82 FR 48287 - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Eliminate a Surcharge for Eligibility Requests Submitted to DTC Two Days Prior to Closing Date

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 82, Issue 199 (October 17, 2017)

Page Range		48287-48289
FR Document		2017-22391
Federal Register, Volume 82 Issue 199 (Tuesday, October 17, 2017)
[Federal Register Volume 82, Number 199 (Tuesday, October 17, 2017)]
[Notices]
[Pages 48287-48289]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2017-22391]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-81854; File No. SR-DTC-2017-019]


Self-Regulatory Organizations; The Depository Trust Company; 
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To 
Eliminate a Surcharge for Eligibility Requests Submitted to DTC Two 
Days Prior to Closing Date

October 11, 2017.

    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that 
on October 2, 2017, The Depository Trust Company (``DTC'') filed with 
the Securities and Exchange Commission (``Commission'') the proposed 
rule change as described in Items I, II and III below, which Items have 
been prepared by the clearing agency. DTC filed the proposed rule 
change pursuant to Section 19(b)(3)(A) of the Act \3\ and Rule 19b-
4(f)(2) thereunder.\4\ 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)(2).
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I. Clearing Agency's Statement of the Terms of Substance of the 
Proposed Rule Change

    The proposed rule change \5\ would revise the DTC Fee Schedule 
(``Fee Schedule'') \6\ to eliminate a fee charged to Participants that 
submit an eligibility request or required offering documents for a new 
issue (``Issue'') of Securities two business days prior to the Closing 
Date (``Two-Day Surcharge''), as discussed below.
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    \5\ Each term not otherwise defined herein has its respective 
meaning as set forth in the Rules, By-Laws and Organization 
Certificate of DTC (the ``Rules''), available at http://www.dtcc.com/legal/rules-and-procedures.aspx, and the DTC 
Operational Arrangements (Necessary for Securities to Become and 
Remain Eligible for DTC Services) (``OA''), available at http://
www.dtcc.com/~/media/Files/Downloads/legal/issue-eligibility/
eligibility/operational-arrangements.pdf.
    \6\ Available at http://www.dtcc.com/~/media/Files/Downloads/
legal/fee-guides/dtcfeeguide.pdf?la=en.
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II. Clearing Agency's Statement of the Purpose of, and Statutory Basis 
for, the Proposed Rule Change

    In its filing with the Commission, the clearing agency 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 clearing agency has prepared summaries, 
set forth in sections A, B, and C below, of the most significant 
aspects of such statements.

(A) Clearing Agency's Statement of the Purpose of, and Statutory Basis 
for, the Proposed Rule Change

1. Purpose
Background
    The proposed rule change would revise the Fee Schedule \7\ to 
eliminate the Two-Day Surcharge, as discussed below.
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    \7\ Supra note 6.
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    Participants \8\ are required to provide an eligibility request for 
specified

[[Page 48288]]

