82 FR 37625 - Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection With the September 5, 2017 Compliance Date for the Shortening of the Standard Settlement Cycle From Three Business Days After the Trade Date to Two Business Days After the Trade Date

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 154 (August 11, 2017)

Page Range		37625-37626
FR Document		2017-16928
Federal Register, Volume 82 Issue 154 (Friday, August 11, 2017)
[Federal Register Volume 82, Number 154 (Friday, August 11, 2017)]
[Notices]
[Pages 37625-37626]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-16928]


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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-81325; File No. SR-NYSEARCA-2017-82]


Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing 
and Immediate Effectiveness of Proposed Rule Change in Connection With 
the September 5, 2017 Compliance Date for the Shortening of the 
Standard Settlement Cycle From Three Business Days After the Trade Date 
to Two Business Days After the Trade Date

August 7, 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 26, 2017, NYSE Arca, Inc. (the ``Exchange'' or 
``NYSE Arca'') filed with the Securities and Exchange Commission (the 
``Commission'') the proposed rule change as described in Items I and II 
below, which Items have been prepared by the self-regulatory 
organization. The Commission is publishing this notice to 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

    The Exchange proposes in connection with the September 5, 2017, 
compliance date for the shortening of the standard settlement cycle 
from three business days after the trade date (``T+3'') to two business 
days after the trade date (``T+2''), to (1) delete NYSE Arca Equities 
Rule 7.4 (Ex-Dividend or Ex-Right Dates); (2) delete the preamble and 
``T'' modifier from NYSE Arca Equities Rule 7.4T (``Rule 7.4T''); and 
(3) establish the operative date of Rule 7.4T. The proposed rule change 
is available on the Exchange's Web site at www.nyse.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 
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 those statements may be examined at 
the places specified in Item IV below. The Exchange has prepared 
summaries, set forth in sections A, B, and C below, of the most 
significant parts of such statements.

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

1. Purpose
    In connection with the September 5, 2017, compliance date for 
shortening of the standard settlement cycle from T+3 to T+2, the 
Exchange proposes to (1) delete NYSE Arca Equities Rule 7.4 (``Rule 
7.4''); (2) delete the preamble and ``T'' modifier from Rule 7.4T; and 
(3) establish the operative date of Rule 7.4T as September 5, 2017.
Background
    On September 28, 2016, the Securities and Exchange Commission 
(``SEC'') proposed amendments to Rule 15c6-1(a) to shorten the standard 
settlement cycle from T+3 to T+2.\4\ Following this action by the SEC, 
the Exchange adopted a new Rule 7.4 with the modifier ``T'' to reflect 
a T+2 settlement cycle.\5\ Because the Exchange would not implement 
Rule 7.4T until after the final implementation of T+2, the Exchange 
retained the version of Rule 7.4 reflecting T+3 settlement on its 
books. In order to reduce the potential for confusion regarding which 
version of the rule governs, the Exchange added explanatory preambles 
to Rule 7.4 and Rule 7.4T.
---------------------------------------------------------------------------

    \4\ See Securities Exchange Act Release No. 78962 (September 28, 
2016), 81 FR 69240 (October 5, 2016) (File No. S7-22-16).
    \5\ See Securities Exchange Act Release No. 79732 (January 4, 
2017), 82 FR 3042 (January 10, 2017) (SR-NYSEArca-2016-145).
---------------------------------------------------------------------------

    In particular, the following preamble was added to Rule 7.4:

    This version of Rule 7.4 will remain operative until the 
Exchange files separate proposed rule changes as necessary to 
establish the operative date of ``Rule 7.4T. Ex-Dividend or Ex-Right 
Dates,'' to delete this version of Rule 7.4 and preamble, and to 
remove the preamble text from the version of Rule 7.4T. In addition 
to filing the necessary proposed rule changes, the Exchange will 
announce via Information Memo the operative date of the deletion of 
this Rule and implementation of ``Rule 7.4T. Ex-Dividend or Ex-Right 
Dates.''

    The following preamble was added to Rule 7.4T:

    The Exchange will file separate proposed rule changes to 
establish the operative date of Rule 7.4T, to delete ``Rule 7.4. Ex-
Dividend or Ex-Right Dates'' and the preamble text from Rule 7.4, 
and to remove the preamble text from the version of Rule 7.4T. Until 
such time, ``Rule 7.4. Ex-Dividend or Ex-Right Dates'' will remain 
operative. In addition to filing the necessary proposed rule 
changes, the Exchange will announce via Information Memo the 
implementation of this Rule and the operative date of the deletion 
of ``Rule 7.4. Ex-Dividend or Ex-Right Dates.''

