82 FR 43595 - Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.13, Order Execution and Routing, To Account for IEX as a Primary Listing Market and To Amend Certain Rules To Reflect the Name Change of NYSE MKT to NYSE American

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 179 (September 18, 2017)

Page Range		43595-43597
FR Document		2017-19803
Federal Register, Volume 82 Issue 179 (Monday, September 18, 2017)
[Federal Register Volume 82, Number 179 (Monday, September 18, 2017)]
[Notices]
[Pages 43595-43597]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-19803]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-81594; File No. SR-BatsBZX-2017-57]


Self-Regulatory Organizations; Bats BZX Exchange, Inc.; Notice of 
Filing and Immediate Effectiveness of a Proposed Rule Change To Amend 
Rule 11.13, Order Execution and Routing, To Account for IEX as a 
Primary Listing Market and To Amend Certain Rules To Reflect the Name 
Change of NYSE MKT to NYSE American

September 13, 2017.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 
(the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given 
that on September 6, 2017, Bats BZX Exchange, Inc. (the ``Exchange'' or 
``BZX'') filed with the Securities and Exchange Commission 
(``Commission'') the proposed rule change as described in Items I and 
II below, which Items have been prepared by the Exchange. The Exchange 
has designated this proposal as a ``non-controversial'' proposed rule 
change pursuant to Section 19(b)(3)(A) of the Act \3\ and Rule 19b-
4(f)(6)(iii) thereunder,\4\ which renders it effective upon filing with 
the Commission. The Commission is publishing this notice to solicit 
comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 15 U.S.C. 78s(b)(3)(A).
    \4\ 17 CFR 240.19b-4(f)(6)(iii).
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I. Self-Regulatory Organization's Statement of the Terms of Substance 
of the Proposed Rule Change

    The Exchange filed a proposal to amend paragraphs (b)(3)(M) and (N) 
of Rule 11.13, Order Execution and Routing, to expand the ability of 
Users \5\ to designate their orders for participation in the opening, 
re-opening (following a halt, suspension, or pause), or closing process 
of a primary listing market other than the Exchange (NYSE, Nasdaq, NYSE 
MKT, or NYSE Arca) to include the Investors Exchange LLC (``IEX''). The 
Exchange also proposes to amend paragraphs (b)(3)(M) and (N) of Rule 
11.13 as well as Rules 11.24(c)(1) and 11.26(a) to reflect the name 
change of NYSE MKT to NYSE American.
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    \5\ The term ``User'' is defined as ``any Member or Sponsored 
Participant who is authorized to obtain access to the System 
pursuant to Rule 11.3.'' See Exchange Rule 1.5(cc).
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    The text of the proposed rule change is available at the Exchange's 
Web site at www.bats.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 Exchange 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 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 
Statutory Basis for, the Proposed Rule Change

1. Purpose
    Exchange Rule 11.13(b)(3)(N) describes the ROOC routing option, 
under which Users may designate their orders for participation in the 
opening or closing process, in addition to the re-opening (following a 
halt, suspension, or pause), of a primary listing market other than the 
Exchange, if received before the opening/re-opening/closing time of 
such market.\6\ Under Exchange Rule 11.13(b)(3)(M), Users may also 
elect that their orders be routed to participate in the primary 
market's re-opening process, and not its opening or closing processes. 
Any remaining shares

[[Page 43596]]

