82_FR_33669 82 FR 33531 - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Clarifying Amendment to IEX Rule 16.135

82 FR 33531 - Self-Regulatory Organizations: Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make a Clarifying Amendment to IEX Rule 16.135

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 138 (July 20, 2017)

Page Range33531-33533
FR Document2017-15194

Federal Register, Volume 82 Issue 138 (Thursday, July 20, 2017)
[Federal Register Volume 82, Number 138 (Thursday, July 20, 2017)]
[Notices]
[Pages 33531-33533]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-15194]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-81149; File No. SR-IEX-2017-23]


Self-Regulatory Organizations: Investors Exchange LLC; Notice of 
Filing and Immediate Effectiveness of Proposed Rule Change To Make a 
Clarifying Amendment to IEX Rule 16.135

July 14, 2017.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of 
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby 
given that, on July 7, 2017, the Investors Exchange LLC filed with the 
Securities and Exchange Commission (the ``Commission'') the proposed 
rule change as described in Items I, II and III below, which Items have 
been prepared by the self-regulatory organization. The Commission is 
publishing this notice to

[[Page 33532]]

solicit comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------

I. Self-Regulatory Organization's Statement of the Terms of Substance 
of the Proposed Rule Change

    Pursuant to the provisions of Section 19(b)(1) under the Securities 
Exchange Act of 1934 (``Act''),\4\ and Rule 19b-4 thereunder,\5\ 
Investors Exchange LLC (``IEX'' or ``Exchange'') is filing with the 
Commission a proposed rule change to amend IEX Rule 16.135(b)(1) to 
clarify that the description in a proposal under Section 19(b) of the 
Act to list a series of Managed Fund Shares constitutes continued 
listing standards for such series of Managed Fund Shares.
---------------------------------------------------------------------------

    \4\ 15 U.S.C. 78s(b)(1).
    \5\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------

    The text of the proposed rule change is available at the Exchange's 
Web site at www.iextrading.com, at the principal office of the 
Exchange, and at the Commission's Public Reference Room.

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

    In its filing with the Commission, the self-regulatory organization 
included statements concerning the purpose of and basis for the 
proposed rule change and discussed any comments it received on the 
proposed rule change. The text of these statement [sic] may be examined 
at the places specified in Item IV below. The self-regulatory 
organization 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
Overview
    The Exchange proposes to amend IEX Rule 16.135(b)(1) to clarify 
that the description in a proposal under Section 19(b) of the Act to 
list a series of Managed Fund Shares constitutes continued listing 
standards for such series of Managed Fund Shares. The proposed rule 
change is substantially identical to a recent Nasdaq Stock Market 
(``Nasdaq'') rule change.\6\
---------------------------------------------------------------------------

    \6\ See Securities Exchange Act Release No. 80810 (May 30, 
2017), 82 FR 26205 (June 6, 2017) (SR-NASDAQ-2017-052).
---------------------------------------------------------------------------

    Specifically, the Exchange proposes to amend the applicability 
section of IEX Rule 16.135(b)(1) to specify that any of the statements 
or representations regarding not just the description of the portfolio, 
but also of the reference assets, among other things, will constitute 
continued listing requirements for listing of shares. This revision 
will conform the language to current criteria in IEX Rule 
16.135(d)(2)(C)(iv) with respect to criteria for IEX to consider the 
suspension of trading and initiation of delisting proceedings of a 
series of Managed Fund Shares under the IEX Rule Series 14.500.\7\
---------------------------------------------------------------------------

    \7\ See Securities Exchange Act Release No. 80545 (April 27, 
2017), 82 FR 20648 (May 3, 2017) SR-IEX-2017-03).
---------------------------------------------------------------------------

    The Exchange does not currently list any Managed Fund Shares.
2. Statutory Basis
    IEX believes that the proposed rule change is consistent with 
Section 6(b) \8\ of the Act in general, and furthers the objectives of 
Section 6(b)(5) of the Act,\9\ in particular, in that it is designed to 
prevent fraudulent and manipulative acts and practices, 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.
---------------------------------------------------------------------------

    \8\ 15 U.S.C. 78f(b).
    \9\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Exchange believes that the proposed change to amend the 
applicability section of IEX Rule 16.135(b)(1) to specify that any of 
the statements or representations regarding not just the description of 
the portfolio, but also of the reference assets, among other things, 
will constitute continued listing requirements for listing of shares 
will provide clarity and accurately reflect the intent of the rule to 
the benefit of investors and the public interest.
    Accordingly, based on the foregoing, the Exchange believes that the 
proposed rule change is consistent with Section 6(b)(5) of the Act.

