82 FR 51309 - Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect in the Exchange's Governing Documents, Rulebook and Fees Schedules, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 82, Issue 212 (November 3, 2017)
Federal Register Volume 82, Issue 212 (November 3, 2017)
| Page Range | 51309-51311 | |
| FR Document | 2017-23927 |
[Federal Register Volume 82, Number 212 (Friday, November 3, 2017)] [Notices] [Pages 51309-51311] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2017-23927] ======================================================================= ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-81981; File No. SR-CBOE-2017-066] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Reflect in the Exchange's Governing Documents, Rulebook and Fees Schedules, a Non-Substantive Corporate Branding Change, Including Changes to the Company's Name, the Intermediate's Name, and the Exchange's Name October 30, 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 16, 2017, Chicago Board Options Exchange, Incorporated (the ``Exchange'' or ``CBOE'') filed with the Securities and Exchange Commission (the ``Commission'') the proposed rule change as described in Items I, II, and III 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 filed a proposed rule change with respect to amendments of the Second Amended and Restated Certificate of Incorporation (the ``Company's Certificate'') and Third Amended and Restated Bylaws (the '' Company's Bylaws'') of its parent corporation, CBOE Holdings, Inc. (``CBOE Holdings'' or the ``Company'') to change the name of the Company to Cboe Global Markets, Inc. The Exchange also proposes to amend its Third Amended and Restated Certificate of Incorporation (the ``Exchange Certificate''), Eighth Amended and Restated Bylaws of Chicago Board Options, Exchange, Incorporated (the ``Exchange Bylaws''), rulebook and fees schedules (collectively ``operative documents'') in connection with the name change of its parent Company and the Exchange. The text of the proposed rule change is also available on the Exchange's Web site (http://www.cboe.com/AboutCBOE/CBOELegalRegulatoryHome.aspx), at the Exchange's Office of the Secretary, 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 Background The purpose of this filing is to reflect in the Exchange's governing documents (and the governing documents of its parent company, CBOE Holdings) and the Exchange's rulebook and fees schedules, a non- substantive corporate branding change, including changes to the Company's name and the Exchange's name. Particularly, references to Company's and Exchange's names will be deleted and revised to state the new names, as described more fully below. No other substantive changes are being proposed in this filing. The Exchange represents that these changes are concerned solely with the administration of the Exchange and do not affect the meaning, administration, or enforcement of any rules of the Exchange or the rights, obligations, or privileges of Exchange members or their associated persons is [sic] any way. Accordingly, this filing is being submitted under Rule 19b-4(f)(3). In lieu of providing a copy of the marked name changes, the Exchange represents that it will make the necessary non-substantive revisions described below to the Exchange's corporate governance documents, rulebook, and fees schedules, and post updated versions of each on the Exchange's Web site pursuant to Rule 19b-4(m)(2). The Company's Name Change In connection with the corporate name change of its parent company, the Exchange is proposing to amend the Company's Certificate and Bylaws. Specifically, the Company is changing its name from ``CBOE Holdings, Inc.'' to ``Cboe Global Markets, Inc.'' (a) Company's Certificate The Exchange proposes to (i) delete the following language from Paragraph (1) of the introductory paragraph: ``The name of the Corporation is CBOE Holdings, Inc.'' and (ii) amend Article First of the Company's Certificate to reflect the new name, ``Cboe Global Markets, Inc.''. The Exchange also proposes to add clarifying language and cite to the applicable provisions of the General Corporation Law of the State of Delaware in connection with the proposed name change. The Exchange notes that it is not amending the Company's name in the title or signature line as the name changes will not be effective until the Company, as currently named, files the proposed changes in Delaware. Thereafter, the Exchange will amend the Certificate to reflect the new name in the title and signature line. The Exchange also notes that although the Exchange's name is changing, as discussed more fully below, it is not amending the name of the Exchange referenced in Article Fifth(a)(iii) at this time. Particularly, the Exchange notes that unlike the exception applicable to proposed changes to the Company's name,\3\ a vote of stockholders is required to adopt