Securities to DTC by the submission of all required ``Issuer'' \9\ and 
securities data and all required offering documents,\10\ at a minimum, 
through the online Securities Origination, Underwriting and Reliable 
Corporate Action Environment (``UW SOURCE'') system for the Security to 
be considered for full service eligibility at DTC.\11\ In addition to 
meeting other requirements as set forth in the OA,\12\ a Participant 
that seeks to make a new Issue eligible for Deposit at DTC must submit 
the eligibility request and offering documentation described above 
through UW SOURCE at least six business days prior to the Closing Date. 
If the Participant submits the eligibility request or the required 
offering documentation for a new Issue within two days or less prior to 
the Closing Date, it will be subject to fees, referred to in the Fee 
Schedule as surcharges (``Surcharges''), as outlined in the DTC Fee 
Schedule: (a) The Two-Day Surcharge is $2,000 per Issue (b) the 
Surcharge for submission of an eligibility request or the required 
offering documentation one day prior to the Closing Date is $5,000 per 
Issue (``One-Day Surcharge''), and (c) the Surcharge for submission of 
an eligibility request or required the offering documentation on the 
Closing Date is $10,000 per Issue (``Closing Date Surcharge'').\13\ The 
Surcharges are designed to cover costs to DTC of providing expedited 
processing of the eligibility request.
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    \8\ Only (i) Participants and (ii) underwriters with an approved 
correspondent relationship with a Participant, may request DTC 
eligibility for a new security being offered and distributed. It is 
therefore incumbent on an Issuer to have a relationship with an 
underwriter or other financial institution that is a Participant or 
is directly associated with a Participant that is willing to sponsor 
the eligibility process for the Issuer's securities. See OA, supra 
note 5 at 1-2.
    \9\ ``Issuer'' is defined as an issuer of Securities deposited 
at DTC. See OA, supra note 5 at 1.
    \10\ The eligibility request must contain the (i) identity of 
the lead underwriter, (ii) CUSIP number(s), (iii) principal/share 
amount, as applicable per CUSIP, and interest rates and maturity 
dates, as applicable per CUSIP. The preliminary offering document 
must be submitted and (e.g., official statement, prospectus, 
offering memorandum) provide relevant information necessary for DTC 
to process the Issue (e.g., Issuer name, description of the 
Security, denominations, name of the trustee, paying agent, transfer 
agent, and if applicable, other features of the Security, such as an 
early redemption). See Exhibit B of OA, supra note 5.
    \11\ See OA, supra note 5 at 1-2.
    \12\ See Exhibit B of OA, supra note 5.
    \13\ See Fee Schedule, supra note 6 at 28.
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Proposed Rule Change
    After reviewing its cost structure relating to eligibility 
processing, DTC has determined that due to the development of enhanced 
systemic and processing efficiencies over time, the Two-Day Surcharge 
is no longer necessary to be charged in order to cover the cost of 
processing an eligibility request for a new Issue submitted two days 
prior to Closing Date. Therefore, DTC proposes to eliminate the Two-Day 
Surcharge and revise the Fee Schedule accordingly. The Closing Date and 
One-Day Surcharges would remain unchanged and continue to be charged to 
Participants to offset costs associated with more manually intensive 
processing associated with the timely processing of eligibility 
requests submitted on or one day before Closing Date, as applicable.
Effective Date of Proposed Rule Change
    The proposed rule change would be effective on October 2, 2017.
2. Statutory Basis
    Section 17A(b)(3)(D) of the Act \14\ requires, in part, that the 
Rules provide for the equitable allocation of reasonable dues, fees, 
and other charges among its participants. DTC believes that the 
proposed rule change provides for the equitable allocation of fees 
charged to Participants, because elimination of the Two-Day Surcharge 
would apply to all Participants. In addition, DTC believes that the 
proposed change is reasonable, because the Two-Day Surcharge is no 
longer necessary to balance DTC revenue with its costs associated with 
processing of the applicable eligibility requests, as discussed above. 
Therefore, DTC believes that the proposed rule change is consistent 
with the requirements of Section 17A(b)(3)(D) of the Act.\15\
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    \14\ 15 U.S.C. 78q-1(b)(3)(D).
    \15\ Id.
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    The proposed rule change is also designed to be consistent with 
Rule 17Ad-22(e)(23) of the Act.\16\ Rule 17Ad-22(e)(23) requires DTC, 
inter alia, to establish, implement, maintain and enforce written 
policies and procedures reasonably designed to provide sufficient 
information to enable participants to identify and evaluate the risks, 
fees, and other material costs they incur by participating in the 
covered clearing agency. The proposed rule change, as described above, 
would update the Fee Schedule to reflect the proposed elimination of 
the Two-Day Surcharge. As such, DTC believes that the proposed change 
would promote disclosure of relevant rules and material procedures and 
provide sufficient information to enable participants and other users 
of DTC's services to evaluate fees and other material costs of 
utilizing DTC's services, in accordance with the requirements of Rule 
17Ad-22(e)(23), promulgated under the Act, cited above.
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    \16\ 17 CFR 240.17Ad-22(e)(23).
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(B) Clearing Agency's Statement on Burden on Competition

    DTC does not believe that the proposed rule change would have any 
impact on competition, because the Two-Day Surcharge is a minimal 
amount and its elimination should not have a material effect on (i) a 
determination by an underwriter on whether to submit an eligibility 
request for a new Issue or (ii) costs incurred by Participants in using 
DTC's eligibility services.