    On March 22, 2017, the SEC adopted the proposed amendment to Rule 
15c6-1(a) under the Act \6\ with a compliance date of September 5, 
2017.\7\
---------------------------------------------------------------------------

    \6\ See 17 CFR 240.15c6-1(a).
    \7\ See Securities Exchange Act Release No. 80295 (March 22, 
2017), 82 FR 15564 (March 29, 2017) (File No. S7-22-16).
---------------------------------------------------------------------------

Proposed Rule Change
    In order to comply with the September 5, 2017, transition to T+2 
settlement, the Exchange proposes to:
     Delete Rule 7.4, including the preamble, in its entirety;
     delete the preamble to Rule 7.4T; and
     delete the ``T'' modifier in Rule 7.4T, which 
distinguished it from Rule 7.4.
    The Exchange proposes that the changes described herein would take 
effect on September 5, 2017, to coincide with the transition to T+2. 
The Exchange will announce via Information Memo the implementation of 
Rule 7.4T and the operative date of the deletion of Rule 7.4.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent 
with Section 6(b) of the Act,\8\ in general, and further the objectives 
of Section 6(b)(5) of the Act,\9\ in particular, because it is designed 
to prevent fraudulent and manipulative acts and practices, promote just 
and equitable principles of trade, 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).
---------------------------------------------------------------------------

    In particular, the Exchange believes that the proposed changes 
remove impediments to and perfect the mechanism of a free and open 
market by

[[Page 37626]]

adding clarity as to which rules are operative and when, thereby 
reducing potential confusion, and making the Exchange's rules easier to 
navigate. The Exchange also believes that eliminating obsolete material 
from its rulebook also removes impediments to and perfects the 
mechanism of a free and open market by removing confusion that may 
result from having obsolete material in the Exchange's rulebook. The 
Exchange believes that eliminating such obsolete material would not be 
inconsistent with the public interest and the protection of investors 
because investors will not be harmed and in fact would benefit from 
increased transparency, thereby reducing potential confusion.

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

    The Exchange does not believe that the proposed rule change would 
impose any burden on competition that is not necessary or appropriate 
in furtherance of the purposes of the Act. The proposed change is not 
designed to address any competitive issue but rather facilitate the 
industry's transition to a T+2 regular-way settlement cycle. The 
Exchange also believes that the proposed rule change will serve to 
promote clarity and consistency, thereby reducing burdens on the 
marketplace and facilitating investor protection.

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

    No written comments were solicited or received with respect to the 
proposed rule change.

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

    Because the foregoing 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 \10\ and Rule 19b-
4(f)(6) thereunder.\11\
---------------------------------------------------------------------------

    \10\ 15 U.S.C. 78s(b)(3)(A).
    \11\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii) 
requires the Exchange to give the Commission 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 of the proposed rule 
change, or such shorter time as designated by the Commission. The 
Exchange has satisfied this requirement.
---------------------------------------------------------------------------

    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 to 
determine whether the proposed rule change 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-NYSEARCA-2017-82 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-NYSEARCA-2017-82. 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-NYSEARCA-2017-82 and should 
be submitted on or before September 1, 2017.

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\12\
---------------------------------------------------------------------------

    \12\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-16928 Filed 8-10-17; 8:45 am]
BILLING CODE 8011-01-P
Federal Register / Vol. 82, No. 154 / Friday, August 11, 2017 / Notices 37625