B. Self-Regulatory Organization's Statement on Burden on Competition

    IEX 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 believes that the 
proposed rule change may enhance competition since it addresses an 
inconsistency in the applicability of listing standards applicable to 
Managed Fund Shares.

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

    Written comments were neither solicited nor received.

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

    The Exchange has designated this rule filing as non-controversial 
under Section 19(b)(3)(A) \10\ of the Act and Rule 19b-4(f)(6) \11\ 
thereunder. Because the proposed rule change does not: (i) 
Significantly affect the protection of investors or the public 
interest; (ii) impose any significant burden on competition; and (iii) 
become operative for 30 days from the date on which it was filed, or 
such shorter time as the Commission may designate, it has become 
effective pursuant to Section 19(b)(3)(A) of the Act and Rule 19b-
4(f)(6) thereunder.
---------------------------------------------------------------------------

    \10\ 15 U.S.C. 78s(b)(3)(A).
    \11\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

    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) \12\ of the Act to determine whether the proposed 
rule change should be approved or disapproved.
---------------------------------------------------------------------------

    \12\ 15 U.S.C. 78s(b)(2)(B).
---------------------------------------------------------------------------

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-IEX-2017-23 on the subject line.

Paper Comments

     Send paper comments in triplicate to Brent J. Fields, 
Secretary, Securities and Exchange Commission, 100 F Street NE., 
Washington, DC 20549-1090.

All submissions should refer to File Number SR-IEX-2017-23. This file

[[Page 33533]]

number should be included in 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 Section, 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 will also be available 
for inspection and copying at the principal office of the Exchange and 
on its Internet Web site at www.iextrading.com. 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-IEX-2017-23 and should be submitted on 
or before August 10, 2017.

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\13\
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    \13\ 17 CFR 200.30-3(a)(12).
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Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2017-15194 Filed 7-19-17; 8:45 am]
 BILLING CODE 8011-01-P



                                                                                   Federal Register / Vol. 82, No. 138 / Thursday, July 20, 2017 / Notices                                                     33531