(C) Clearing Agency's Statement on Comments on the Proposed Rule Change 
Received From Members, Participants, or Others

    DTC has not received or solicited any written comments relating to 
this proposal. DTC will notify the Commission of any written comments 
received by DTC.

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

    The foregoing rule change has become effective pursuant to Section 
19(b)(3)(A) of the Act \17\ and paragraph (f) of Rule 19b-4 
thereunder.\18\ 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.
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    \17\ 15 U.S.C. 78s(b)(3)(A).
    \18\ 17 CFR 240.19b-4(f).
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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 Submissions

     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-DTC-2017-019 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-DTC-2017-019. This file

[[Page 48289]]

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 20549-1090 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 DTC and on DTCC's 
Web site (http://dtcc.com/legal/sec-rule-filings.aspx). 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-DTC-2017-019 and should be 
submitted on or before November 7, 2017.

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\19\
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    \19\ 17 CFR 200.30-3(a)(12).
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Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-22391 Filed 10-16-17; 8:45 am]
BILLING CODE 8011-01-P
Federal Register / Vol. 82, No. 199 / Tuesday, October 17, 2017 / Notices 48287

Planned price adjustments. The whether the planned changes are agency. DTC filed the proposed rule
Governors’ Decisions include an consistent with 39 U.S.C. 3632, 3633, change pursuant to Section 19(b)(3)(A)
overview of the Postal Service’s planned and 3642, 39 CFR part 3015, and 39 CFR of the Act 3 and Rule 19b–4(f)(2)
price changes, which is summarized in 3020 subparts B and E. Comments are thereunder.4 The Commission is
the table below. due no later than October 24, 2017. For publishing this notice to solicit
specific details of the planned price comments on the proposed rule change
TABLE I–1—PROPOSED PRICE changes, interested persons are from interested persons.
CHANGES encouraged to review the Notice, which
I. Clearing Agency’s Statement of the
is available on the Commission’s Web
Terms of Substance of the Proposed
Average site, www.prc.gov.
price Rule Change
Product name Pursuant to 39 U.S.C. 505, Curtis E.
increase Kidd is appointed to serve as Public The proposed rule change 5 would
(percent)
Representative to represent the interests revise the DTC Fee Schedule (‘‘Fee
Domestic Competitive Products of the general public in this docket. Schedule’’) 6 to eliminate a fee charged
to Participants that submit an eligibility
Priority Mail Express ..................... 3.9
III. Ordering Paragraphs request or required offering documents
Retail ......................................... 3.9 It is ordered: for a new issue (‘‘Issue’’) of Securities
Commercial Base ...................... 3.7 1. The Commission establishes Docket two business days prior to the Closing
Commercial Plus ....................... 3.7 No. CP2018–8 to provide interested Date (‘‘Two-Day Surcharge’’), as
Priority Mail ................................... 3.9 persons an opportunity to express views discussed below.
Retail ......................................... 0.8
and offer comments on whether the
Commercial Base ...................... 6.2 II. Clearing Agency’s Statement of the
Commercial Plus ....................... 6.1 planned changes are consistent with 39
U.S.C. 3632, 3633, and 3642, 39 CFR Purpose of, and Statutory Basis for, the
Parcel Select ................................ ................ Proposed Rule Change
Traditional ................................. 4.9 part 3015, and 39 CFR 3020 subparts B
