82 FR 50201 - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 723 To Remove Obsolete Rule Text
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 82, Issue 208 (October 30, 2017)
Federal Register Volume 82, Issue 208 (October 30, 2017)
| Page Range | 50201-50203 | |
| FR Document | 2017-23483 |
[Federal Register Volume 82, Number 208 (Monday, October 30, 2017)] [Notices] [Pages 50201-50203] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2017-23483] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-81934; File No. SR-MRX-2017-22] Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 723 To Remove Obsolete Rule Text October 24, 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 October 17, 2017, Nasdaq MRX, LLC (``MRX'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. 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\ 17 CFR 240.19b-4. --------------------------------------------------------------------------- I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to amend Rule 723 (Price Improvement Mechanism for Crossing Transactions) to remove obsolete rule text. The text of the proposed rule change is available on the Exchange's Web site at www.ise.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 aspects of such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to amend Rule 723 (Price Improvement Mechanism for Crossing Transactions) to remove obsolete rule text. Rule 723 sets forth the requirements for the PIM, which was adopted as part of the Exchange's application to be registered as a national securities exchange.\3\ Certain aspects of PIM were adopted on a pilot basis (``Pilot''); specifically, the termination of the exposure period by unrelated orders, and no minimum size requirement of orders eligible for PIM. The Pilot expired on January 18, 2017. --------------------------------------------------------------------------- \3\ See Securities Exchange Act Release No. 76998 (January 29, 2016), 81 FR 6066 (February 4, 2016) (File No. 10-221). --------------------------------------------------------------------------- On December 12, 2016, the Exchange filed with the Commission a proposed rule change to make the Pilot permanent, and also to change the requirements for providing price improvement for Agency Orders of less than 50 option contracts (other than auctions involving Complex Orders) where the National Best Bid and Offer (``NBBO'') is only $0.01 wide.\4\ The Commission approved this proposal on January 18, 2017.\5\ --------------------------------------------------------------------------- \4\ See Securities Exchange Act Release No. 79539 (December 13, 2016), 81 FR 91982 (December 19, 2016) (SR-ISEMercury-2016-25). The Exchange notes that, on April 3, 2017, ISE Mercury, LLC was renamed Nasdaq MRX, LLC to reflect its new placement within the Nasdaq, Inc. corporate structure in connection with the March 9, 2016 acquisition by Nasdaq of the capital stock of U.S. Exchange Holdings, and the indirect acquisition all of the interests of the International Securities Exchange, LLC, ISE Gemini, LLC and ISE Mercury, LLC. See Securities Exchange Act Release No. 80326 (March 29, 2017), 82 FR 16460 (April 4, 2017) (SR-ISEMercury-2017-05). \5\ See Securities Exchange Act Release No. 79841 (January 18, 2017), 82 FR 8452 (January 25, 2017) (SR-ISEMercury-2016-25). --------------------------------------------------------------------------- In modifying the requirements for price improvement for Agency Orders of less than 50 contracts, the Exchange proposed to amend Rule 723(b) to require Electronic Access Members to provide at least $0.01 price improvement for an Agency Order if that order is for less than 50 contracts and if the difference between the NBBO is $0.01. The Exchange adopted a member conduct standard to implement this requirement during the time pursuant to which ISE Mercury symbols were migrating from the ISE Mercury platform to the Nasdaq INET platform. At the time it proposed the member conduct standard, the Exchange anticipated that the migration to the Nasdaq platform would be complete on or before September 15, 2017. Accordingly, Rule 723(b) stated that, for the period beginning January 19, 2017 until a date specified by the Exchange in a Regulatory Information Circular, which date shall be no later than September 15, 2017, if the Agency Order is for less than 50 option contracts, and if the difference between the NBBO is $0.01, an Electronic Access Member shall not enter a Crossing Transaction unless such Crossing Transaction is entered at one minimum price improvement increment better than the NBBO on the opposite side of the market from the Agency Order, and better than the limit order or quote on the Nasdaq MRX order book on the same side of the Agency Order. This requirement applied regardless of whether the Agency Order is for the account of a public customer, or where the Agency Order is for the account of [[Page 50202]] a broker dealer or any other person or entity that is not a Public Customer.