                                                    A. Self-Regulatory Organization’s                        III. Date of Effectiveness of the                         rules/sro.shtml). Copies of the
                                                    Statement of the Purpose of, and                         Proposed Rule Change and Timing for                       submission, all subsequent
                                                    Statutory Basis for, the Proposed Rule                   Commission Action                                         amendments, all written statements
                                                    Change                                                      Because the foregoing proposed rule                    with respect to the proposed rule
                                                                                                             change does not: (i) Significantly affect                 change that are filed with the
                                                    1. Purpose                                                                                                         Commission, and all written
                                                                                                             the protection of investors or the public
                                                       The Exchange proposes to correct a                    interest; (ii) impose any significant                     communications relating to the
                                                                                                             burden on competition; and (iii) become                   proposed rule change between the
                                                    lettering reference in the ISE Rulebook.
                                                                                                             operative for 30 days from the date on                    Commission and any person, other than
                                                    The Exchange recently added a new
                                                                                                             which it was filed, or such shorter time                  those that may be withheld from the
                                                    definition to Rule 715. The Exchange
                                                                                                             as the Commission may designate, it has                   public in accordance with the
                                                    filed to add a new definition of Opening
                                                                                                             become effective pursuant to Section                      provisions of 5 U.S.C. 552, will be
                                                    Sweep at Rule 715(t).3 The ISE                                                                                     available for Web site viewing and
                                                    Rulebook already has a definition at                     19(b)(3)(A)(iii) of the Act 6 and
                                                                                                                                                                       printing in the Commission’s Public
                                                    Rule 715(t) for QCC with Stock Orders.                   subparagraph (f)(6) of Rule 19b–4
                                                                                                                                                                       Reference Room, 100 F Street NE.,
                                                    In light of the QCC with Stock Orders                    thereunder.7
                                                                                                                At any time within 60 days of the                      Washington, DC 20549, on official
                                                    definition, the Exchange proposes re-                                                                              business days between the hours of
                                                    lettering the Opening Sweep definition                   filing of the proposed rule change, the
                                                                                                             Commission summarily may                                  10:00 a.m. and 3:00 p.m. Copies of the
                                                    as Rule 715(u). The Exchange proposes                                                                              filing also will be available for
                                                    to re-letter the Opening Sweep                           temporarily suspend such rule change if
                                                                                                             it appears to the Commission that such                    inspection and copying at the principal
                                                    definition to avoid confusion in the                                                                               office of the Exchange. All comments
                                                    Rulebook.                                                action is: (i) Necessary or appropriate in
                                                                                                                                                                       received will be posted without change;
                                                                                                             the public interest; (ii) for the protection
                                                    2. Statutory Basis                                                                                                 the Commission does not edit personal
                                                                                                             of investors; or (iii) otherwise in
                                                                                                                                                                       identifying information from
                                                                                                             furtherance of the purposes of the Act.
                                                       The Exchange believes that its                                                                                  submissions. You should submit only
                                                                                                             If the Commission takes such action, the
                                                    proposal is consistent with Section 6(b)                                                                           information that you wish to make
                                                                                                             Commission shall institute proceedings
                                                    of the Act,4 in general, and furthers the                                                                          available publicly. All submissions
                                                                                                             to determine whether the proposed rule
                                                    objectives of Section 6(b)(5) of the Act,5                                                                         should refer to File Number SR–ISE–
                                                                                                             should be approved or disapproved.
                                                    in particular, in that it is designed to                                                                           2017–67 and should be submitted on or
                                                    promote just and equitable principles of                 IV. Solicitation of Comments                              before August 10, 2017.
                                                    trade, to remove impediments to and                        Interested persons are invited to                          For the Commission, by the Division of
                                                    perfect the mechanism of a free and                      submit written data, views, and                           Trading and Markets, pursuant to delegated
                                                    open market and a national market                        arguments concerning the foregoing,                       authority.8
                                                    system, and, in general to protect                       including whether the proposed rule                       Jill M. Peterson,
                                                    investors and the public interest, by re-                change is consistent with the Act.                        Assistant Secretary.
                                                    lettering the Opening Sweep definition                   Comments may be submitted by any of                       [FR Doc. 2017–15193 Filed 7–19–17; 8:45 am]
                                                    to avoid confusion in the Rulebook and                   the following methods:                                    BILLING CODE 8011–01–P
                                                    will also permit market participants to                  Electronic Comments
                                                    reference the Opening Sweep definition.
                                                                                                               • Use the Commission’s Internet                         SECURITIES AND EXCHANGE
                                                    B. Self-Regulatory Organization’s                        comment form (http://www.sec.gov/                         COMMISSION
                                                    Statement on Burden on Competition                       rules/sro.shtml); or
                                                                                                                                                                       [Release No. 34–81149; File No. SR–IEX–
                                                                                                               • Send an email to rule-comments@                       2017–23]
                                                      The Exchange does not believe that                     sec.gov. Please include File Number SR–
                                                    the proposed rule change will impose                     ISE–2017–67 on the subject line.                          Self-Regulatory Organizations:
                                                    any burden on competition not
                                                                                                             Paper Comments                                            Investors Exchange LLC; Notice of
                                                    necessary or appropriate in furtherance
                                                                                                                                                                       Filing and Immediate Effectiveness of
                                                    of the purposes of the Act. The                            • Send paper comments in triplicate                     Proposed Rule Change To Make a
                                                    Exchange’s proposal to re-letter the                     to Secretary, Securities and Exchange                     Clarifying Amendment to IEX Rule
                                                    Opening Sweep definition will avoid                      Commission, 100 F Street NE.,                             16.135
                                                    confusion in the Rulebook.                               Washington, DC 20549–1090.
                                                                                                             All submissions should refer to File                      July 14, 2017.
                                                    C. Self-Regulatory Organization’s                                                                                     Pursuant to Section 19(b)(1) 1 of the
                                                    Statement on Comments on the                             Number SR–ISE–2017–67. This file
                                                                                                             number should be included on the                          Securities Exchange Act of 1934 (the
                                                    Proposed Rule Change Received From                                                                                 ‘‘Act’’) 2 and Rule 19b–4 thereunder,3
                                                    Members, Participants, or Others                         subject line if email is used. To help the
                                                                                                             Commission process and review your                        notice is hereby given that, on July 7,
                                                      No written comments were either                        comments more efficiently, please use                     2017, the Investors Exchange LLC filed
                                                    solicited or received.                                   only one method. The Commission will                      with the Securities and Exchange
                                                                                                             post all comments on the Commission’s                     Commission (the ‘‘Commission’’) the
                                                      3 See Securities Exchange Act Release No. 80225        Internet Web site (http://www.sec.gov/                    proposed rule change as described in
asabaliauskas on DSKBBXCHB2PROD with NOTICES