are either posted to the BZX Book,\7\ executed, or routed to 
destinations on the System routing table.\8\
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    \6\ See Exchange Rule 11.13(b)(3)(N).
    \7\ The term ``BZX Book'' is defined as ``the System's 
electronic file of orders.'' See Exchange Rule 1.5(e).
    \8\ The term ``System routing table'' refers to the proprietary 
process for determining the specific options exchanges to which the 
System routes orders and the order in which it routes them. See 
Exchange Rule 11.13(b)(3).
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    IEX announced that it intends to become a primary listing exchange 
and support IEX-listed companies beginning in October 2017.\9\ At that 
time, the Exchange will enable Users to elect that their orders in IEX-
listed securities be routed to IEX to participate in IEX's opening, re-
opening (following a halt, suspension, or pause), or closing process. 
Therefore, the Exchange proposes to amend paragraphs (b)(3)(M) and (N) 
of Rule 11.13 to include IEX as a primary listing market to which Users 
may designate their orders be routed.\10\
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    \9\ See IEX Trading Alert #2017-05, Listing Specifications, 
Testing Opportunities, and Timelines, available at https://iextrading.com/trading/alerts/2017/015/. See also Securities 
Exchange Act Release No. 81316 (August 4, 2017), 82 FR 37474 (August 
10, 2017) (SR-IEX-2017-10) (Order approving proposed rule change 
related in auctions in IEX-listed securities, dissemination of 
auction-related data, and provisions governing trading halts and 
pauses).
    \10\ The Exchange also proposes to amend paragraph (b)(3)(M) of 
Rule 11.13 to replace the term ``Bats'' with ``BZX'' to reflect the 
correct defined term of ``BZX Book''. See Exchange Rule 1.5(e).
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    Lastly, the Exchange also proposes non-substantive amendments to 
paragraphs (b)(3)(M) and (N) of Rule 11.13 as well as Rules 11.24(c)(1) 
and 11.26(a) to reflect the name change of NYSE MKT to NYSE 
American.\11\
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    \11\ See Securities Exchange Act Release No. Securities Exchange 
Act Release No. 80283 (March 21, 2017), 82 FR 15244 (March 27, 2017) 
(SR-NYSEMKT-2017-14).
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2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section 
6(b) of the Act \12\ in general, and furthers the objectives of Section 
6(b)(5) of the Act \13\ in particular, in that it is designed to 
promote just and equitable principles of trade, to foster cooperation 
and coordination with persons engaged in facilitating transactions in 
securities, to remove impediments to and perfect the mechanism of a 
free and open market and a national market system and, in general, to 
protect investors and the public interest. As discussed above, IEX 
announced that it intends to become a primary listing exchange and 
support IEX-listed companies beginning in October 2017.\14\ Certain 
Users whose orders in IEX-listed securities are resting on the BZX Book 
may wish that their order only be routed to participate in IEX's 
opening, closing, or re-opening process. The proposed rule change 
promotes just and equitable principles of trade because it would 
provide such Users with additional flexibility with regard to their 
orders in IEX-listed securities.
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    \12\ 15 U.S.C. 78f(b).
    \13\ 15 U.S.C. 78f(b)(5).
    \14\ See supra note 9.
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    Lastly, the non-substantive amendments to paragraphs (b)(3)(M) and 
(N) of Rule 11.13 as well as Rules 11.24(c)(1) and 11.26(a) to reflect 
the name change of NYSE MKT to NYSE American also removes impediments 
to and perfects the mechanism of a free and open market and a national 
market system because it updates the rules to reflect the name change 
and does not alter the way in which orders in NYSE American listed 
securities are handled and routed.
(A) Self-Regulatory Organization's Statement on Burden on Competition
    The Exchange does not believe that the proposal will impose any 
burden on competition not necessary or appropriate in furtherance of 
the purposes of the Act. The Exchange believes that its proposal would 
increase competition because it offers Users an alternative means to 
route orders to participate in IEX's opening, closing, and re-opening 
following a halt, suspension, or pause as if they entered orders on 
that market directly.

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

    The Exchange has neither solicited nor received written comments on 
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: (A) 
Significantly affect the protection of investors or the public 
interest; (B) impose any significant burden on competition; and (C) by 
its terms, 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 \15\ and 
paragraph (f)(6) of Rule 19b-4 thereunder,\16\ the Exchange has 
designated this rule filing as non-controversial. The Exchange has 
given 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.
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    \15\ 15 U.S.C. 78s(b)(3)(A).
    \16\ 17 CFR 240.19b-4.
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    At any time within 60 days of the filing of the proposed rule 
change, the Commission summarily may temporarily suspend such rule 
change if it appears to the Commission that such action is: (1) 
Necessary or appropriate in the public interest; (2) for the protection 
of investors; or (3) 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 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-BatsBZX-2017-57 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-BatsBZX-2017-57. 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

[[Page 43597]]

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-BatsBZX-2017-57 and should be submitted on or before 
October 10, 2017.