\6\ --------------------------------------------------------------------------- \6\ Nasdaq ISE, LLC (``ISE'') filed a proposed rule change at the same time as the Exchange to adopt the same price improvement requirement. To enforce this requirement, ISE also amended its Rule 1614 (Imposition of Fines for Minor Rule Violations). Specifically, ISE added Rule 1614(d)(4), which provides that any Member who enters an order into PIM for less than 50 contracts, while the National Best Bid or Offer spread is $0.01, must provide price improvement of at least one minimum price improvement increment better than the NBBO on the opposite side of the market from the Agency Order, which increment may not be smaller than $0.01. Failure to provide such price improvement will result in members being subject to the following fines: $500 for the second offense, $1,000 for the third offense, and $2,500 for the fourth offense. Subsequent offenses will subject the member to formal disciplinary action. The Exchange will review violations on a monthly cycle to assess these violations. This provision was to be in effect for the period beginning January 19, 2017 until a date specified by the Exchange in a Regulatory Information Circular, which date shall be no later than until September 15, 2017. The Exchange incorporated this provision by reference. See MRX Chapter 16 (Discipline). Contemporaneous with this proposal, ISE is now submitting a filing to remove the member conduct standard for its price improvement rule and the corresponding provision in Rule 1614 for violations of that standard. As such, MRX will no longer incorporate this provision of Rule 1614 by reference. --------------------------------------------------------------------------- In adopting the price improvement requirement for Agency Orders of less than 50 contracts, the Exchange also proposed to amend Rule 723(b) to adopt a systems-based mechanism to implement this requirement, which shall be effective following the migration of a symbol to the Nasdaq INET platform. Under this provision, if the Agency Order is for less than 50 option contracts, and if the difference between the NBBO is $0.01, the Crossing Transaction must be entered at one minimum price improvement increment better than the NBBO on the opposite side of the market from the Agency Order and better than the limit order or quote on the Nasdaq MRX order book on the same side of the Agency Order. By September 15, 2017, the Exchange had completed the migration of symbols to the Nasdaq INET platform, and adopted the corresponding systems-based mechanism for enforcing the price improvement requirement where the Agency Order is for less than 50 option contracts, and if the difference between the NBBO is $0.01. Accordingly, the Exchange is now proposing to delete the rule text in Rule 723 that implements the member conduct standard. 2. Statutory Basis The Exchange believes that its proposal is consistent with section 6(b) of the Act,\7\ in general, and furthers the objectives of section 6(b)(5) of the Act,\8\ in particular, in that it is designed to promote just and equitable principles of trade, 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. The Exchange believes this proposal is consistent with the Act because it removes language that implements the member conduct standard where the Agency Order is for less than 50 option contracts, and if the difference between the NBBO is $0.01. As noted above, this standard has become obsolete with the migration of all symbols to the Nasdaq INET system and the corresponding adoption of the systems-based mechanism for enforcing that requirement, which was previously approved by the Commission.\9\ --------------------------------------------------------------------------- \7\ 15 U.S.C. 78f(b). \8\ 15 U.S.C. 78f(b)(5). \9\ See supra note 5. --------------------------------------------------------------------------- B. Self-Regulatory Organization's Statement on Burden on Competition The Exchange does not believe that the proposed rule change will impose any burden on competition not necessary or appropriate in furtherance of the purposes of the Act, as the rule text to be removed has become obsolete with the migration of all symbols to the Nasdaq INET system and the corresponding adoption of the systems-based mechanism for enforcing the price improvement requirement where the Agency Order is for less than 50 option contracts, and if the differences between the NBBO is $0.01. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others No written comments were either solicited or received. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Because the proposed rule change does not (i) significantly affect the protection of investors or the public interest; (ii) impose any significant burden on competition; and (iii) become operative for 30 days from the date on which it was filed, or such shorter time as the Commission may designate, it has become effective pursuant to section 19(b)(3)(A) of the Act \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). As required under Rule 19b- 4(f)(6)(iii), the Exchange provided the Commission with written notice of its intent to file the proposed rule change, along with a brief description and the 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. --------------------------------------------------------------------------- A proposed rule change filed pursuant to Rule 19b-4(f)(6) under the Act \12\ normally does not become operative for 30 days after the date of its filing. However, Rule 19b-4(f)(6)(iii) \13\ permits the Commission to designate a shorter time if such action is consistent with the protection of investors and the public interest. The Exchange has asked the Commission to waive the 30-day operative delay so that the proposed rule change may become operative upon filing. The Exchange states that waiver of the operative delay will allow the Exchange to remove the obsolete rule text immediately, minimizing potential investor confusion. The Commission believes the waiver of the operative delay is consistent with the protection of investors and the public interest. Accordingly, the Commission hereby waives the operative delay and designates the proposed rule change operative upon filing.\14\ --------------------------------------------------------------------------- \12\ 17 CFR 240.19b-4(f)(6). \13\ 17 CFR 240.19b-4(f)(6)(iii). \14\ For purposes only of waiving the 30-day operative delay, the Commission has also considered the proposed rule's impact on efficiency, competition, and capital formation. See 15 U.S.C. 78c(f). --------------------------------------------------------------------------- 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 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 CommentsUse 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-MRX-2017-22 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. [[Page 50203]] All submissions should refer to File Number SR-MRX-2017-22. 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 such filing also will be available for inspection and copying at the principal office of the Exchange. All comments received will be posted without change. Persons submitting comments are cautioned that we do not redact or edit personal identifying information from comment submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR-MRX-2017-22, and should be submitted on or before November 20, 2017. --------------------------------------------------------------------------- \15\ 17 CFR 200.30-3(a)(12). For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.\15\ Robert W. Errett, Deputy Secretary. [FR Doc. 2017-23483 Filed 10-27-17; 8:45 am] BILLING CODE 8011-01-P
![Federal Register / Vol. 82, No. 208 / Monday, October 30, 2017 / Notices 50201
All submissions should refer to File notice is hereby given that on October permanent, and also to change the
Number SR–NASDAQ–2017–107. This 17, 2017, Nasdaq MRX, LLC (‘‘MRX’’ or requirements for providing price
file number should be included on the ‘‘Exchange’’) filed with the Securities improvement for Agency Orders of less
subject line if email is used. To help the and Exchange Commission (‘‘SEC’’ or than 50 option contracts (other than
Commission process and review your ‘‘Commission’’) the proposed rule auctions involving Complex Orders)
comments more efficiently, please use change as described in Items I and II where the National Best Bid and Offer
only one method. The Commission will below, which Items have been prepared (‘‘NBBO’’) is only $0.01 wide.4 The
post all comments on the Commission’s by the Exchange. The Commission is Commission approved this proposal on
Internet Web site (http://www.sec.gov/ publishing this notice to solicit January 18, 2017.5
rules/sro.shtml). Copies of the comments on the proposed rule change
submission, all subsequent In modifying the requirements for
from interested persons.
amendments, all written statements price improvement for Agency Orders of
with respect to the proposed rule I. Self-Regulatory Organization’s less than 50 contracts, the Exchange
change that are filed with the Statement of the Terms of Substance of proposed to amend Rule 723(b) to
Commission, and all written the Proposed Rule Change require Electronic Access Members to
communications relating to the The Exchange proposes to amend provide at least $0.01 price
proposed rule change between the Rule 723 (Price Improvement improvement for an Agency Order if
Commission and any person, other than Mechanism for Crossing Transactions) that order is for less than 50 contracts
those that may be withheld from the to remove obsolete rule text. and if the difference between the NBBO
public in accordance with the The text of the proposed rule change is $0.01.