Lightweight ................................ 7.0 and E. In its filing with the Commission, the
Parcel Return Service .................. 4.9 2. Comments are due no later than clearing agency included statements
Return Sectional Center Facility 5.2 October 24, 2017. concerning the purpose of and basis for
Return Delivery Unit .................. 4.6 3. The Commission appoints Curtis E. the proposed rule change and discussed
First-Class Package Service ........ ................ Kidd to serve as Public Representative any comments it received on the
Commercial ............................... 3.9 proposed rule change. The text of these
to represent the interests of the general
Retail ......................................... 14.5
Retail Ground ............................... 3.9 public in this proceeding. statements may be examined at the
4. The Secretary shall arrange for places specified in Item IV below. The
Domestic Extra Services publication of this order in the Federal clearing agency has prepared
Register. summaries, set forth in sections A, B,
Premium Forwarding Service En- and C below, of the most significant
By the Commission.
rollment Fee .............................. 3.9 aspects of such statements.
Adult Signature Service ................ ................ Stacy L. Ruble,
Basic ......................................... 3.4 Secretary. (A) Clearing Agency’s Statement of the
Person-Specific ......................... 3.3 [FR Doc. 2017–22373 Filed 10–16–17; 8:45 am] Purpose of, and Statutory Basis for, the
Competitive Post Office Box ........ 6.5 BILLING CODE 7710–FW–P Proposed Rule Change
Package Intercept Service ........... 3.9
1. Purpose
International Competitive Products Background
SECURITIES AND EXCHANGE
Global Express Guaranteed ......... 3.9 COMMISSION The proposed rule change would
Priority Mail Express International 3.9 revise the Fee Schedule 7 to eliminate
Priority Mail International .............. 3.9 [Release No. 34–81854; File No. SR–DTC–
2017–019]
the Two-Day Surcharge, as discussed
International Priority Airmail ......... 3.9 below.
International Priority Airmail M- Participants 8 are required to provide
Bags ...................................... 3.9Self-Regulatory Organizations; The
Depository Trust Company; Notice of an eligibility request for specified
International Surface Air Lift ......... 3.9
International Surface Air Lift M- Filing and Immediate Effectiveness of 3 15 U.S.C. 78s(b)(3)(A).
Bags ...................................... 3.9 Proposed Rule Change To Eliminate a 4 17 CFR 240.19b–4(f)(2).
Airmail M-Bags ............................. 3.9 Surcharge for Eligibility Requests 5 Each term not otherwise defined herein has its
First-Class Package International Submitted to DTC Two Days Prior to respective meaning as set forth in the Rules, By-
Service ...................................... 3.9 Closing Date Laws and Organization Certificate of DTC (the
‘‘Rules’’), available at http://www.dtcc.com/legal/
International Ancillary Services and Special October 11, 2017. rules-and-procedures.aspx, and the DTC
Services Operational Arrangements (Necessary for Securities
Pursuant to Section 19(b)(1) of the to Become and Remain Eligible for DTC Services)
International Ancillary Services .... 3.9 Securities Exchange Act of 1934 (‘‘OA’’), available at http://www.dtcc.com/∼/media/
(‘‘Act’’),1 and Rule 19b–4 thereunder,2 Files/Downloads/legal/issue-eligibility/eligibility/
Source: See Governors’ Decision No. 16–8 notice is hereby given that on October operational-arrangements.pdf.
at 2–5; Governors’ Decision No. 16–10 at 1; 6 Available at http://www.dtcc.com/∼/media/
Mail Classification Schedule sections 2105.6, 2, 2017, The Depository Trust Company Files/Downloads/legal/fee-guides/dtcfee
sradovich on DSK3GMQ082PROD with NOTICES

2110.6, 2115.6, 2125.6, 2135.6, 2305.6, (‘‘DTC’’) filed with the Securities and guide.pdf?la=en.
2315.6, 2335.6, and 2510.9.6. Exchange Commission (‘‘Commission’’) 7 Supra note 6.