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\17\
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    \17\ 17 CFR 200.30-3(a)(12).
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Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-19803 Filed 9-15-17; 8:45 am]
 BILLING CODE 8011-01-P
43596 Federal Register / Vol. 82, No. 179 / Monday, September 18, 2017 / Notices

are either posted to the BZX Book,7 orders in IEX-listed securities are resting along with a brief description and text
executed, or routed to destinations on on the BZX Book may wish that their of the proposed rule change at least five
the System routing table.8 order only be routed to participate in business days prior to the date of filing
IEX announced that it intends to IEX’s opening, closing, or re-opening of the proposed rule change, or such
become a primary listing exchange and process. The proposed rule change shorter time as designated by the
support IEX-listed companies beginning promotes just and equitable principles Commission.
in October 2017.9 At that time, the of trade because it would provide such At any time within 60 days of the
Exchange will enable Users to elect that Users with additional flexibility with filing of the proposed rule change, the
their orders in IEX-listed securities be regard to their orders in IEX-listed Commission summarily may
routed to IEX to participate in IEX’s securities. temporarily suspend such rule change if
opening, re-opening (following a halt, Lastly, the non-substantive it appears to the Commission that such
suspension, or pause), or closing amendments to paragraphs (b)(3)(M) action is: (1) Necessary or appropriate in
process. Therefore, the Exchange and (N) of Rule 11.13 as well as Rules the public interest; (2) for the protection
proposes to amend paragraphs (b)(3)(M) 11.24(c)(1) and 11.26(a) to reflect the of investors; or (3) otherwise in
and (N) of Rule 11.13 to include IEX as name change of NYSE MKT to NYSE furtherance of the purposes of the Act.
a primary listing market to which Users American also removes impediments to If the Commission takes such action, the
may designate their orders be routed.10 and perfects the mechanism of a free Commission shall institute proceedings
Lastly, the Exchange also proposes and open market and a national market to determine whether the proposed rule
non-substantive amendments to system because it updates the rules to should be approved or disapproved.
paragraphs (b)(3)(M) and (N) of Rule reflect the name change and does not
11.13 as well as Rules 11.24(c)(1) and IV. Solicitation of Comments
alter the way in which orders in NYSE
11.26(a) to reflect the name change of American listed securities are handled Interested persons are invited to
NYSE MKT to NYSE American.11 and routed. submit written data, views, and
arguments concerning the foregoing,
2. Statutory Basis (A) Self-Regulatory Organization’s including whether the proposed rule
The Exchange believes that its Statement on Burden on Competition change is consistent with the Act.
proposal is consistent with Section 6(b) The Exchange does not believe that Comments may be submitted by any of
of the Act 12 in general, and furthers the the proposal will impose any burden on the following methods:
objectives of Section 6(b)(5) of the Act 13 competition not necessary or
in particular, in that it is designed to Electronic Comments
appropriate in furtherance of the
promote just and equitable principles of purposes of the Act. The Exchange • Use the Commission’s Internet
trade, to foster cooperation and believes that its proposal would comment form (http://www.sec.gov/
coordination with persons engaged in increase competition because it offers rules/sro.shtml); or
facilitating transactions in securities, to Users an alternative means to route • Send an email to rule-comments@
remove impediments to and perfect the orders to participate in IEX’s opening, sec.gov. Please include File Number SR–
mechanism of a free and open market closing, and re-opening following a halt, BatsBZX–2017–57 on the subject line.
and a national market system and, in suspension, or pause as if they entered Paper Comments
general, to protect investors and the orders on that market directly.
public interest. As discussed above, IEX • Send paper comments in triplicate
announced that it intends to become a B. Self-Regulatory Organization’s to Brent J. Fields, Secretary, Securities
primary listing exchange and support Statement on Comments on the and Exchange Commission, 100 F Street
IEX-listed companies beginning in Proposed Rule Change Received From NE., Washington, DC 20549–1090.
October 2017.14 Certain Users whose Members, Participants or Others All submissions should refer to File
The Exchange has neither solicited Number SR–BatsBZX–2017–57. This file
7 The term ‘‘BZX Book’’ is defined as ‘‘the
nor received written comments on the number should be included on the
System’s electronic file of orders.’’ See Exchange
proposed rule change. subject line if email is used. To help the
Rule 1.5(e). Commission process and review your
8 The term ‘‘System routing table’’ refers to the
III. Date of Effectiveness of the comments more efficiently, please use
proprietary process for determining the specific
options exchanges to which the System routes
Proposed Rule Change and Timing for only one method. The Commission will
orders and the order in which it routes them. See Commission Action post all comments on the Commission’s
Exchange Rule 11.13(b)(3). Internet Web site (http://www.sec.gov/
9 See IEX Trading Alert #2017–05, Listing
Because the foregoing proposed rule
change does not: (A) Significantly affect rules/sro.shtml). Copies of the
Specifications, Testing Opportunities, and
Timelines, available at https://iextrading.com/ the protection of investors or the public submission, all subsequent
trading/alerts/2017/015/. See also Securities interest; (B) impose any significant amendments, all written statements
Exchange Act Release No. 81316 (August 4, 2017), burden on competition; and (C) by its with respect to the proposed rule
82 FR 37474 (August 10, 2017) (SR–IEX–2017–10) change that are filed with the
(Order approving proposed rule change related in terms, become operative for 30 days
auctions in IEX-listed securities, dissemination of from the date on which it was filed or Commission, and all written
auction-related data, and provisions governing such shorter time as the Commission communications relating to the
trading halts and pauses). may designate it has become effective proposed rule change between the
10 The Exchange also proposes to amend
pursuant to Section 19(b)(3)(A) of the Commission and any person, other than
paragraph (b)(3)(M) of Rule 11.13 to replace the
term ‘‘Bats’’ with ‘‘BZX’’ to reflect the correct Act 15 and paragraph (f)(6) of Rule 19b– those that may be withheld from the
public in accordance with the
sradovich on DSKBBY8HB2PROD with NOTICES