                                                    (March 13, 2017, 82 FR 14243 (March 17, 2017)                                                                      Items I, II and III below, which Items
                                                    (SR–ISE–2017–02) (Order Approving Proposed Rule               6 15
                                                                                                                     U.S.C. 78s(b)(3)(A)(iii).                         have been prepared by the self-
                                                    Change, as Modified by Amendment No. 1, To                    7 17
                                                                                                                     CFR 240.19b–4(f)(6). In addition, Rule 19b–       regulatory organization. The
                                                    Amend the Exchange Opening Process). The                 4(f)(6) requires a self-regulatory organization to give
                                                    Exchange defined an Opening Sweep as a Market
                                                                                                                                                                       Commission is publishing this notice to
                                                                                                             the Commission written notice of its intent to file
                                                    Maker order submitted for execution against eligible     the proposed rule change at least five business days        8 17 CFR 200.30–3(a)(12).
                                                    interest in the system during the Opening Process        prior to the date of filing of the proposed rule
                                                    pursuant to Rule 701(b)(1).                              change, or such shorter time as designated by the
                                                                                                                                                                         1 15 U.S.C. 78s(b)(1).
                                                      4 15 U.S.C. 78f(b).                                                                                                2 15 U.S.C. 78a.
                                                                                                             Commission. The Exchange has satisfied this
                                                      5 15 U.S.C. 78f(b)(5).                                 requirement.                                                3 17 CFR 240.19b–4.




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                                                    33532                          Federal Register / Vol. 82, No. 138 / Thursday, July 20, 2017 / Notices