II. Initial Administrative Actions the proposed rule change as described 8 Only (i) Participants and (ii) underwriters with

in Items I, II and III below, which Items an approved correspondent relationship with a
The Commission establishes Docket have been prepared by the clearing Participant, may request DTC eligibility for a new
No. CP2018–8 to consider the Postal security being offered and distributed. It is therefore
incumbent on an Issuer to have a relationship with
Service’s Notice. Interested persons may 1 15 U.S.C. 78s(b)(1). an underwriter or other financial institution that is
express views and offer comments on 2 17 CFR 240.19b–4. Continued

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Federal Register / Vol. 82, No. 199 / Tuesday, October 17, 2017 / Notices 48289

number should be included on the Commission (‘‘Commission’’), pursuant SECURITIES AND EXCHANGE
subject line if email is used. To help the to Section 19(b)(1) of the Securities COMMISSION
Commission process and review your Exchange Act of 1934 (‘‘Act’’) 1 and Rule
comments more efficiently, please use 19b–4 thereunder,2 a proposed rule [Release No. 34–81849; File No. SR–
only one method. The Commission will change to list and trade shares of the BatsBYX–2017–19; SR–BatsBZX–2017–55;
post all comments on the Commission’s SR–BatsEDGA–2017–22; SR–BatsEDGX–
U.S. Equity Cumulative Dividends
Internet Web site (http://www.sec.gov/ 2017–35]
Fund—Series 2027 and the U.S. Equity
rules/sro.shtml). Copies of the Ex-Dividend Fund—Series 2027 under Self-Regulatory Organizations; Bats
submission, all subsequent NYSE Arca Equities Rule 8.200, BYX Exchange, Inc.; Bats BZX
amendments, all written statements Commentary .02. The proposed rule Exchange, Inc.; Bats EDGA Exchange,
with respect to the proposed rule change was published for comment in Inc.; Bats EDGX Exchange, Inc.; Order
change that are filed with the the Federal Register on August 28, Granting Approval of Proposed Rule
Commission, and all written
2017.3 The Commission has received no Changes, as Modified by Amendments
communications relating to the
comment letters on the proposed rule No. 1, To Harmonize the Corporate
proposed rule change between the
change. Governance Framework of Each
Commission and any person, other than
Section 19(b)(2) of the Act 4 provides Exchange With That of Chicago Board
those that may be withheld from the
that, within 45 days of the publication Options Exchange, Incorporated and
public in accordance with the
C2 Options Exchange, Incorporated
provisions of 5 U.S.C. 552, will be of notice of the filing of a proposed rule
available for Web site viewing and change, or within such longer period up October 11, 2017.
printing in the Commission’s Public to 90 days as the Commission may
Reference Room, 100 F Street NE., I. Introduction
designate if it finds such longer period
Washington, DC 20549–1090 on official to be appropriate and publishes its On August 23, 2017, each of Bats BYX
business days between the hours of reasons for so finding or as to which the Exchange, Inc. (‘‘BYX’’), Bats BZX
10:00 a.m. and 3:00 p.m. Copies of the self-regulatory organization consents, Exchange, Inc. (‘‘BZX’’), Bats EDGA
filing also will be available for the Commission shall either approve the Exchange, Inc. (‘‘EDGA’’), and Bats
inspection and copying at the principal proposed rule change, disapprove the EDGX Exchange, Inc. (‘‘EDGX’’) (each,
office of DTC and on DTCC’s Web site proposed rule change, or institute an ‘‘Exchange’’ and collectively,
(http://dtcc.com/legal/sec-rule- proceedings to determine whether the ‘‘Exchanges’’) filed with the Securities
filings.aspx). All comments received proposed rule change should be and Exchange Commission