defined term of ‘‘BZX Book’’. See Exchange Rule 4 thereunder,16 the Exchange has
1.5(e). designated this rule filing as non- provisions of 5 U.S.C. 552, will be
11 See Securities Exchange Act Release No.
controversial. The Exchange has given available for Web site viewing and
Securities Exchange Act Release No. 80283 (March printing in the Commission’s Public
21, 2017), 82 FR 15244 (March 27, 2017) (SR– the Commission written notice of its
NYSEMKT–2017–14). intent to file the proposed rule change, Reference Room, 100 F Street NE.,
12 15 U.S.C. 78f(b). Washington, DC 20549 on official
13 15 U.S.C. 78f(b)(5). 15 15 U.S.C. 78s(b)(3)(A). business days between the hours of
14 See supra note 9. 16 17 CFR 240.19b–4. 10:00 a.m. and 3:00 p.m. Copies of the

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Federal Register / Vol. 82, No. 179 / Monday, September 18, 2017 / Notices 43597

filing also will be available for II. Self-Regulatory Organization’s exchange, and, in particular, with the
inspection and copying at the principal Statement of the Purpose of, and requirements of Section 6(b) of the Act.4
office of the Exchange. All comments Statutory Basis for, the Proposed Rule In particular, the proposal is consistent
received will be posted without change; Change with Section 6(b)(5) of the Act,5 because
the Commission does not edit personal In its filing with the Commission, the is designed to promote just and
identifying information from Exchange included statements equitable principles of trade, remove
submissions. You should submit only concerning the purpose of and basis for impediments to and perfect the
information that you wish to make the proposed rule change and discussed mechanisms of a free and open market
available publicly. All submissions any comments it received on the and a national market system and, in
should refer to File Number SR– proposed rule change. The text of these general, to protect investors and the
BatsBZX–2017–57 and should be statements may be examined at the public interest. The Exchange believes
submitted on or before October 10, places specified in Item IV below. The that the proposed rule change is
2017. Exchange has prepared summaries, set consistent with the protection of
For the Commission, by the Division of forth in sections A, B, and C below, of investors and the public interest
Trading and Markets, pursuant to delegated the most significant aspects of such because the systems issue described in
authority.17 statements. Chapter 19 has been resolved. Due to a
Eduardo A. Aleman, systems issue, allocations in the Flash
A. Self-Regulatory Organization’s auction were not being done in the
Assistant Secretary. Statement of the Purpose of, and manner described in Supplementary
[FR Doc. 2017–19803 Filed 9–15–17; 8:45 am] Statutory Basis for, the Proposed Rule Material .02(a)–(b) to Rule 1901. As a
BILLING CODE 8011–01–P Change temporary measure, the Exchange
1. Purpose therefore added language to that effect
SECURITIES AND EXCHANGE to Chapter 19. With the migration of the
The purpose of the proposed rule Exchange’s trading system to Nasdaq
COMMISSION change is to remove language from INET, this systems issue has been
Chapter 19 related to a systems issue eliminated, and the Exchange therefore
[Release No. 34–81597; File No. SR–MRX– that has been resolved with the
believes that it is appropriate to remove
2017–17] completed migration of the Exchange to
this language from Chapter 19.
Nasdaq INET. On June 6, 2017, the
Self-Regulatory Organizations; Nasdaq Exchange filed a proposed rule change B. Self-Regulatory Organization’s
MRX, LLC; Notice of Filing and to amend Chapter 19 to notify members Statement on Burden on Competition