an amendment to the reference of the Exchange's name. As such, the Exchange will submit a rule filing to amend the Certificate to reflect the new Exchange name at such time it is ready to obtain stockholder approval. --------------------------------------------------------------------------- \3\ See Section 242(b) of the General Corporation Law of the State of Delaware. --------------------------------------------------------------------------- (b) Company's Bylaws With respect to the Company's Bylaws, references to ``CBOE Holdings, Inc.'' will be deleted and revised to state ``Cboe Global Markets, Inc.'' The Exchange also proposes to eliminate the reference to ``Chicago Board Options Exchange, Incorporated'' in Article 10, Section 10.2. Particularly, Section 10.2 provides that ``for so long as the Corporation shall control, directly or indirectly, any national securities exchange, including, but not limited to Chicago Board Options Exchange, Incorporated (a ``Regulated Securities Exchange Subsidiary''), before any amendment, alteration or repeal of any provision of the Bylaws shall be [[Page 51310]] effective, such amendment, alteration or repeal shall be submitted to the board of directors of each Regulated Securities Exchange Subsidiary, and if such amendment, alteration or repeal must be filed with or filed with and approved by the Securities and Exchange Commission, then such amendment, alteration or repeal shall not become effective until filed with or filed with and approved by the Securities and Exchange Commission, as the case may be.'' As the Company currently controls a number of Regulated Securities Exchange Subsidiaries, it does not believe it is necessary to explicitly reference only Chicago Board Option Exchange, Incorporated and therefore proposes to delete the following language: ``including, but not limited to Chicago Board Options Exchange, Incorporated''. The Exchange's Name Change For purposes of consistency, certain of the Parent's subsidiaries have also undertaken to change their legal names. As a result, the Exchange also proposes to change its name from ``Chicago Board Options Exchange, Incorporated'' to ``Cboe Exchange, Inc.'' throughout its rules, fees schedules and corporate documents. The Exchange is also changing references to ``CBOE'' to ``Cboe Options'', with certain exceptions described below. Lastly, the Exchange is changing the name of ``Market Data Express, LLC'' to ``Cboe Data Services, LLC'' and consequently also changing references to ``MDX'' to ``CDS''. Therefore, the Exchange proposes to amend its: (i) Third Amended and Restated Certificate of Incorporation of Chicago Board Options Exchange, Incorporated (ii) Eighth Amended and Restated Bylaws of Chicago Board Options Exchange, Incorporated, (iii) Rulebook, (iv) Fees Schedule and (v) Market Data Express, LLC Fees Schedule (collectively, the ``Operative Documents'') to reflect the name changes. (a) Exchange's Certificate The Exchange proposes to (i) delete the following language from the introductory paragraph: ``The name of the Corporation is Chicago Board Options Exchange, Incorporated'' and (ii) amend Article First of the Exchange's Certificate to reflect the new name, ``Cboe Exchange, Inc.''. The Exchange also proposes to change references to its parent company, ``CBOE Holdings, Inc.'' to ``Cboe Global Markets, Inc.''. The Exchange notes that it is not amending the Exchange's name in the title or signature line as the name changes will not be effective until the Exchange, as currently named, files the proposed changes in Delaware. Thereafter, the Exchange will amend the Certificate to reflect the new name in the title and signature line. (b) Exchange's Bylaws For the Exchange's Bylaws, all references to ``Chicago Board Options Exchange, Incorporated'' will be deleted and revised to state ``Cboe Exchange, Inc.''. Additionally, a reference to its parent company, ``CBOE Holdings, Inc.'' will be deleted and revised to state ``Cboe Global Markets, Inc.''. (c) Exchange's Rulebook For the Rules of Chicago Board Options Exchange, Incorporated, all references to ``Chicago Board Options Exchange, Incorporated'', ``Chicago Board Options Exchange, Inc.'' and ``Chicago Board Options Exchange'' will be deleted and revised to state ``Cboe Exchange, Inc.''. Additionally, notwithstanding the below exceptions, all references to ``CBOE'', will be deleted and revised to state ``Cboe Options''. The Exchange notes that references to ``CBOE'' that precedes any product name (e.g., ``CBOE Bio Tech'') \4\ will be deleted and revised to state ``Cboe''. Similarly, any references to ``CBOE Command'', ``CBOE Application Server'', ``CBOE Market Interface'' and CBOE Livevol, LLC'' will be deleted and revised to state ``Cboe Command'', ``Cboe Application Server'', ``Cboe Market Interface'' and ``Cboe Livevol, LLC'', respectively. Lastly, the Exchange notes that any references to its parent company, ``CBOE Holdings, Inc.'' will be deleted and revised to state ``Cboe Global Markets, Inc.''