submitted on or before September 1, II. Self-Regulatory Organization’s announce via Information Memo the
2017. Statement of the Purpose of, and operative date of the deletion of this Rule and
Statutory Basis for, the Proposed Rule implementation of ‘‘Rule 7.4T. Ex-Dividend
For the Commission, by the Division of or Ex-Right Dates.’’
Trading and Markets, pursuant to delegated Change
authority.30 In its filing with the Commission, the The following preamble was added to
Eduardo A. Aleman, self-regulatory organization included Rule 7.4T:
Assistant Secretary. statements concerning the purpose of, The Exchange will file separate proposed
[FR Doc. 2017–16927 Filed 8–10–17; 8:45 am] and basis for, the proposed rule change rule changes to establish the operative date
and discussed any comments it received of Rule 7.4T, to delete ‘‘Rule 7.4. Ex-
BILLING CODE 8011–01–P
Dividend or Ex-Right Dates’’ and the
on the proposed rule change. The text
preamble text from Rule 7.4, and to remove
of those statements may be examined at the preamble text from the version of Rule
SECURITIES AND EXCHANGE the places specified in Item IV below. 7.4T. Until such time, ‘‘Rule 7.4. Ex-Dividend
COMMISSION The Exchange has prepared summaries, or Ex-Right Dates’’ will remain operative. In
set forth in sections A, B, and C below, addition to filing the necessary proposed rule
[Release No. 34–81325; File No. SR– of the most significant parts of such changes, the Exchange will announce via
NYSEARCA–2017–82] statements. Information Memo the implementation of
this Rule and the operative date of the
Self-Regulatory Organizations; NYSE A. Self-Regulatory Organization’s deletion of ‘‘Rule 7.4. Ex-Dividend or Ex-
Arca, Inc.; Notice of Filing and Statement of the Purpose of, and the Right Dates.’’
Immediate Effectiveness of Proposed Statutory Basis for, the Proposed Rule On March 22, 2017, the SEC adopted
Rule Change in Connection With the Change the proposed amendment to Rule 15c6–
September 5, 2017 Compliance Date 1. Purpose 1(a) under the Act 6 with a compliance
for the Shortening of the Standard date of September 5, 2017.7
In connection with the September 5,
Settlement Cycle From Three Business
2017, compliance date for shortening of Proposed Rule Change
Days After the Trade Date to Two
the standard settlement cycle from T+3 In order to comply with the
Business Days After the Trade Date
to T+2, the Exchange proposes to (1) September 5, 2017, transition to T+2
August 7, 2017. delete NYSE Arca Equities Rule 7.4 settlement, the Exchange proposes to:
Pursuant to Section 19(b)(1) 1 of the (‘‘Rule 7.4’’); (2) delete the preamble and • Delete Rule 7.4, including the
Securities Exchange Act of 1934 (the ‘‘T’’ modifier from Rule 7.4T; and (3) preamble, in its entirety;
‘‘Act’’) 2 and Rule 19b–4 thereunder,3 establish the operative date of Rule 7.4T • delete the preamble to Rule 7.4T;
notice is hereby given that, on July 26, as September 5, 2017. and
2017, NYSE Arca, Inc. (the ‘‘Exchange’’ Background • delete the ‘‘T’’ modifier in Rule
or ‘‘NYSE Arca’’) filed with the 7.4T, which distinguished it from Rule
On September 28, 2016, the Securities 7.4.
Securities and Exchange Commission
and Exchange Commission (‘‘SEC’’) The Exchange proposes that the
(the ‘‘Commission’’) the proposed rule
proposed amendments to Rule 15c6– changes described herein would take
change as described in Items I and II
1(a) to shorten the standard settlement effect on September 5, 2017, to coincide
below, which Items have been prepared
cycle from T+3 to T+2.4 Following this with the transition to T+2. The
by the self-regulatory organization. The
action by the SEC, the Exchange Exchange will announce via Information
Commission is publishing this notice to
adopted a new Rule 7.4 with the Memo the implementation of Rule 7.4T
solicit comments on the proposed rule
modifier ‘‘T’’ to reflect a T+2 settlement and the operative date of the deletion of
change from interested persons.
cycle.5 Because the Exchange would not Rule 7.4.
I. Self-Regulatory Organization’s implement Rule 7.4T until after the final
Statement of the Terms of Substance of implementation of T+2, the Exchange 2. Statutory Basis
the Proposed Rule Change retained the version of Rule 7.4 The Exchange believes that the
reflecting T+3 settlement on its books. proposed rule change is consistent with
The Exchange proposes in connection In order to reduce the potential for
with the September 5, 2017, compliance Section 6(b) of the Act,8 in general, and
confusion regarding which version of further the objectives of Section 6(b)(5)
date for the shortening of the standard the rule governs, the Exchange added
settlement cycle from three business of the Act,9 in particular, because it is
explanatory preambles to Rule 7.4 and designed to prevent fraudulent and
days after the trade date (‘‘T+3’’) to two Rule 7.4T.
business days after the trade date manipulative acts and practices,
In particular, the following preamble promote just and equitable principles of
(‘‘T+2’’), to (1) delete NYSE Arca was added to Rule 7.4:
Equities Rule 7.4 (Ex-Dividend or Ex- trade, remove impediments to and
Right Dates); (2) delete the preamble and This version of Rule 7.4 will remain perfect the mechanism of a free and
‘‘T’’ modifier from NYSE Arca Equities
operative until the Exchange files separate open market and a national market
proposed rule changes as necessary to system, and, in general, to protect
Rule 7.4T (‘‘Rule 7.4T’’); and (3) establish the operative date of ‘‘Rule 7.4T.
establish the operative date of Rule investors and the public interest.
Ex-Dividend or Ex-Right Dates,’’ to delete In particular, the Exchange believes
7.4T. The proposed rule change is this version of Rule 7.4 and preamble, and to
that the proposed changes remove
asabaliauskas on DSKBBXCHB2PROD with NOTICES