                                                    solicit comments on the proposed rule                    portfolio, but also of the reference                  C. Self-Regulatory Organization’s
                                                    change from interested persons.                          assets, among other things, will                      Statement on Comments on the
                                                                                                             constitute continued listing                          Proposed Rule Change Received From
                                                    I. Self-Regulatory Organization’s
                                                                                                             requirements for listing of shares. This              Members, Participants, or Others
                                                    Statement of the Terms of Substance of
                                                                                                             revision will conform the language to                   Written comments were neither
                                                    the Proposed Rule Change
                                                                                                             current criteria in IEX Rule                          solicited nor received.
                                                       Pursuant to the provisions of Section                 16.135(d)(2)(C)(iv) with respect to
                                                    19(b)(1) under the Securities Exchange                   criteria for IEX to consider the                      III. Date of Effectiveness of the
                                                    Act of 1934 (‘‘Act’’),4 and Rule 19b–4                   suspension of trading and initiation of               Proposed Rule Change and Timing for
                                                    thereunder,5 Investors Exchange LLC                      delisting proceedings of a series of                  Commission Action
                                                    (‘‘IEX’’ or ‘‘Exchange’’) is filing with the             Managed Fund Shares under the IEX                        The Exchange has designated this rule
                                                    Commission a proposed rule change to                     Rule Series 14.500.7                                  filing as non-controversial under
                                                    amend IEX Rule 16.135(b)(1) to clarify                                                                         Section 19(b)(3)(A) 10 of the Act and
                                                                                                               The Exchange does not currently list
                                                    that the description in a proposal under                                                                       Rule 19b–4(f)(6) 11 thereunder. Because
                                                                                                             any Managed Fund Shares.
                                                    Section 19(b) of the Act to list a series                                                                      the proposed rule change does not: (i)
                                                    of Managed Fund Shares constitutes                       2. Statutory Basis                                    Significantly affect the protection of
                                                    continued listing standards for such                                                                           investors or the public interest; (ii)
                                                    series of Managed Fund Shares.                              IEX believes that the proposed rule
                                                                                                             change is consistent with Section 6(b) 8              impose any significant burden on
                                                       The text of the proposed rule change
                                                                                                             of the Act in general, and furthers the               competition; and (iii) become operative
                                                    is available at the Exchange’s Web site
                                                                                                             objectives of Section 6(b)(5) of the Act,9            for 30 days from the date on which it
                                                    at www.iextrading.com, at the principal
                                                                                                             in particular, in that it is designed to              was filed, or such shorter time as the
                                                    office of the Exchange, and at the
                                                                                                             prevent fraudulent and manipulative                   Commission may designate, it has
                                                    Commission’s Public Reference Room.
                                                                                                             acts and practices, to promote just and               become effective pursuant to Section
                                                    II. Self-Regulatory Organization’s                       equitable principles of trade, to foster              19(b)(3)(A) of the Act and Rule 19b–
                                                    Statement of the Purpose of, and the                     cooperation and coordination with                     4(f)(6) thereunder.
                                                    Statutory Basis for, the Proposed Rule                   persons engaged in facilitating                          At any time within 60 days of the
                                                    Change                                                   transactions in securities, to remove                 filing of the proposed rule change, the
                                                       In its filing with the Commission, the                impediments to and perfect the                        Commission summarily may
                                                    self-regulatory organization included                    mechanism of a free and open market                   temporarily suspend such rule change if
                                                    statements concerning the purpose of                     and a national market system and, in                  it appears to the Commission that such
                                                    and basis for the proposed rule change                   general, to protect investors and the                 action is necessary or appropriate in the
                                                    and discussed any comments it received                   public interest.                                      public interest, for the protection of
                                                    on the proposed rule change. The text                       The Exchange believes that the                     investors, or otherwise in furtherance of
                                                    of these statement [sic] may be                          proposed change to amend the                          the purposes of the Act. If the
                                                    examined at the places specified in Item                 applicability section of IEX Rule                     Commission takes such action, the
                                                    IV below. The self-regulatory                            16.135(b)(1) to specify that any of the               Commission shall institute proceedings
                                                    organization has prepared summaries,                     statements or representations regarding               under Section 19(b)(2)(B) 12 of the Act to
                                                    set forth in Sections A, B, and C below,                 not just the description of the portfolio,            determine whether the proposed rule
                                                    of the most significant aspects of such                  but also of the reference assets, among               change should be approved or
                                                    statements.                                              other things, will constitute continued               disapproved.
                                                    A. Self-Regulatory Organization’s                        listing requirements for listing of shares            IV. Solicitation of Comments
                                                    Statement of the Purpose of, and the                     will provide clarity and accurately                     Interested persons are invited to
                                                    Statutory Basis for, the Proposed Rule                   reflect the intent of the rule to the                 submit written data, views and
                                                    Change                                                   benefit of investors and the public                   arguments concerning the foregoing,
                                                                                                             interest.                                             including whether the proposed rule
                                                    1. Purpose                                                  Accordingly, based on the foregoing,               change is consistent with the Act.
                                                    Overview                                                 the Exchange believes that the proposed               Comments may be submitted by any of
                                                      The Exchange proposes to amend IEX                     rule change is consistent with Section                the following methods:
                                                    Rule 16.135(b)(1) to clarify that the                    6(b)(5) of the Act.
                                                                                                                                                                   Electronic Comments
                                                    description in a proposal under Section                  B. Self-Regulatory Organization’s
                                                    19(b) of the Act to list a series of                                                                             • Use the Commission’s Internet
                                                                                                             Statement on Burden on Competition
                                                    Managed Fund Shares constitutes                                                                                comment form (http://www.sec.gov/
                                                    continued listing standards for such                       IEX does not believe that the                       rules/sro.shtml); or
                                                    series of Managed Fund Shares. The                       proposed rule change will result in any                 • Send an email to rule-comments@
                                                    proposed rule change is substantially                    burden on competition that is not                     sec.gov. Please include File Number SR–
                                                    identical to a recent Nasdaq Stock                       necessary or appropriate in furtherance               IEX–2017–23 on the subject line.
                                                    Market (‘‘Nasdaq’’) rule change.6                        of the purposes of the Act. The                       Paper Comments
                                                      Specifically, the Exchange proposes to                 Exchange believes that the proposed
                                                                                                             rule change may enhance competition                     • Send paper comments in triplicate
                                                    amend the applicability section of IEX
asabaliauskas on DSKBBXCHB2PROD with NOTICES




