82 FR 53547 - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fees for Physical Ports as They Apply to the Exchange's Equity Options Platform
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 82, Issue 220 (November 16, 2017)
Federal Register Volume 82, Issue 220 (November 16, 2017)
| Page Range | 53547-53549 | |
| FR Document | 2017-24777 |
[Federal Register Volume 82, Number 220 (Thursday, November 16, 2017)] [Notices] [Pages 53547-53549] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2017-24777] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-82052; File No. SR-BatsBZX-2017-76] Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Its Fees for Physical Ports as They Apply to the Exchange's Equity Options Platform November 9, 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 November 2, 2017, Cboe BZX Exchange, Inc. (``BZX'' or the ``Exchange'') (formerly known as Bats BZX Exchange, Inc.) 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 Exchange. The Exchange has designated the proposed rule change as one establishing or changing a member due, fee, or other charge imposed by the Exchange under Section 19(b)(3)(A)(ii) of the Act \3\ and Rule 19b-4(f)(2) thereunder,\4\ which renders the proposed rule change effective upon filing with the Commission. 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. \3\ 15 U.S.C. 78s(b)(3)(A)(ii). \4\ 17 CFR 240.19b-4(f)(2). --------------------------------------------------------------------------- I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange filed a proposal to amend the fee schedule applicable to Members \5\ and non-Members of the Exchange pursuant to BZX Rules 15.1(a) and (c) to modify its fees for physical ports as they apply to the Exchange's equity options platform (``BZX Options''). --------------------------------------------------------------------------- \5\ The term ``Member'' is defined as ``any registered broker or dealer that has been admitted to membership in the Exchange.'' See Exchange Rule 1.5(n). --------------------------------------------------------------------------- The text of the proposed rule change is available at the Exchange's Web site at www.markets.cboe.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 the Statutory Basis for, the Proposed Rule Change 1. Purpose A physical port is utilized by a Member or non-Member to connect to the Exchange at the data centers where the Exchange's servers are located. The Exchange currently maintains a presence in two third-party data centers: (i) The primary data center where the Exchange's business is primarily conducted on a daily basis, and (ii) a secondary data center, which is predominantly maintained for business continuity purposes. The Exchange currently assesses the following physical connectivity fees for Members and non-Members on a monthly basis: $2,000 per physical port that connects to the System \6\ via 1 gigabyte circuit; [[Page 53548]] and $6,000 per physical port that connects to the System via 10 gigabyte circuit. The Exchange proposes to increase the fee per physical port that connects to the System via a 10 gigabyte circuit from $6,000 per month to $7,000 per month in order to cover its increased infrastructure costs associated with establishing physical ports to connect to the Exchange's Systems and enable it to continue to maintain and improve its market technology and services.\7\ The Exchange does not propose to amend the fee for a 1 gigabyte circuit, which will remain $2,000 per month. The Exchange proposes to implement this amendment to its fee schedule on January 2, 2018. --------------------------------------------------------------------------- \6\ The term ``System'' is defined as ``the electronic communications and trading facility designated by the Board through which securities orders of Users are consolidated for ranking, execution and, when applicable, routing away.'' See Exchange Rule 1.5(aa). \7\ The Exchange also proposes two minor technical amendments to this section of its fee schedule. First is to change the word ``Connection'' to ``Connectivity'' in the section's title. The second is to change references to ``G'' for gigabyte to ``Gb''. --------------------------------------------------------------------------- 2. Statutory Basis The Exchange believes that the proposed rule change is consistent with the objectives of Section 6 of the Act,\8\ in general, and furthers the objectives of Section 6(b)(4),\9\ in particular, as it is designed to provide for the equitable allocation of reasonable dues, fees and other charges among its Members and other persons using its facilities. The Exchange also notes that it operates in a highly- competitive market in which market participants can readily direct order flow to competing venues if they deem fee levels at a particular venue to be excessive. The proposed rule change reflects a competitive pricing structure designed to incent market participants to direct their order flow to the Exchange. --------------------------------------------------------------------------- \8\ 15 U.S.C. 78f. \9\ 15 U.S.C. 78f(b)(4). --------------------------------------------------------------------------- The Exchange believes that the proposed rate is equitable and non- discriminatory in that it applies uniformly to all Members. Members and non-Members will continue to choose whether they want more than one physical port and choose the method of connectivity based on their specific needs. All Members that voluntarily select various service options will be charged the same amount for the same services. As is true of all physical connectivity, all Members and non-Members have the option to select any connectivity option, and there is no differentiation with regard to the fees charged for the service. The Exchange believes that the proposal represents an equitable allocation of reasonable dues, fees, and other charges as its fees for physical connectivity are reasonably constrained by competitive alternatives. If a particular exchange charges excessive fees for connectivity, affected