82 FR 34560 - Sunshine Act Meeting
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 82, Issue 141 (July 25, 2017)
Federal Register Volume 82, Issue 141 (July 25, 2017)
| Page Range | 34560-34560 | |
| FR Document | 2017-15627 |
[Federal Register Volume 82, Number 141 (Tuesday, July 25, 2017)] [Notices] [Page 34560] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2017-15627] [[Page 34560]] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94-409, that the Securities and Exchange Commission's Office of Compliance Inspections and Examinations (``OCIE'') will host a public conference, characterized as a ``Compliance Outreach Program for Broker-Dealers,'' on Thursday, July 27, 2017, in the Auditorium, Room L-002 at the Commission's headquarters, 100 F Street NE., Washington, DC 20549. The conference will begin at 10:30 a.m. (ET). Seating will be on a first-come, first- served basis. Doors will open at 9:00 a.m. Visitors will be subject to security checks. The conference will be webcast on the Commission's Web site at www.sec.gov. On May 3, 2017, the Commission issued notice of the conference indicating that the conference is open to the public. This Sunshine Act notice is being issued because a quorum of the Commission may attend. The agenda for the conference includes: Opening remarks by Chairman Jay Clayton; a panel discussion with insights from Michael Piwowar, Commissioner, Securities and Exchange Commission, Robert Cook, President and CEO of FINRA (Financial Industry Regulatory Authority), and moderated by Peter Driscoll, Acting Director, OCIE; a panel discussion addressing certain broker-dealer hot topics, including anti- money laundering, conflicts of interest, recidivist and high risk brokers and dual registrants. Other panels include a discussion of issues relating to senior investors and those investing for retirement and a discussion addressing current cybersecurity threats impacting broker-dealers and the securities markets, including mitigation approaches. For further information, please contact Brent J. Fields from the Office of the Secretary at (202) 551-5400. Dated: July 20, 2017. Brent J. Fields, Secretary. [FR Doc. 2017-15627 Filed 7-21-17; 11:15 am] BILLING CODE 8011-01-P
![34560 Federal Register / Vol. 82, No. 141 / Tuesday, July 25, 2017 / Notices
SECURITIES AND EXCHANGE SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s
COMMISSION COMMISSION Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Sunshine Act Meeting [Release No. 34–81170; File No. SR–CBOE– Change
2017–055] 1. Purpose
Notice is hereby given, pursuant to
the provisions of the Government in the The Exchange proposes to make a
Self-Regulatory Organizations;
Sunshine Act, Public Law 94–409, that number of changes to its Fees
Chicago Board Options Exchange,
the Securities and Exchange Schedule.3
Incorporated; Notice of Filing and
Commission’s Office of Compliance Immediate Effectiveness of a Proposed VIX License Index Surcharge Waiver
Inspections and Examinations (‘‘OCIE’’) Rule Change Relating to Updates for The Exchange proposes to extend the
will host a public conference, the CBOE Fees Schedule current waiver of the VIX Index License
characterized as a ‘‘Compliance Surcharge of $0.10 per contract for
Outreach Program for Broker-Dealers,’’ July 19, 2017. Clearing Trading Permit Holder
on Thursday, July 27, 2017, in the Pursuant to Section 19(b)(1) of the Proprietary (‘‘Firm’’) (origin codes ‘‘F’’
Auditorium, Room L–002 at the Securities Exchange Act of 1934 (the or ‘‘L’’) VIX orders that have a premium
Commission’s headquarters, 100 F ‘‘Act’’),1 and Rule 19b–4 thereunder,2 of $0.10 or lower and have series with
Street NE., Washington, DC 20549. The notice is hereby given that on July 11, an expiration of seven (7) calendar days
conference will begin at 10:30 a.m. (ET). 2017, Chicago Board Options Exchange, or less. The Exchange adopted the
Seating will be on a first-come, first- Incorporated (‘‘Exchange’’ or ‘‘CBOE’’) current waiver to reduce transaction
served basis. Doors will open at 9:00 filed with the Securities and Exchange costs on expiring, low-priced VIX
a.m. Visitors will be subject to security Commission (the ‘‘Commission’’) the options, which the Exchange believed
checks. The conference will be webcast proposed rule change as described in would encourage Firms to seek to close
on the Commission’s Web site at and/or roll over such positions close to
Items I, II, and III below, which Items
www.sec.gov. expiration at low premium levels,
have been prepared by the Exchange.