available on the Exchange’s Web site at remove the preamble text from the version of
www.nyse.com, at the principal office of Rule 7.4T. In addition to filing the necessary impediments to and perfect the
the Exchange, and at the Commission’s proposed rule changes, the Exchange will mechanism of a free and open market by
Public Reference Room. 6 See
4 See Securities Exchange Act Release No. 78962 17 CFR 240.15c6–1(a).
7 See Securities Exchange Act Release No. 80295
(September 28, 2016), 81 FR 69240 (October 5,
30 17 CFR 200.30–3(a)(12). 2016) (File No. S7–22–16). (March 22, 2017), 82 FR 15564 (March 29, 2017)
1 15 U.S.C. 78s(b)(1). 5 See Securities Exchange Act Release No. 79732 (File No. S7–22–16).
2 15 U.S.C. 78a. 8 15 U.S.C. 78f(b).
(January 4, 2017), 82 FR 3042 (January 10, 2017)
3 17 CFR 240.19b–4. (SR–NYSEArca–2016–145). 9 15 U.S.C. 78f(b)(5).

VerDate Sep<11>2014 17:18 Aug 10, 2017 Jkt 241001 PO 00000 Frm 00069 Fmt 4703 Sfmt 4703 E:\FR\FM\11AUN1.SGM 11AUN1
37626 Federal Register / Vol. 82, No. 154 / Friday, August 11, 2017 / Notices

adding clarity as to which rules are At any time within 60 days of the the Commission does not edit personal
operative and when, thereby reducing filing of the proposed rule change, the identifying information from
potential confusion, and making the Commission summarily may submissions. You should submit only
Exchange’s rules easier to navigate. The temporarily suspend such rule change if information that you wish to make
Exchange also believes that eliminating it appears to the Commission that such available publicly. All submissions
obsolete material from its rulebook also action is necessary or appropriate in the should refer to File Number SR–
removes impediments to and perfects public interest, for the protection of NYSEARCA–2017–82 and should be
the mechanism of a free and open investors, or otherwise in furtherance of submitted on or before September 1,
market by removing confusion that may the purposes of the Act. If the 2017.
result from having obsolete material in Commission takes such action, the For the Commission, by the Division of
the Exchange’s rulebook. The Exchange Commission shall institute proceedings Trading and Markets, pursuant to delegated
believes that eliminating such obsolete to determine whether the proposed rule authority.12
material would not be inconsistent with change should be approved or Eduardo A. Aleman,
the public interest and the protection of disapproved. Assistant Secretary.
investors because investors will not be IV. Solicitation of Comments [FR Doc. 2017–16928 Filed 8–10–17; 8:45 am]
harmed and in fact would benefit from
increased transparency, thereby Interested persons are invited to BILLING CODE 8011–01–P