Members and non-Members may opt to terminate their connectivity arrangements with that exchange, and adopt a possible range of alternative strategies, including routing to the applicable exchange through another participant or market center or taking that exchange's data indirectly. Accordingly, if the Exchange charges excessive fees, it would stand to lose not only connectivity revenues but also revenues associated with the execution of orders routed to it, and, to the extent applicable, market data revenues. The Exchange believes that this competitive dynamic imposes powerful restraints on the ability of any exchange to charge unreasonable fees for connectivity. Furthermore, the proposed rule change is also an equitable allocation of reasonable dues, fees, and other charges as the Exchange believes that the increased fees obtained will enable it to cover its increased infrastructure costs associated with establishing physical ports to connect to the Exchange's Systems. The additional revenue from the increased fee will also enable the Exchange to continue to maintain and improve its market technology and services. Lastly, the Exchange believes the fees and credits remain competitive with those charged by other venues and therefore continue to be reasonable and equitably allocated to Members. For instance, the proposed fees for a 10 gigabyte circuit of $7,000 per month is less than analogous fees charged by the Nasdaq Stock Market LLC (``Nasdaq'') and NYSE Arca, Inc. (``Arca''), which range from $10,000--$15,000 per month for 10 gigabyte circuits.\10\ --------------------------------------------------------------------------- \10\ See Nasdaq Rule 7034(b) and the NYSE Arca fee schedule available at https://www.nyse.com/publicdocs/nyse/markets/nyse-arca/NYSE_Arca_Marketplace_Fees.pdf (dated October 11, 2017). --------------------------------------------------------------------------- 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 discussed above, the Exchange believes that fees for connectivity are constrained by the robust competition for order flow among exchanges and non-exchange markets. The Exchange does not believe that the proposed changes represent a significant departure from previous pricing offered by the Exchange or pricing offered by the Exchange's competitors. Additionally, Members may opt to disfavor the Exchange's pricing if they believe that alternatives offer them better value. Further, excessive fees for connectivity would serve to impair an exchange's ability to compete for order flow rather than burdening competition. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others The Exchange has not solicited, and does not intend to solicit, comments on this proposed rule change. The Exchange has not received any unsolicited written comments from Members or other interested parties. 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 \11\ and paragraph (f) of Rule 19b-4 thereunder.\12\ 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. --------------------------------------------------------------------------- \11\ 15 U.S.C. 78s(b)(3)(A). \12\ 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 [email protected]. Please include File Number SR-BatsBZX-2017-76 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-2017-76. 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/ [[Page 53549]] 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-BatsBZX-2017-76, and should be submitted on or before December 7, 2017. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.\13\ --------------------------------------------------------------------------- \13\ 17 CFR 200.30-3(a)(12). --------------------------------------------------------------------------- Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2017-24777 Filed 11-15-17; 8:45 am] BILLING CODE 8011-01-P
![Federal Register / Vol. 82, No. 220 / Thursday, November 16, 2017 / Notices 53547
that each portfolio on average mails two of information unless it displays a solicit comments on the proposed rule
statements per year to meet the currently valid control number. change from interested persons.
requirements of the rule.4 The staff The public may view the background
documentation for this information I. Self-Regulatory Organization’s
further estimates that the time needed to
collection at the following Web site, Statement of the Terms of Substance of
make the determinations required by the
www.reginfo.gov. Comments should be the Proposed Rule Change
rule and to prepare the statement
required under the rule is directed to: (i) Desk Officer for the The Exchange filed a proposal to
approximately 1 hour per statement. Securities and Exchange Commission, amend the fee schedule applicable to
The total annual burden for all Office of Information and Regulatory Members 5 and non-Members of the
portfolios therefore is estimated to be Affairs, Office of Management and Exchange pursuant to BZX Rules 15.1(a)
approximately 23,636 burden hours.5 Budget, Room 10102, New Executive and (c) to modify its fees for physical
The staff estimates that approximately Office Building, Washington, DC 20503, ports as they apply to the Exchange’s
one-third of the total annual burden or by sending an email to: Shagufta_ equity options platform (‘‘BZX
(7,879 hours) would be incurred by a Ahmed@omb.eop.gov; and (ii) Pamela Options’’).
paralegal with an average hourly wage Dyson, Director/Chief Information The text of the proposed rule change
rate of approximately $205 per hour,6 Officer, Securities and Exchange is available at the Exchange’s Web site
and approximately two-thirds of the Commission, c/o Remi Pavlik-Simon, at www.markets.cboe.com, at the
annual burden (15,757 hours) would be 100 F Street NE., Washington, DC 20549 principal office of the Exchange, and at
incurred by a compliance clerk with an or send an email to: PRA_Mailbox@ the Commission’s Public Reference
average hourly wage rate of $66 per sec.gov. Comments must be submitted to Room.
hour.7 The staff therefore estimates that OMB within 30 days of this notice.
