, (2) will not impose any significant burden on competition, 
and (3) and will not become operative for 30 days from the date on 
which it was filed, or such shorter time as the Commission may 
designate. In addition, the Exchange provided the Commission with 
written notice of its intent to file the proposed rule change, along 
with a brief description and text of the proposed rule change, at least 
five business days prior to the date of filing, or such shorter time as 
designated by the Commission.\14\
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    \14\ 17 CFR 240.19b-4(f)(6)(iii).
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    The Exchange believes that the proposed rule change raises no novel 
issues. The Exchange notes that the proposed rule change is intended to 
address the requirement in Section VII(A) of the Plan that the data 
made publicly available will not identify the Trading Center that 
generated the data, as well as the confidentiality concerns raised in 
connection with the publication of Appendix B data.\15\ The Exchange 
also notes that the proposal does not alter the information required to 
be submitted to the SEC. As such, the Exchange has designated this rule 
filing as non-controversial under Section 19(b)(3)(A) of the Act \16\ 
and paragraph (f)(6) of Rule 19b-4 thereunder.\17\
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    \15\ See supra note 9.
    \16\ 15 U.S.C. 78s(b)(3)(A).
    \17\ 17 CFR 240.19b-4.
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    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 under 
Section 19(b)(2)(B) of the Act to determine whether the proposed rule 
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-CHX-2017-10 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-CHX-2017-10. 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 
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-CHX-2017-10 and should be 
submitted on or before June 21, 2017.

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\18\
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    \18\ 17 CFR 200.30-3(a)(12).
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Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-11143 Filed 5-30-17; 8:45 am]
 BILLING CODE 8011-01-P
Federal Register / Vol. 82, No. 103 / Wednesday, May 31, 2017 / Notices 25027

of the purposes of the Act. To the to determine whether the proposed rule For the Commission, by the Division of
contrary, this proposal is pro- should be approved or disapproved. Trading and Markets, pursuant to delegated
competitive because it allows Penny authority.11
Pilot issues to continue trading on the IV. Solicitation of Comments Eduardo A. Aleman,
Exchange. Assistant Secretary.
Interested persons are invited to
Moreover, the Exchange believes that submit written data, views, and [FR Doc. 2017–11144 Filed 5–30–17; 8:45 am]
the proposed rule change will allow for arguments concerning the foregoing, BILLING CODE 8011–01–P
further analysis of the Pilot and a including whether the proposed rule
determination of how the Pilot should change is consistent with the Act.
be structured in the future; and will SECURITIES AND EXCHANGE
Comments may be submitted by any of
serve to promote regulatory clarity and COMMISSION
the following methods:
consistency, thereby reducing burdens [Release No. 34–80754; File No. SR–CHX–
on the marketplace and facilitating Electronic Comments 2017–10]
investor protection.
The Pilot is an industry-wide • Use the Commission’s Internet Self-Regulatory Organizations;
initiative supported by all other option comment form (http://www.sec.gov/ Chicago Stock Exchange, Inc.; Notice
exchanges. The Exchange believes that rules/sro.shtml); or of Filing and Immediate Effectiveness
extending the Pilot will allow for • Send an email to rule-comments@ of a Proposed Rule Change To Modify
continued competition between market sec.gov. Please include File Number SR– Certain Appendix B Web Site
participants on the Exchange trading Phlx–2017–36 on the subject line. Publication Requirements Pursuant to
similar products as their counterparts the Regulation NMS Plan To Implement
on other exchanges, while at the same Paper Comments a Tick Size Pilot Program
time allowing the Exchange to continue
• Send paper comments in triplicate May 24, 2017.
to compete for order flow with other
exchanges in option issues trading as to Secretary, Securities and Exchange Pursuant to Section 19(b)(1) of the
part of the Pilot. Commission, 100 F Street NE., Securities Exchange Act of 1934
Washington, DC 20549–1090. (‘‘Act’’),1 and Rule 19b–4 2 thereunder,
C. Self-Regulatory Organization’s notice is hereby given that on May 15,
Statement on Comments on the All submissions should refer to File
Number SR–Phlx–2017–36. This file 2017, the Chicago Stock Exchange, Inc.
Proposed Rule Change Received From (‘‘CHX’’ or the ‘‘Exchange’’) filed with
Members, Participants, or Others number should be included on the
the Securities and Exchange
subject line if email is used.
No written comments were either Commission (‘‘Commission’’) the
solicited or received. To help the Commission process and proposed rule change as described in
review your comments more efficiently, Items I, II and III below, which Items
III. Date of Effectiveness of the please use only one method. The have been prepared by the Exchange.
Proposed Rule Change and Timing for Commission will post all comments on The Commission is publishing this
Commission Action the Commission’s Internet Web site notice to solicit comments on the
Because the foregoing proposed rule (http://www.sec.gov/rules/sro.shtml). proposed rule change from interested
change does not: (i) Significantly affect Copies of the submission, all persons.
the protection of investors or the public subsequent amendments, all written I. Self-Regulatory Organization’s
interest; (ii) impose any significant statements with respect to the proposed Statement of the Terms of Substance of
burden on competition; and (iii) become rule change that are filed with the the Proposed Rule Change
operative for 30 days from the date on Commission, and all written
which it was filed, or such shorter time communications relating to the CHX proposes to amend Article 20,
as the Commission may designate, it has proposed rule change between the Rule 13(b) of the Rules of the Exchange
become effective pursuant to Section (‘‘CHX Rules’’) to modify certain
Commission and any person, other than
19(b)(3)(A)(iii) of the Act 9 and Appendix B Web site data publication
those that may be withheld from the
subparagraph (f)(6) of Rule 19b–4 requirements pursuant to the Regulation
public in accordance with the
thereunder.10 NMS Plan to Implement a Tick Size
provisions of 5 U.S.C. 552, will be
At any time within 60 days of the Pilot Program (‘‘Plan’’).
available for Web site viewing and The text of this proposed rule change
filing of the proposed rule change, the printing in the Commission’s Public
Commission summarily may is available on the Exchange’s Web site
Reference Room, 100 F Street NE., at (www.chx.com) and in the
temporarily suspend such rule change if Washington, DC 20549, on official
it appears to the Commission that such Commission’s Public Reference Room.
business days between the hours of
action is: (i) Necessary or appropriate in 10:00 a.m. and 3:00 p.m. Copies of the II. Self-Regulatory Organization’s
the public interest; (ii) for the protection Statement of the Purpose of, and
filing also will be available for
of investors; or (iii) otherwise in Statutory Basis for, the Proposed Rule
inspection and copying at the principal
furtherance of the purposes of the Act. Change
office of the Exchange. All comments
If the Commission takes such action, the
received will be posted without change; In its filing with the Commission, the
Commission shall institute proceedings
the Commission does not edit personal CHX included statements concerning
identifying information from the purpose of and basis for the
nlaroche on DSK30NT082PROD with NOTICES