. --------------------------------------------------------------------------- \4\ See Rule 24.1, Interpretation and Policies .01 (Definitions). --------------------------------------------------------------------------- (d) Exchange's Fees Schedule For the Chicago Board Options Exchange, Incorporated Fees Schedule, any reference to ``Chicago Board Options Exchange, Incorporated'' will be deleted and revised to state ``Cboe Exchange, Inc.''. Additionally, all references to ``CBOE'' will be deleted and revised to state ``Cboe Options'', with the exception that any references to ``CBOE Command'' will be deleted and revised to state ``Cboe Command''. (e) Market Data Express, LLC Fees Schedule For the Market Data Express, LLC Fees Schedule, all references to ``Market Data Express, LLC'' will be deleted and revised to state ``Cboe Data Services, LLC'' and references to ``CBOE Streaming Markets'' will be deleted in its entirety. Additionally references to ``MDX'' will be deleted and revised to state ``CDS''. Finally, all references to ``CBOE'' will be deleted and revised to state ``Cboe Options''. 2. Statutory Basis The Exchange believes the proposed rule change is consistent with the Securities Exchange Act of 1934 (the ``Act'') and the rules and regulations thereunder applicable to the Exchange and, in particular, the requirements of Section 6(b) of the Act.\5\ Specifically, the Exchange believes the proposed rule change is consistent with the Section 6(b)(5) \6\ requirements that the rules of an exchange be designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to foster cooperation and coordination with persons engaged in regulating, clearing, settling, processing information with respect to, and 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. --------------------------------------------------------------------------- \5\ 15 U.S.C. 78f(b). \6\ 15 U.S.C. 78f(b)(5). --------------------------------------------------------------------------- In particular, the proposed change is a non-substantive change and does not impact the governance, ownership or operations of the Exchange. The Exchange believes that by ensuring that its parent company's governance documents and the Exchanges operative documents accurately reflect the new legal names, the proposed rule change would reduce potential investor or market participant confusion. 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 that is not necessary or appropriate in furtherance of the purposes of the Act. The proposed rule change is not intended to address competitive issues but rather is concerned solely with updating the Company's and Exchange's governance and operative documents to reflect the abovementioned name changes. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others The Exchange neither solicited nor received comments on the proposed rule change. [[Page 51311]] 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 \7\ and paragraph (f) of Rule 19b-4 \8\ thereunder. 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 will institute proceedings to determine whether the proposed rule change should be approved or disapproved. --------------------------------------------------------------------------- \7\ 15 U.S.C. 78s(b)(3)(A). \8\ 17 CFR 240.19b-4(f). --------------------------------------------------------------------------- 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 rule-comments@sec.gov. Please include File Number SR-CBOE-2017-066 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-CBOE-2017-066. 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. 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-CBOE-2017-066 and should be submitted on or before November 24, 2017. --------------------------------------------------------------------------- \9\ 17 CFR 200.30-3(a)(12). For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.\9\ Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2017-23927 Filed 11-2-17; 8:45 am] BILLING CODE 8011-01-P
![Federal Register / Vol. 82, No. 212 / Friday, November 3, 2017 / Notices 51309
SW., Washington, DC 20260–1000. name change of its parent Company and The Company’s Name Change
Telephone: (202) 268–4800. the Exchange. In connection with the corporate
Julie S. Moore, The text of the proposed rule change name change of its parent company, the
Secretary. is also available on the Exchange’s Web Exchange is proposing to amend the
site (http://www.cboe.com/AboutCBOE/ Company’s Certificate and Bylaws.
[FR Doc. 2017–24069 Filed 11–1–17; 11:15 am]
CBOELegalRegulatoryHome.aspx), at Specifically, the Company is changing
BILLING CODE 7710–12–P
the Exchange’s Office of the Secretary, its name from ‘‘CBOE Holdings, Inc.’’ to
and at the Commission’s Public ‘‘Cboe Global Markets, Inc.’’
Reference Room.