Immediate Effectiveness of Proposed of a systems issue related to allocations
Rule Change To Remove Language made pursuant to Supplementary In accordance with Section 6(b)(8) of
From Chapter 19 of the Rulebook Material .02(a)–(b) to Rule 1901 (‘‘Flash the Act,6 the Exchange does not believe
auction’’).3 As explained in that that the proposed rule change will
September 13, 2017. impose any burden on intermarket or
proposed rule change, due to a systems
Pursuant to Section 19(b)(1) of the issue, Flash auction allocations intramarket competition that is not
Securities Exchange Act of 1934 (the pursuant to Supplementary Material necessary or appropriate in furtherance
‘‘Act’’),1 and Rule 19b–4 thereunder,2 .02(a)–(b) to Rule 1901 were not being of the purposes of the Act. The
notice is hereby given that on August provided as described in that rule, and proposed rule change eliminates
31, 2017, Nasdaq MRX, LLC (‘‘MRX’’ or instead Primary Market Maker quotes outdated text reflecting a systems issue
‘‘Exchange’’) filed with the Securities were being given a Flash auction related to Flash auction allocations, and
and Exchange Commission (‘‘SEC’’ or allocation pursuant to Supplementary is not designed to have any competitive
‘‘Commission’’) the proposed rule Material .01(b)–(c) to Rule 713 after impact.
change as described in Items I and II Priority Customer Orders on the book,
C. Self-Regulatory Organization’s
below, which Items have been prepared and ahead of Responses, Professional
by the Exchange. The Commission is Statement on Comments on the
Orders, and other market maker quotes.
publishing this notice to solicit Proposed Rule Change Received From
This systems issue has been resolved
comments on the proposed rule change Members, Participants, or Others
with the Exchange’s migration to
from interested persons. Nasdaq INET, which was completed on No written comments were either
Monday, August 21, 2017. As all solicited or received.
I. Self-Regulatory Organization’s
symbols are now trading on INET,
Statement of the Terms of Substance of III. Date of Effectiveness of the
contracts executed in a Flash auction
the Proposed Rule Change Proposed Rule Change and Timing for
will be allocated correctly pursuant to
The Exchange proposes to remove Supplementary Material .02 to Rule Commission Action
language from Chapter 19 related to a 1901. The Exchange therefore proposes
Because the proposed rule change
systems issue that has been resolved to remove the language described above
does not (i) significantly affect the
with the completed migration of the from its rulebook.
protection of investors or the public
Exchange to Nasdaq INET. 2. Statutory Basis interest; (ii) impose any significant
The text of the proposed rule change The Exchange believes that the burden on competition; and (iii) become
sradovich on DSKBBY8HB2PROD with NOTICES

is available on the Exchange’s Web site proposed rule change is consistent with operative for 30 days from the date on
at www.ise.com, at the principal office the requirements of the Act and the which it was filed, or such shorter time
of the Exchange, and at the rules and regulations thereunder that as the Commission may designate, it has
Commission’s Public Reference Room. are applicable to a national securities become effective pursuant to Section

17 17 CFR 200.30–3(a)(12). 3 See Securities Exchange Act Release No. 80965 4 15 U.S.C. 78f(b).
1 15 U.S.C. 78s(b)(1). 5 15 U.S.C. 78f(b)(5).
(June 19, 2017), 82 FR 28716 (June 23, 2017) (SR–
2 17 CFR 240.19b–4. MRX–2017–07). 6 15 U.S.C. 78f(b)(8).

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Document Created: 2017-09-16 00:52:42
Document Modified: 2017-09-16 00:52:42
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 43595