9 15 U.S.C. 78s(b)(3)(A)(iii).
10 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– submissions. You should submit only proposed rule changes and discussed
4(f)(6) requires a self-regulatory organization to give information that you wish to make any comments it received on the
the Commission written notice of its intent to file available publicly. proposed rule change. The text of these
the proposed rule change at least five business days
prior to the date of filing of the proposed rule All submissions should refer to File 11 17 CFR 200.30–3(a)(12).
change, or such shorter time as designated by the
Commission. The Exchange has satisfied this
Number SR–Phlx–2017–36 and should 1 15 U.S.C. 78s(b)(1).
requirement. be submitted on or before June 21, 2017. 2 17 CFR 240.19b–4.

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Federal Register / Vol. 82, No. 103 / Wednesday, May 31, 2017 / Notices 25029

impact of increment conventions on the as non-controversial under Section 10:00 a.m. and 3:00 p.m. Copies of the
liquidity and trading of the common 19(b)(3)(A) of the Act 16 and paragraph filing also will be available for
stock of small-capitalization companies. (f)(6) of Rule 19b–4 thereunder.17 inspection and copying at the principal
The Exchange believes that this At any time within 60 days of the office of the Exchange. All comments
proposal is consistent with the Act and filing of the proposed rule change, the received will be posted without change;
Section VII(A) of the Plan because it Commission summarily may the Commission does not edit personal
mitigates confidentiality concerns temporarily suspend such rule change if identifying information from
regarding the identity of certain OTC it appears to the Commission that such submissions. You should submit only
Trading Centers for which the Exchange action is necessary or appropriate in the information that you wish to make
is the DEA.13 public interest, for the protection of available publicly. All submissions
investors, or otherwise in furtherance of should refer to File Number SR–CHX–
B. Self-Regulatory Organization’s the purposes of the Act. If the 2017–10 and should be submitted on or
Statement on Burden on Competition Commission takes such action, the before June 21, 2017.
The Exchange does not believe that Commission shall institute proceedings For the Commission, by the Division of
the proposed rule change will result in under Section 19(b)(2)(B) of the Act to Trading and Markets, pursuant to delegated
any burden on competition that is not determine whether the proposed rule authority.18
necessary or appropriate in furtherance should be approved or disapproved. Eduardo A. Aleman,
of the purposes of the Act. The
IV. Solicitation of Comments Assistant Secretary.
Exchange notes that the proposed rule
Interested persons are invited to [FR Doc. 2017–11143 Filed 5–30–17; 8:45 am]
change implements the provisions of the
Plan. submit written data, views, and BILLING CODE 8011–01–P