SECURITIES AND EXCHANGE (a) Company’s Certificate
COMMISSION II. Self-Regulatory Organization’s The Exchange proposes to (i) delete
Statement of the Purpose of, and the following language from Paragraph
[Release No. 34–81981; File No. SR–CBOE–
Statutory Basis for, the Proposed Rule (1) of the introductory paragraph: ‘‘The
2017–066]
Change name of the Corporation is CBOE
Self-Regulatory Organizations; In its filing with the Commission, the Holdings, Inc.’’ and (ii) amend Article
Chicago Board Options Exchange, Exchange included statements First of the Company’s Certificate to
Incorporated; Notice of Filing and concerning the purpose of and basis for reflect the new name, ‘‘Cboe Global
Immediate Effectiveness of a Proposed the proposed rule change and discussed Markets, Inc.’’. The Exchange also
Rule Change To Reflect in the any comments it received on the proposes to add clarifying language and
Exchange’s Governing Documents, proposed rule change. The text of these cite to the applicable provisions of the
Rulebook and Fees Schedules, a Non- statements may be examined at the General Corporation Law of the State of
Substantive Corporate Branding places specified in Item IV below. The Delaware in connection with the
Change, Including Changes to the Exchange has prepared summaries, set proposed name change. The Exchange
Company’s Name, the Intermediate’s forth in sections A, B, and C below, of notes that it is not amending the
Name, and the Exchange’s Name the most significant aspects of such Company’s name in the title or signature
statements. line as the name changes will not be
October 30, 2017. effective until the Company, as
Pursuant to Section 19(b)(1) of the A. Self-Regulatory Organization’s currently named, files the proposed
Securities Exchange Act of 1934 (the Statement of the Purpose of, and changes in Delaware. Thereafter, the
‘‘Act’’),1 and Rule 19b–4 thereunder,2 Statutory Basis for, the Proposed Rule Exchange will amend the Certificate to
notice is hereby given that on October Change reflect the new name in the title and
16, 2017, Chicago Board Options signature line. The Exchange also notes
Exchange, Incorporated (the ‘‘Exchange’’ 1. Purpose
that although the Exchange’s name is
or ‘‘CBOE’’) filed with the Securities Background changing, as discussed more fully
and Exchange Commission (the below, it is not amending the name of
‘‘Commission’’) the proposed rule The purpose of this filing is to reflect
in the Exchange’s governing documents the Exchange referenced in Article
change as described in Items I, II, and Fifth(a)(iii) at this time. Particularly, the
III below, which Items have been (and the governing documents of its
parent company, CBOE Holdings) and Exchange notes that unlike the
prepared by the Exchange. The exception applicable to proposed
Commission is publishing this notice to the Exchange’s rulebook and fees
schedules, a non-substantive corporate changes to the Company’s name,3 a vote
solicit comments on the proposed rule of stockholders is required to adopt an
change from interested persons. branding change, including changes to
the Company’s name and the amendment to the reference of the
I. Self-Regulatory Organization’s Exchange’s name. As such, the
Exchange’s name. Particularly,
Statement of the Terms of Substance of Exchange will submit a rule filing to
references to Company’s and Exchange’s
the Proposed Rule Change amend the Certificate to reflect the new
names will be deleted and revised to
Exchange name at such time it is ready
The Exchange filed a proposed rule state the new names, as described more
to obtain stockholder approval.
change with respect to amendments of fully below. No other substantive
the Second Amended and Restated changes are being proposed in this (b) Company’s Bylaws
Certificate of Incorporation (the filing. The Exchange represents that With respect to the Company’s
‘‘Company’s Certificate’’) and Third these changes are concerned solely with Bylaws, references to ‘‘CBOE Holdings,
Amended and Restated Bylaws (the ’’ the administration of the Exchange and Inc.’’ will be deleted and revised to state
Company’s Bylaws’’) of its parent do not affect the meaning, ‘‘Cboe Global Markets, Inc.’’ The
corporation, CBOE Holdings, Inc. administration, or enforcement of any Exchange also proposes to eliminate the
(‘‘CBOE Holdings’’ or the ‘‘Company’’) rules of the Exchange or the rights, reference to ‘‘Chicago Board Options
to change the name of the Company to obligations, or privileges of Exchange Exchange, Incorporated’’ in Article 10,
Cboe Global Markets, Inc. The Exchange members or their associated persons is Section 10.2. Particularly, Section 10.2
also proposes to amend its Third [sic] any way. Accordingly, this filing is provides that ‘‘for so long as the
Amended and Restated Certificate of being submitted under Rule 19b–4(f)(3). Corporation shall control, directly or
Incorporation (the ‘‘Exchange In lieu of providing a copy of the indirectly, any national securities
Certificate’’), Eighth Amended and marked name changes, the Exchange exchange, including, but not limited to
Restated Bylaws of Chicago Board represents that it will make the Chicago Board Options Exchange,
ethrower on DSK3G9T082PROD with NOTICES
Options, Exchange, Incorporated (the necessary non-substantive revisions Incorporated (a ‘‘Regulated Securities
‘‘Exchange Bylaws’’), rulebook and fees described below to the Exchange’s Exchange Subsidiary’’), before any
schedules (collectively ‘‘operative corporate governance documents, amendment, alteration or repeal of any
documents’’) in connection with the rulebook, and fees schedules, and post provision of the Bylaws shall be
updated versions of each on the
1 15 U.S.C. 78s(b)(1). Exchange’s Web site pursuant to Rule 3 See Section 242(b) of the General Corporation
2 17 CFR 240.19b–4. 19b–4(m)(2). Law of the State of Delaware.