provisions of 5 U.S.C. 552, will be is available on the Exchange’s Web site The Exchange adopted a member
available for Web site viewing and at www.ise.com, at the principal office conduct standard to implement this
printing in the Commission’s Public of the Exchange, and at the requirement during the time pursuant to
Reference Room, 100 F Street NE., Commission’s Public Reference Room. which ISE Mercury symbols were
Washington, DC 20549, on official II. Self-Regulatory Organization’s migrating from the ISE Mercury
business days between the hours of Statement of the Purpose of, and platform to the Nasdaq INET platform.
10:00 a.m. and 3:00 p.m. Copies of the At the time it proposed the member
Statutory Basis for, the Proposed Rule
filing also will be available for conduct standard, the Exchange
Change
inspection and copying at the principal anticipated that the migration to the
office of the Exchange. All comments In its filing with the Commission, the Nasdaq platform would be complete on
received will be posted without change. Exchange included statements
or before September 15, 2017.
Persons submitting comments are concerning the purpose of and basis for
Accordingly, Rule 723(b) stated that, for
cautioned that we do not redact or edit the proposed rule change and discussed
the period beginning January 19, 2017
personal identifying information from any comments it received on the
until a date specified by the Exchange
comment submissions. You should proposed rule change. The text of these
in a Regulatory Information Circular,
submit only information that you wish statements may be examined at the
which date shall be no later than
to make available publicly. All places specified in Item IV below. The
September 15, 2017, if the Agency Order
submissions should refer to File Exchange has prepared summaries, set
is for less than 50 option contracts, and
Number SR–NASDAQ–2017–107 and forth in sections A, B, and C below, of
if the difference between the NBBO is
should be submitted on or before the most significant aspects of such
$0.01, an Electronic Access Member
November 20, 2017. statements.
shall not enter a Crossing Transaction
For the Commission, by the Division of A. Self-Regulatory Organization’s unless such Crossing Transaction is
Trading and Markets, pursuant to delegated Statement of the Purpose of, and entered at one minimum price
authority.20 Statutory Basis for, the Proposed Rule improvement increment better than the
Eduardo A. Aleman, Change NBBO on the opposite side of the
Assistant Secretary. market from the Agency Order, and
[FR Doc. 2017–23478 Filed 10–27–17; 8:45 am]
1. Purpose
better than the limit order or quote on
BILLING CODE 8011–01–P The Exchange proposes to amend the Nasdaq MRX order book on the
Rule 723 (Price Improvement same side of the Agency Order. This
Mechanism for Crossing Transactions) requirement applied regardless of
SECURITIES AND EXCHANGE to remove obsolete rule text. whether the Agency Order is for the
COMMISSION Rule 723 sets forth the requirements
account of a public customer, or where
for the PIM, which was adopted as part
[Release No. 34–81934; File No. SR–MRX– the Agency Order is for the account of
2017–22] of the Exchange’s application to be
registered as a national securities 4 See Securities Exchange Act Release No. 79539
Self-Regulatory Organizations; Nasdaq exchange.3 Certain aspects of PIM were (December 13, 2016), 81 FR 91982 (December 19,
MRX, LLC; Notice of Filing and adopted on a pilot basis (‘‘Pilot’’); 2016) (SR–ISEMercury–2016–25). The Exchange
Immediate Effectiveness of Proposed specifically, the termination of the notes that, on April 3, 2017, ISE Mercury, LLC was
exposure period by unrelated orders, renamed Nasdaq MRX, LLC to reflect its new
Rule Change To Amend Rule 723 To placement within the Nasdaq, Inc. corporate
Remove Obsolete Rule Text and no minimum size requirement of structure in connection with the March 9, 2016
orders eligible for PIM. The Pilot acquisition by Nasdaq of the capital stock of U.S.
sradovich on DSK3GMQ082PROD with NOTICES
October 24, 2017. expired on January 18, 2017. Exchange Holdings, and the indirect acquisition all
Pursuant to section 19(b)(1) of the On December 12, 2016, the Exchange of the interests of the International Securities
Securities Exchange Act of 1934 (the Exchange, LLC, ISE Gemini, LLC and ISE Mercury,
filed with the Commission a proposed LLC. See Securities Exchange Act Release No.