arguments concerning the foregoing,
C. Self-Regulatory Organization’s including whether the proposed rule
Statement on Comments on the change is consistent with the Act. SECURITIES AND EXCHANGE
Proposed Rule Change Received From Comments may be submitted by any of COMMISSION
Members, Participants, or Others the following methods: Sunshine Act Meeting
No written comments were either
Electronic Comments
solicited or received. Notice is hereby given, pursuant to
• Use the Commission’s Internet the provisions of the Government in the
III. Date of Effectiveness of the comment form (http://www.sec.gov/ Sunshine Act, Public Law 94–409, that
Proposed Rule Change and Timing for rules/sro.shtml); or the Securities and Exchange
Commission Action • Send an email to rule-comments@ Commission will hold a closed meeting
The Exchange asserts that the sec.gov. Please include File Number SR– on Thursday, June 1, 2017 at 2 p.m.
proposed rule change: (1) Will not CHX–2017–10 on the subject line. Commissioners, Counsel to the
significantly affect the protection of Paper Comments Commissioners, the Secretary to the
investors or the public interest, (2) will Commission, and recording secretaries
not impose any significant burden on • Send paper comments in triplicate will attend the closed meeting. Certain
competition, and (3) and will not to Secretary, Securities and Exchange staff members who have an interest in
become operative for 30 days from the Commission, 100 F Street NE., the matters also may be present.
date on which it was filed, or such Washington, DC 20549–1090. The General Counsel of the
shorter time as the Commission may All submissions should refer to File Commission, or his designee, has
designate. In addition, the Exchange Number SR–CHX–2017–10. This file certified that, in his opinion, one or
provided the Commission with written number should be included on the more of the exemptions set forth in 5
notice of its intent to file the proposed subject line if email is used. To help the U.S.C. 552b(c)(3), (5), (7), 9(B) and (10)
rule change, along with a brief Commission process and review your and 17 CFR 200.402(a)(3), (a)(5), (a)(7),
description and text of the proposed comments more efficiently, please use (a)(9)(ii) and (a)(10), permit
rule change, at least five business days only one method. The Commission will consideration of the scheduled matter at
prior to the date of filing, or such post all comments on the Commission’s the closed meeting.
shorter time as designated by the Internet Web site (http://www.sec.gov/ Chairman Clayton, as duty officer,
Commission.14 rules/sro.shtml). Copies of the voted to consider the items listed for the
The Exchange believes that the submission, all subsequent closed meeting in closed session.
proposed rule change raises no novel amendments, all written statements The subject matter of the closed
issues. The Exchange notes that the with respect to the proposed rule meeting will be:
proposed rule change is intended to change that are filed with the Institution and settlement of
address the requirement in Section Commission, and all written injunctive actions;
VII(A) of the Plan that the data made communications relating to the Institution and settlement of
publicly available will not identify the proposed rule change between the administrative proceedings; and
Trading Center that generated the data, Commission and any person, other than Other matters relating to enforcement
as well as the confidentiality concerns those that may be withheld from the proceedings.
raised in connection with the public in accordance with the At times, changes in Commission
publication of Appendix B data.15 The provisions of 5 U.S.C. 552, will be priorities require alterations in the
Exchange also notes that the proposal available for Web site viewing and scheduling of meeting items.
nlaroche on DSK30NT082PROD with NOTICES

does not alter the information required printing in the Commission’s Public For further information and to
to be submitted to the SEC. As such, the Reference Room, 100 F Street NE., ascertain what, if any, matters have been
Exchange has designated this rule filing Washington, DC 20549 on official added, deleted or postponed; please
business days between the hours of contact Brent J. Fields from the Office of
13 See supra note 9. the Secretary at (202) 551–5400.
14 17 CFR 240.19b–4(f)(6)(iii). 16 15 U.S.C. 78s(b)(3)(A).
15 See supra note 9. 17 17 CFR 240.19b–4. 18 17 CFR 200.30–3(a)(12).

VerDate Sep<11>2014 14:54 May 30, 2017 Jkt 241001 PO 00000 Frm 00096 Fmt 4703 Sfmt 4703 E:\FR\FM\31MYN1.SGM 31MYN1
Document Created: 2017-05-31 05:59:44
Document Modified: 2017-05-31 05:59:44
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 25027