                                                                                                             since it addresses an inconsistency in                to Brent J. Fields, Secretary, Securities
                                                    Rule 16.135(b)(1) to specify that any of
                                                                                                             the applicability of listing standards                and Exchange Commission, 100 F Street
                                                    the statements or representations
                                                                                                             applicable to Managed Fund Shares.                    NE., Washington, DC 20549–1090.
                                                    regarding not just the description of the
                                                                                                                                                                   All submissions should refer to File
                                                      4 15 U.S.C. 78s(b)(1).                                   7 See Securities Exchange Act Release No. 80545     Number SR–IEX–2017–23. This file
                                                      5 17 CFR 240.19b–4.                                    (April 27, 2017), 82 FR 20648 (May 3, 2017) SR–
                                                      6 See Securities Exchange Act Release No. 80810        IEX–2017–03).                                           10 15 U.S.C. 78s(b)(3)(A).
                                                                                                               8 15 U.S.C. 78f(b).                                   11 17 CFR 240.19b–4(f)(6).
                                                    (May 30, 2017), 82 FR 26205 (June 6, 2017) (SR–
                                                    NASDAQ–2017–052).                                          9 15 U.S.C. 78f(b)(5).                                12 15 U.S.C. 78s(b)(2)(B).




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                                                                                     Federal Register / Vol. 82, No. 138 / Thursday, July 20, 2017 / Notices                                                      33533

                                                    number should be included in the                           SECURITIES AND EXCHANGE                the same purpose, and each of NYSE
                                                    subject line if email is used. To help the                 COMMISSION                             Arca and NYSE MKT filed an additional
                                                    Commission process and review your                                                                proposed rule change for the same
                                                                                                               [Release No. 34–81145; File Nos. SR–
                                                                                                               BatsBZX–2017–37; SR–BatsEDGX–2017–23; purpose. On May 26, 2017, the
                                                                                                                                                                                           4
                                                    comments more efficiently, please use
                                                    only one method. The Commission will                       SR–BOX–2017–17; SR–C2–2017–018; SR–    NASDAQ        Stock  Market      LLC
                                                    post all comments on the Commission’s                      CBOE–2017–041; SR–FINRA–2017–013;      (‘‘NASDAQ’’) and NASDAQ PHLX LLC
                                                    Internet Web site (http://www.sec.gov/                     SR–ISE–2017–46; SR–IEX–2017–18; SR–    (‘‘Phlx’’) filed with the Commission
                                                    rules/sro.shtml). Copies of the                            MIAX–2017–20; SR–PEARL–2017–23; SR–    proposed rule changes for the same
                                                                                                               NASDAQ–2017–055; SR–BX–2017–027; SR– purpose. On May 30, 2017,5 NASDAQ
                                                    submission, all subsequent                                 PHLX–2017–43; SR–NYSE–2017–23; SR–
                                                    amendments, all written statements                                                                BX, Inc. (‘‘BX’’) filed with the
                                                                                                               NYSEArca–2017–57; SR–NYSEArca–2017–
                                                    with respect to the proposed rule                          59; SR–NYSEMKT–2017–29; SR–NYSEMKT– Commission a proposed rule change for
                                                    change that are filed with the                             2017–30]                               the same purpose. On June 1, 2017, the
                                                    Commission, and all written                                                                       proposed rule changes submitted by
                                                    communications relating to the                             Self-Regulatory Organizations; Bats    Bats BZX, Bats EDGX, BOX, C2, CBOE,
                                                                                                               BZX Exchange, Inc.; Bats EDGX          FINRA, IEX, ISE, MIAX, and PEARL;
                                                    proposed rule change between the
                                                                                                               Exchange, Inc.; BOX Options            both proposed rule changes submitted
                                                    Commission and any person, other than
                                                                                                               Exchange LLC; C2 Options Exchange,     by NYSE MKT; and one of the proposed
                                                    those that may be withheld from the                        Incorporated; Chicago Board Options    rule changes submitted by NYSE Arca
                                                    public in accordance with the                              Exchange, Incorporated; Financial      were published for comment in the
                                                    provisions of 5 U.S.C. 552, will be                        Industry Regulatory Authority, Inc.;   Federal Register.6 On June 2, 2017, the
                                                    available for Web site viewing and                         International Securities Exchange,     proposed rule change submitted by
                                                    printing in the Commission’s Public                        LLC; Investors Exchange LLC; Miami     NYSE and the other proposed rule
                                                    Reference Section, 100 F Street NE.,                       International Securities Exchange LLC; change submitted by NYSE Arca were
                                                    Washington, DC 20549, on official                          MIAX PEARL, LLC; The NASDAQ Stock published for comment in the Federal
                                                    business days between the hours of                         Market LLC; NASDAQ BX, Inc.;           Register.7 On June 5, 2017, the proposed
                                                    10:00 a.m. and 3:00 p.m. Copies of the                     NASDAQ PHLX, Inc.; New York Stock      rule changes submitted by NASDAQ,
                                                    filing will also be available for                          Exchange LLC; NYSE Arca, Inc.; NYSE BX, and Phlx were published for
                                                    inspection and copying at the principal                    MKT LLC; Notice of Designation of      comment in the Federal Register.8 Four
                                                    office of the Exchange and on its                          Longer Period for Commission Action
                                                    Internet Web site at                                       on Proposed Rule Changes To               4 Nasdaq and Phlx initially filed proposed rule