‘‘Act’’),1 and Rule 19b–4 thereunder,2 rule change to make the Pilot 80326 (March 29, 2017), 82 FR 16460 (April 4,
2017) (SR–ISEMercury–2017–05).
20 17 CFR 200.30–3(a)(12). 3 See Securities Exchange Act Release No. 76998 5 See Securities Exchange Act Release No. 79841
1 15 U.S.C. 78s(b)(1). (January 29, 2016), 81 FR 6066 (February 4, 2016) (January 18, 2017), 82 FR 8452 (January 25, 2017)
2 17 CFR 240.19b–4. (File No. 10–221). (SR–ISEMercury–2016–25).
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![Federal Register / Vol. 82, No. 208 / Monday, October 30, 2017 / Notices 50203
All submissions should refer to File ‘‘Act’’),1 and Rule 19b–4 thereunder,2 the proposed rule change and discussed
Number SR–MRX–2017–22. This file notice is hereby given that on October any comments it received on the
number should be included on the 13, 2017, Bats EDGX Exchange, Inc. (the proposed rule change. The text of these
subject line if email is used. To help the ‘‘Exchange’’ or ‘‘EDGX’’) filed with the statements may be examined at the
Commission process and review your Securities and Exchange Commission places specified in Item IV below. The
comments more efficiently, please use (‘‘Commission’’) the proposed rule Exchange has prepared summaries, set
only one method. The Commission will change as described in Items I, II and III forth in Sections A, B, and C below, of
post all comments on the Commission’s below, which Items have been prepared the most significant parts of such
Internet Web site (http://www.sec.gov/ by the Exchange. The Commission is statements.
rules/sro.shtml). Copies of the publishing this notice to solicit
comments on the proposed rule change (A) Self-Regulatory Organization’s
submission, all subsequent
from interested persons. Statement of the Purpose of, and
amendments, all written statements
Statutory Basis for, the Proposed Rule
with respect to the proposed rule I. Self-Regulatory Organization’s Change
change that are filed with the Statement of the Terms of Substance of
Commission, and all written the Proposed Rule Change 1. Purpose
communications relating to the EDGX recently amended its Restated
proposed rule change between the The Exchange seeks to amend its
Second Amended and Restated Certificate of Incorporation in
Commission and any person, other than connection with a corporate transaction
those that may be withheld from the Certificate of Incorporation. The text of
the proposed rule change is provided (the ‘‘Transaction’’) involving, among
public in accordance with the other things, the recent acquisition of
provisions of 5 U.S.C. 552, will be below.