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![Federal Register / Vol. 82, No. 212 / Friday, November 3, 2017 / Notices 51311
III. Date of Effectiveness of the Reference Room, 100 F Street NE., Register on May 4, 2017.3 On June 15,
Proposed Rule Change and Timing for Washington, DC 20549, on official 2017, pursuant to Section 19(b)(2) of the
Commission Action business days between the hours of Exchange Act,4 the Commission
The foregoing rule change has become 10:00 a.m. and 3:00 p.m. Copies of the designated a longer period within which
effective pursuant to Section 19(b)(3)(A) filing also will be available for to approve the proposed rule change,
of the Act 7 and paragraph (f) of Rule inspection and copying at the principal disapprove the proposed rule change, or
19b–4 8 thereunder. At any time within office of the Exchange. All comments institute proceedings to determine
60 days of the filing of the proposed rule received will be posted without change. whether to disapprove the proposed
change, the Commission summarily may Persons submitting comments are rule change.5 The Commission received
temporarily suspend such rule change if cautioned that we do not redact or edit four comments on the proposed rule
it appears to the Commission that such personal identifying information from change.6 On July 31, 2017, the
action is necessary or appropriate in the comment submissions. You should Commission instituted proceedings
public interest, for the protection of submit only information that you wish under Section 19(b)(2)(B) of the
investors, or otherwise in furtherance of to make available publicly. All Exchange Act 7 to determine whether to
the purposes of the Act. If the submissions should refer to File approve or disapprove the proposed
Commission takes such action, the Number SR–CBOE–2017–066 and rule change.8 Since then, the
Commission will institute proceedings should be submitted on or before Commission has received five
to determine whether the proposed rule November 24, 2017. additional comments on the proposed
change should be approved or rule change.9
For the Commission, by the Division of
disapproved. Section 19(b)(2) of the Act 10 provides
Trading and Markets, pursuant to delegated
authority.9 that, after initiating proceedings, the
IV. Solicitation of Comments Commission shall issue an order
Eduardo A. Aleman,
Interested persons are invited to approving or disapproving the proposed
Assistant Secretary. rule change not later than 180 days after
submit written data, views, and
[FR Doc. 2017–23927 Filed 11–2–17; 8:45 am] the date of publication of notice of filing
arguments concerning the foregoing,
including whether the proposed rule BILLING CODE 8011–01–P of the proposed rule change. The
change is consistent with the Act. Commission, however, may extend the
Comments may be submitted by any of period for issuing an order approving or
SECURITIES AND EXCHANGE disapproving the proposed rule change
the following methods:
COMMISSION by not more than 60 days if the
Electronic Comments
• Use the Commission’s Internet [Release No. 34–81977; File No. SR– 3 See Securities Exchange Act Release No. 80553
comment form (http://www.sec.gov/ NYSEArca–2017–36] (April 28, 2017), 82 FR 20932.
4 15 U.S.C. 78s(b)(2).
rules/sro.shtml); or 5 See Securities Exchange Act Release No. 80935,
• Send an email to rule-comments@ Self-Regulatory Organizations; NYSE
Arca, Inc.; Notice of Designation of 82 FR 28152 (June 20, 2017). The Commission
sec.gov. Please include File Number SR– designated August 2, 2017, as the date by which it
CBOE–2017–066 on the subject line. Longer Period for Commission Action should approve or disapprove, or institute
on Proceedings To Determine Whether proceedings to determine whether to disapprove,
Paper Comments To Approve or Disapprove a Proposed the proposed rule change.