including facilitating customers to do
On May 3, 2017, the Commission The Commission is publishing this so, in order to free up capital and
issued notice of the conference notice to solicit comments on the encourage additional trading. The
indicating that the conference is open to proposed rule change from interested Exchange had proposed to waive the
the public. This Sunshine Act notice is persons. surcharge through June 30, 2017. The
being issued because a quorum of the Exchange proposes to extend the waiver
I. Self-Regulatory Organization’s
Commission may attend. of the surcharge through December 31,
Statement of the Terms of the Substance
The agenda for the conference of the Proposed Rule Change 2017, at which time the Exchange will
includes: Opening remarks by Chairman reevaluate whether the waiver has
Jay Clayton; a panel discussion with The Exchange proposes to make a continued to prompt Firms to close and
insights from Michael Piwowar, number of changes to its Fees Schedule, roll over positions close to expiration at
Commissioner, Securities and Exchange effective immediately. low premium levels.
Commission, Robert Cook, President The text of the proposed rule change Extended Trading Hour Fees Waiver
and CEO of FINRA (Financial Industry is also available on the Exchange’s Web In order to promote and encourage
Regulatory Authority), and moderated site (http://www.cboe.com/AboutCBOE/ trading during the Extended Trading
by Peter Driscoll, Acting Director, OCIE; CBOELegalRegulatoryHome.aspx), at Hours (‘‘ETH’’) session, the Exchange
a panel discussion addressing certain the Exchange’s Office of the Secretary, currently waives ETH Trading Permit
broker-dealer hot topics, including anti- and at the Commission’s Public and Bandwidth Packet fees for one (1)
money laundering, conflicts of interest, Reference Room. of each initial Trading Permits and one
recidivist and high risk brokers and dual (1) of each initial Bandwidth Packet, per
registrants. II. Self-Regulatory Organization’s affiliated TPH. The Exchange notes that
Statement of the Purpose of, and waiver is set to expire June 30, 2017.
Other panels include a discussion of Statutory Basis for, the Proposed Rule
issues relating to senior investors and The Exchange also waives fees through
Change June 30, 2017 for a CMI and FIX login
those investing for retirement and a
ID if the CMI and/or FIX login ID is
discussion addressing current In its filing with the Commission, the
related to a waived ETH Trading Permit
cybersecurity threats impacting broker- Exchange included statements
and/or waived Bandwidth packet. In
dealers and the securities markets, concerning the purpose of and basis for order to continue to promote trading
including mitigation approaches. the proposed rule change and discussed during ETH, the Exchange wishes to
For further information, please any comments it received on the extend these waivers through December
contact Brent J. Fields from the Office of proposed rule change. The text of these 31, 2017.
the Secretary at (202) 551–5400. statements may be examined at the
places specified in Item IV below. The RLG, RLV, RUI, AWDE, FTEM, FXTM
Dated: July 20, 2017. and UKXM Transaction Fees Waiver
Exchange has prepared summaries, set
Brent J. Fields, forth in sections A, B, and C below, of The Exchange was recently
mstockstill on DSK30JT082PROD with NOTICES
Secretary. the most significant aspects of such authorized to list options on seven FTSE
[FR Doc. 2017–15627 Filed 7–21–17; 11:15 am] statements. Russell Indexes (i.e., Russell 1000
BILLING CODE 8011–01–P Growth Index (‘‘RLG’’), Russell 1000
3 The Exchange initially filed the proposed fee
change on June 29, 2017 (SR–CBOE–2017–053). On
1 15 U.S.C. 78s(b)(1). July 11, 2017, the Exchange withdrew that filing
2 17 CFR 240.19b–4. and submitted this filing.
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Document Created: 2018-10-24 11:21:00
Document Modified: 2018-10-24 11:21:00
| 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 34560 |
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