(additions are italicized; deletions are EDGX, along with Bats BYX Exchange,
available for Web site viewing and Inc. (‘‘Bats BYX’’), Bats BZX Exchange,
printing in the Commission’s Public [bracketed])
Inc. (‘‘Bats BZX’’), and Bats EDGA
Reference Room, 100 F Street NE., * * * * *
Exchange, Inc. (‘‘Bats EDGA’’ and,
Washington, DC 20549 on official Second Amended and Restated together with Bats EDGX, Bats BYX, and
business days between the hours of Certificate of Incorporation of Bats Bats BZX, the ‘‘Bats Exchanges’’) by
10:00 a.m. and 3:00 p.m. Copies of such EDGX Exchange, Inc. CBOE Holdings, Inc. (‘‘CBOE
filing also will be available for Holdings’’). CBOE Holdings is also the
inspection and copying at the principal The name of the corporation is Bats
EDGX Exchange, Inc. The corporation parent of Chicago Board Options
office of the Exchange. All comments Exchange, Incorporated (‘‘CBOE’’) and
received will be posted without change. filed its original Certificate of
Incorporation with the Secretary of State C2 Options Exchange, Incorporated
Persons submitting comments are (‘‘C2’’). Particularly, the filing proposed,
cautioned that we do not redact or edit of the State of Delaware on March 9,
2009 under the name EDGX Exchange, among other things, to amend and
personal identifying information from restate the certificate of incorporation of
comment submissions. You should Inc. This Second Amended and Restated
Certificate of Incorporation of the the Exchange based on certificates of
submit only information that you wish incorporation of CBOE and C2.3 The
to make available publicly. All corporation, which restates and
integrates and also further amends the Exchange notes that in conforming the
submissions should refer to File
provisions of the corporation’s Restated Exchange’s Certificate to the certificates
Number SR–MRX–2017–22, and should
Certificate of Incorporation, was duly of CBOE and C2, it inadvertently (1) did
be submitted on or before November 20,
adopted in accordance with the not comply with a provision of
2017.
provisions of Sections 242 and 245 of Delaware law and (ii) referred to an
For the Commission, by the Division of the General Corporation Law of the inaccurate version of the Certificate in
Trading and Markets, pursuant to delegated State of Delaware and by the written the introductory paragraph. The
authority.15 Exchange seeks to correct those errors.
consent of its sole stockholder in
Robert W. Errett, accordance with Section 228 of the Particularly, Section 245(c) of the
Deputy Secretary. General Corporation Law of the State of Delaware General Corporation Law
[FR Doc. 2017–23483 Filed 10–27–17; 8:45 am] Delaware. The [Second Amended and] (DGCL) requires that a restated
BILLING CODE 8011–01–P Restated Certificate of Incorporation of certificate of incorporation ‘‘shall state,
the corporation is hereby amended, either in its heading or in an
integrated and restated to read in its introductory paragraph, the
SECURITIES AND EXCHANGE entirety as follows: corporation’s present name, and, if it
COMMISSION * * * * * has been changed, the name under
[Release No. 34–81937; File No. SR– The text of the proposed rule change which it was originally incorporated,
BatsEDGX–2017–40] is available at the Exchange’s Web site and the date of filing of its original
at www.bats.com, at the principal office certificate of incorporation with the
Self-Regulatory Organizations; Bats of the Exchange, and at the secretary of state.’’ The Exchange notes
EDGX Exchange, Inc.; Notice of Filing Commission’s Public Reference Room. that the conformed Certificate did not
and Immediate Effectiveness of a reference the name under which the
II. Self-Regulatory Organization’s
Proposed Rule Change To Make corporation was originally incorporated
Statement of the Purpose of, and
Technical Corrections to Its Second (i.e., ‘‘EDGX Exchange, Inc.’’). In order
Statutory Basis for, the Proposed Rule
sradovich on DSK3GMQ082PROD with NOTICES
Amended and Restated Certificate of to comply with Section 245(c) of the
Change
Incorporation DGCL, the Exchange proposes to amend
In its filing with the Commission, the its Certificate to add a reference to its
October 24, 2017. Exchange included statements original name.
Pursuant to Section 19(b)(1) of the concerning the purpose of and basis for
Securities Exchange Act of 1934 (the 3 See Securities Exchange Act Release No. 81503
1 15 U.S.C. 78s(b)(1). (August 30, 2017), 82 FR 42153 (September 6, 2017)
15 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4. (SR–BatsEDGX–2017–35).
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Document Created: 2017-10-28 00:29:06
Document Modified: 2017-10-28 00:29:06
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
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| Section | Notices | |
| FR Citation | 82 FR 50201 |
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