                                                    www.iextrading.com. All comments                           Eliminate Requirements That Will Be    changes on May 15, 2017 (SR–NASDAQ–2017–050
                                                                                                               Duplicative of CAT                     and SR–PHLX–2017–38). On May 26, 2017, Nasdaq
                                                    received will be posted without change;                                                                             and Phlx withdrew these filings and submitted new
                                                    the Commission does not edit personal                      July 14, 2017.                                           proposed rule changes (SR–NASDAQ–2017–055
                                                    identifying information from                                  On May 15, 2017, Bats BZX Exchange,                   and SR–PHLX–2017–43) that remain pending
                                                    submissions. You should submit only                                                                                 before the Commission.
                                                                                                               Inc. (‘‘Bats BZX’’); Bats EDGX Exchange,                   5 BX initially filed a proposed rule change on May
                                                    information that you wish to make                          Inc. (‘‘Bats EDGX’’); BOX Options                        15, 2017 (SR–BX–2017–025). On May 30, 2017, BX
                                                    available publicly. All submissions                        Exchange LLC (‘‘BOX’’); C2 Options                       withdrew that initial filing and submitted a new
                                                    should refer to File Number SR–IEX–                        Exchange, Incorporated (‘‘C2’’); Chicago                 proposed rule change (SR–BX–2017–027) that
                                                                                                                                                                        remains pending before the Commission.
                                                    2017–23 and should be submitted on or                      Board Options Exchange, Incorporated                       6 See Securities Exchange Act Release No. 80796
                                                    before August 10, 2017.                                    (‘‘CBOE’’); Financial Industry                           (May 26, 2017), 82 FR 25374 (SR–BatsBZX–2017–
                                                       For the Commission, by the Division of
                                                                                                               Regulatory Authority, Inc. (‘‘FINRA’’);                  37); Securities Exchange Act Release No. 80795
                                                    Trading and Markets, pursuant to delegated
                                                                                                               International Securities Exchange, LLC                   (May 26, 2017), 82 FR 25358 (SR–BatsEDGX–2017–
                                                                                                               (‘‘ISE’’); Investors Exchange LLC                        23); Securities Exchange Act Release No. 80789
                                                    authority.13                                                                                                        (May 26, 2017), 82 FR 25492 (SR–BOX–2017–17);
                                                                                                               (‘‘IEX’’); Miami International Securities                Securities Exchange Act Release No. 80798 (May
                                                    Jill M. Peterson,
                                                                                                               Exchange LLC (‘‘MIAX’’); MIAX PEARL,                     26, 2017), 82 FR 25385 (SR–C2–2017–018);
                                                    Assistant Secretary.                                       LLC (‘‘PEARL’’); NYSE Arca, Inc.                         Securities Exchange Act Release No. 80797 (May
                                                    [FR Doc. 2017–15194 Filed 7–19–17; 8:45 am]                (‘‘NYSE Arca’’); and NYSE MKT LLC                        26, 2017), 82 FR 25429 (SR–CBOE–2017–041);
                                                                                                                                                                        Securities Exchange Act Release No. 80783 (May
                                                    BILLING CODE 8011–01–P                                     (‘‘NYSE MKT’’) filed with the Securities                 26, 2017), 82 FR 25423 (SR–FINRA–2017–013);
                                                                                                               and Exchange Commission                                  Securities Exchange Act Release No. 80788 (May
                                                                                                               (‘‘Commission’’), pursuant to Section                    26, 2017), 82 FR 25400 (SR–IEX–2017–18);
                                                                                                               19(b)(1) of the Securities Exchange Act                  Securities Exchange Act Release No. 80787 (May
                                                                                                                                                                        26, 2017), 82 FR 25469 (SR–ISE–2017–46);
                                                                                                               of 1934 (‘‘Act’’) 1 and Rule 19b–4                       Securities Exchange Act Release No. 80790 (May
                                                                                                               thereunder,2 proposed rule changes to                    26, 2017), 82 FR 25366 (SR–MIAX–2017–20);
                                                                                                               eliminate or modify certain rules that                   Securities Exchange Act Release No. 80792 (May
                                                                                                               require the collection or reporting of                   26, 2017), 82 FR 25436 (SR–PEARL–2017–23);
                                                                                                                                                                        Securities Exchange Act Release No. 80791 (May
                                                                                                               information that is duplicative of the                   26, 2017), 82 FR 25362 (SR–NYSEArca–2017–59);
                                                                                                               information that will be collected by the                Securities Exchange Act Release No. 80793 (May
                                                                                                               Consolidated Audit Trail (‘‘CAT’’)                       26, 2017), 82 FR 25443 (SR–NYSEMKT–2017–29);
                                                                                                               established pursuant to the National                     Securities Exchange Act Release No. 80794 (May
                                                                                                                                                                        26, 2017), 82 FR 25439 (SR–NYSEMKT–2017–30).
asabaliauskas on DSKBBXCHB2PROD with NOTICES