reducing potential confusion. submit written data, views, and
arguments concerning the foregoing,
B. Self-Regulatory Organization’s including whether the proposed rule SECURITIES AND EXCHANGE
Statement on Burden on Competition change is consistent with the Act. COMMISSION
The Exchange does not believe that Comments may be submitted by any of
Sunshine Act Meeting
the proposed rule change would impose the following methods:
any burden on competition that is not Electronic Comments Notice is hereby given, pursuant to
necessary or appropriate in furtherance the provisions of the Government in the
• Use the Commission’s Internet
of the purposes of the Act. The Sunshine Act, Public Law 94–409, that
comment form (http://www.sec.gov/
proposed change is not designed to the Securities and Exchange
rules/sro.shtml); or
address any competitive issue but rather • Send an email to rule-comments@ Commission will hold an Open Meeting
facilitate the industry’s transition to a sec.gov. Please include File Number SR– on Tuesday, August 15, 2017 at 1:00
T+2 regular-way settlement cycle. The NYSEARCA–2017–82 on the subject p.m., in the Auditorium (L–002) at the
Exchange also believes that the line. Commission’s headquarters building, to
proposed rule change will serve to hear oral argument in an appeal from an
promote clarity and consistency, Paper Comments initial decision of an administrative law
thereby reducing burdens on the • Send paper comments in triplicate judge by respondents Frank H.
marketplace and facilitating investor to Brent J. Fields, Secretary, Securities Chiappone, Andrew G. Guzzetti,
protection. and Exchange Commission, 100 F Street William F. Lex, Thomas E. Livingston,
NE., Washington, DC 20549–1090. Brian T. Mayer, and Philip S.
C. Self-Regulatory Organization’s
All submissions should refer to File Rabinovich, formerly registered
Statement on Comments on the
Number SR–NYSEARCA–2017–82. This representatives associated with former
Proposed Rule Change Received From
file number should be included on the broker-dealer McGinn, Smith & Co., Inc.
Members, Participants, or Others
subject line if email is used. To help the On February 25, 2015, the ALJ found
No written comments were solicited Commission process and review your that Chiappone, Lex, Livington, Mayer,
or received with respect to the proposed comments more efficiently, please use and Rabinovich violated antifraud
rule change. only one method. The Commission will provisions of the federal securities laws
III. Date of Effectiveness of the post all comments on the Commission’s by recommending that customers
Proposed Rule Change and Timing for Internet Web site (http://www.sec.gov/ purchase securities without conducting
Commission Action rules/sro.shtml). Copies of the a reasonable investigation into the
submission, all subsequent offerings as well as provisions of the
Because the foregoing proposed rule amendments, all written statements securities laws prohibiting unregistered
change does not: (i) Significantly affect with respect to the proposed rule offers and sales of securities. The ALJ
the protection of investors or the public change that are filed with the barred or suspended these respondents
interest; (ii) impose any significant Commission, and all written from certain associations in the
burden on competition; and (iii) become communications relating to the securities industry and ordered them to
operative for 30 days from the date on proposed rule change between the pay third-tier civil money penalties, to
which it was filed, or such shorter time Commission and any person, other than pay disgorgement of commissions
as the Commission may designate, it has those that may be withheld from the received for their sales in violation of
become effective pursuant to Section public in accordance with the the antifraud provisions plus
19(b)(3)(A) of the Act 10 and Rule 19b– provisions of 5 U.S.C. 552, will be prejudgment interest, and to cease and
4(f)(6) thereunder.11 available for Web site viewing and desist from further violations of the
securities laws. The ALJ found that
asabaliauskas on DSKBBXCHB2PROD with NOTICES

printing in the Commission’s Public
10 15 U.S.C. 78s(b)(3)(A). Reference Room, 100 F Street NE., Guzzetti failed reasonably to supervise
11 17 CFR 240.19b–4(f)(6). In addition, Rule 19b–
Washington, DC 20549 on official the other respondents, ordered him to
4(f)(6)(iii) requires the Exchange to give the
Commission written notice of its intent to file the business days between the hours of pay a third-tier civil money penalty, and
proposed rule change, along with a brief description 10:00 a.m. and 3:00 p.m. Copies of the suspended him from association in
and text of the proposed rule change, at least five filing also will be available for certain capacities in the securities
business days prior to the date of filing of the industry.
proposed rule change, or such shorter time as
inspection and copying at the principal
designated by the Commission. The Exchange has office of the Exchange. All comments
satisfied this requirement. received will be posted without change; 12 17 CFR 200.30–3(a)(12).

VerDate Sep<11>2014 17:18 Aug 10, 2017 Jkt 241001 PO 00000 Frm 00070 Fmt 4703 Sfmt 4703 E:\FR\FM\11AUN1.SGM 11AUN1
Document Created: 2018-10-24 11:47:32
Document Modified: 2018-10-24 11:47:32
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 37625