will be posted without change; the disapproved. The 45th day after (‘‘Commission’’), pursuant to Section
Commission does not edit personal 19(b)(1) of the Securities Exchange Act
publication of the notice for this
identifying information from of 1934 (‘‘Act’’) 1 and Rule 19b–4
proposed rule change is October 12,
submissions. You should submit only thereunder,2 a proposed rule change to
information that you wish to make 2017. The Commission is extending this align its corporate governance
available publicly. All submissions 45-day time period. The Commission framework to the structure of other U.S.
should refer to File Number SR–DTC– finds that it is appropriate to designate securities exchanges owned by its
2017–019 and should be submitted on a longer period within which to take ultimate parent company, CBOE
or before November 7, 2017. action on the proposed rule change so Holdings, Inc. (‘‘CBOE Holdings’’). On
that it has sufficient time to consider the August 25, 2017, each of BYX, BZX,
For the Commission, by the Division of
Trading and Markets, pursuant to delegated proposed rule change. EDGA, and EDGX filed Amendment No.
authority.19 Accordingly, the Commission, 1 to its respective proposed rule change.
Eduardo A. Aleman, pursuant to Section 19(b)(2) of the Act,5 The proposed rule changes, as modified
Assistant Secretary. designates November 26, 2017 as the by Amendments No. 1, were published
[FR Doc. 2017–22391 Filed 10–16–17; 8:45 am] date by which the Commission shall for comment in the Federal Register on
either approve or disapprove or institute September 6, 2017.3 The Commission
BILLING CODE 8011–01–P
proceedings to determine whether to received no comments on the proposed
disapprove the proposed rule change rule changes. This order grants approval
SECURITIES AND EXCHANGE (File Number SR–NYSEArca–2017–88). of the proposed rule changes, each as
COMMISSION modified by its respective Amendment
For the Commission, by the Division of No. 1.
[Release No. 34–81848; File No. SR– Trading and Markets, pursuant to delegated
NYSEArca–2017–88] authority.6 II. Background
Eduardo A. Aleman, On December 16, 2016, the
Self-Regulatory Organizations; NYSE Commission approved proposed rule
Assistant Secretary.
Arca, Inc.; Notice of Designation of a changes relating to a corporate
Longer Period for Commission Action [FR Doc. 2017–22386 Filed 10–16–17; 8:45 am]
transaction (‘‘Transaction’’) in which
on Proposed Rule Change To List and BILLING CODE 8011–01–P
CBOE Holdings became the ultimate
Trade the Shares of the U.S. Equity
Cumulative Dividends Fund—Series 1 15 U.S.C. 78s(b)(1).
2027 and the U.S. Equity Ex-Dividend 2 17 CFR 240.19b–4.
sradovich on DSK3GMQ082PROD with NOTICES

Fund—Series 2027 Under NYSE Arca 3 See Securities Exchange Act Release Nos. 81498
1 15 U.S.C. 78s(b)(1).
Equities Rule 8.200, Commentary .02 (August 30, 2017), 82 FR 42127 (September 6, 2017)
2 17 CFR 240.19b–4. (‘‘BYX Notice’’); 81497 (August 30, 2017), 82 FR
October 11, 2017. 3 See Securities Exchange Act Release No. 81453 42181 (September 6, 2017) (‘‘BZX Notice’’); 81496
On August 8, 2017, NYSE Arca, Inc. (August 22, 2017), 82 FR 40816. (August 30, 2017), 82 FR 42206 (September 6, 2017)
(‘‘EDGA Notice’’); and 81503 (August 30, 2017), 82
filed with the Securities and Exchange 4 15 U.S.C. 78s(b)(2).
FR 42153 (September 6, 2017) (‘‘EDGX Notice,’’ and
5 Id.
together with the BYX Notice, BZX Notice, and
19 17 CFR 200.30–3(a)(12). 6 17 CFR 200.30–3(a)(31). EDGA Notice, ‘‘Notices’’).

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Document Created: 2017-10-17 01:11:27
Document Modified: 2017-10-17 01:11:27
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 48287