                                                                                                               Market System Plan contemplated by                         7 See Securities Exchange Act Release No. 80799
                                                                                                               Rule 613 of Regulation NMS.3 On May                      (May 26, 2017), 82 FR 25635 (SR–NYSE–2017–23);
                                                                                                               22, 2017, the New York Stock Exchange                    Securities Exchange Act Release No. 80800 (May
                                                                                                               LLC (‘‘NYSE’’) filed with the                            26, 2017), 82 FR 25639 (SR–NYSEArca–2017–57).
                                                                                                                                                                          8 See Securities Exchange Act Release No. 80813
                                                                                                               Commission a proposed rule change for
                                                                                                                                                                        (May 30, 2017), 82 FR 25863 (SR–NASDAQ–2017–
                                                                                                                                                                        055); Securities Exchange Act Release No. 80814
                                                                                                                    1 15 U.S.C. 78s(b)(1).                              (May 30, 2017), 82 FR 25872 (SR–BX–2017–027);
                                                                                                                    2 17 CFR 240.19b–4.                                 Securities Exchange Act Release No. 80811 (May
                                                      13 17   CFR 200.30–3(a)(12).                                  3 17 CFR 242.613.                                   30, 2017), 82 FR 25863 (SR–PHLX–2017–43).



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Document Created: 2017-07-20 06:58:01
Document Modified: 2017-07-20 06:58:01
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 33531 

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