• Send paper comments in triplicate
6 See Letter from Gary L. Gastineau, President,
Rule Change To Adopt NYSE Arca
ETF Consultants.com, Inc., to Brent J. Fields,
to Brent J. Fields, Secretary, Securities Equities Rule 8.900 To Permit Listing Secretary, Commission, dated May 24, 2017; Letter
and Exchange Commission, 100 F Street and Trading of Managed Portfolio from Todd J. Broms, Chief Executive Officer, Broms
NE., Washington, DC 20549–1090. Shares and To List and Trade Shares & Company LLC, to Brent J. Fields, Secretary,
of the Royce Pennsylvania ETF, Royce Commission, dated May 25, 2017; Letter from James
All submissions should refer to File J. Angel, Associate Professor of Finance,
Number SR–CBOE–2017–066. This file Premier ETF, and Royce Total Return Georgetown University, McDonough School of
number should be included on the ETF Under Proposed NYSE Arca Business, to the Commission, dated May 25, 2017;
subject line if email is used. To help the Equities Rule 8.900 and Terence W. Norman, Founder, Blue Tractor
Group, LLC, to Brent J. Fields, Secretary,
Commission process and review your Commission, dated July 18, 2017. The comment
October 30, 2017.
comments more efficiently, please use letters are available on the Commission’s Web site
only one method. The Commission will On April 14, 2017, NYSE Arca, Inc. at: https://www.sec.gov/comments/sr-nysearca-
post all comments on the Commission’s (‘‘Exchange’’ or ‘‘NYSE Arca’’) filed 2017-36/nysearca2017-36.htm.
7 15 U.S.C. 78s(b)(2)(B).
Internet Web site (http://www.sec.gov/ with the Securities and Exchange
8 See Securities Exchange Act Release No. 81267,
rules/sro.shtml). Copies of the Commission (‘‘Commission’’), pursuant
82 FR 36510 (August 4, 2017).
submission, all subsequent to Section 19(b)(1) of the Securities 9 See Letter from Christopher P. Wilcox, J.P.
amendments, all written statements Exchange Act of 1934 (‘‘Exchange Morgan Asset Management, to David W. Grim,
with respect to the proposed rule Act’’) 1 and Rule 19b–4 thereunder,2 a Director, Division of Investment Management,
change that are filed with the proposed rule change to: (1) Adopt Commission, dated July 7, 2017; Letter from Mark
Criscitello, Chairman, Precidian Funds LLC, to
Commission, and all written NYSE Arca Equities Rule 8.900 Brent J. Fields, Secretary, Commission, dated
communications relating to the (Managed Portfolio Shares); and (2) list October 11, 2017; Letter from Daniel J. McCabe,
proposed rule change between the and trade shares of the Royce Chief Executive, Precidian Investments, to Brent J.
Commission and any person, other than Pennsylvania ETF, Royce Premier ETF, Fields, Secretary, Commission, dated October 12,
2017; Letter from Andrew M. Gross, Jr., to Jay
those that may be withheld from the and Royce Total Return ETF under
ethrower on DSK3G9T082PROD with NOTICES
Clayton, Chairman, Commission, dated October 16,
public in accordance with the proposed NYSE Arca Equities Rule 2017; and Letter from Joseph A. Sullivan, Chairman
provisions of 5 U.S.C. 552, will be 8.900. The proposed rule change was and Chief Executive Officer, Legg Mason, Inc., to
available for Web site viewing and published for comment in the Federal Brent J. Fields, Secretary, Commission, dated
October 12, 2017. The comment letters are available
printing in the Commission’s Public on the Commission’s Web site at: https://
9 17 CFR 200.30–3(a)(12). www.sec.gov/comments/sr-nysearca-2017-36/
7 15 U.S.C. 78s(b)(3)(A). 1 15 U.S.C. 78s(b)(1). nysearca201736.htm.
8 17 CFR 240.19b–4(f). 2 17 CFR 240.19b–4. 10 15 U.S.C. 78s(b)(2).
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Document Created: 2018-10-25 10:23:46
Document Modified: 2018-10-25 10:23:46
| 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 51309 |
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