II. Self-Regulatory Organization’s
the aggregate annual cost of complying Dated: November 9, 2017. Statement of the Purpose of, and
with the paperwork requirements of the Eduardo A. Aleman, Statutory Basis for, the Proposed Rule
rule is approximately $2,655,157 ((7,879 Assistant Secretary. Change
hours × $205 = $1,615,195) + (15,757 [FR Doc. 2017–24749 Filed 11–15–17; 8:45 am] In its filing with the Commission, the
hours × $66 = $1,039,962)). BILLING CODE P Exchange included statements
To comply with state law, many
concerning the purpose of and basis for
investment companies already must
the proposed rule change and discussed
distinguish the different sources from SECURITIES AND EXCHANGE any comments it received on the
which a shareholder distribution is paid COMMISSION proposed rule change. The text of these
and disclose that information to
[Release No. 34–82052; File No. SR- statements may be examined at the
shareholders. Thus, many investment
BatsBZX–2017–76] places specified in Item IV below. The
companies would be required to
Exchange has prepared summaries, set
distinguish the sources of shareholder Self-Regulatory Organizations; Cboe forth in Sections A, B, and C below, of
dividends whether or not the BZX Exchange, Inc.; Notice of Filing the most significant parts of such
Commission required them to do so and Immediate Effectiveness of statements.
under rule 19a–1. Proposed Rule Change To Modify Its
The estimate of average burden hours Fees for Physical Ports as They Apply A. Self-Regulatory Organization’s
is made solely for the purposes of the to the Exchange’s Equity Options Statement of the Purpose of, and the
Paperwork Reduction Act, and is not Platform Statutory Basis for, the Proposed Rule
derived from a comprehensive or even Change
a representative survey or study of the November 9, 2017.
Pursuant to Section 19(b)(1) of the 1. Purpose
costs of Commission rules. Compliance
with the collection of information Securities Exchange Act of 1934 A physical port is utilized by a
required by rule 19a–1 is mandatory for (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 Member or non-Member to connect to
management companies that make notice is hereby given that on November the Exchange at the data centers where
statements to shareholders pursuant to 2, 2017, Cboe BZX Exchange, Inc. the Exchange’s servers are located. The
section 19(a) of the Act. An agency may (‘‘BZX’’ or the ‘‘Exchange’’) (formerly Exchange currently maintains a
not conduct or sponsor, and a person is known as Bats BZX Exchange, Inc.) filed presence in two third-party data centers:
not required to respond to, a collection with the Securities and Exchange (i) The primary data center where the
Commission (‘‘Commission’’) the Exchange’s business is primarily
4 A few portfolios make monthly distributions proposed rule change as described in conducted on a daily basis, and (ii) a
from sources other than net income, so the rule Items I, II, and III below, which Items secondary data center, which is
requires them to send out a statement 12 times a have been prepared by the Exchange. predominantly maintained for business
year. Other portfolios never make such
distributions.
The Exchange has designated the continuity purposes. The Exchange
5 This estimate is based on the following proposed rule change as one currently assesses the following
calculation: 11,818 management investment establishing or changing a member due, physical connectivity fees for Members
company portfolios × 2 statements per year × 1 hour fee, or other charge imposed by the and non-Members on a monthly basis:
per statement = 23,636 burden hours. Exchange under Section 19(b)(3)(A)(ii)
6 Hourly rates are derived from the Securities
$2,000 per physical port that connects
of the Act 3 and Rule 19b–4(f)(2) to the System 6 via 1 gigabyte circuit;
asabaliauskas on DSKBBXCHB2PROD with NOTICES
Industry and Financial Markets Association
(‘‘SIFMA’’), Management and Professional Earnings thereunder,4 which renders the
in the Securities Industry 2013, modified to account proposed rule change effective upon 5 The term ‘‘Member’’ is defined as ‘‘any
for an 1800-hour work-year and inflation, and filing with the Commission. The registered broker or dealer that has been admitted
multiplied by 5.35 to account for bonuses, firm size, Commission is publishing this notice to to membership in the Exchange.’’ See Exchange
employee benefits, and overhead. Rule 1.5(n).
7 Hourly rates are derived from SIFMA’s Office 6 The term ‘‘System’’ is defined as ‘‘the electronic
1 15 U.S.C. 78s(b)(1).
Salaries in the Securities Industry 2013, modified communications and trading facility designated by
2 17 CFR 240.19b–4.
to account for an 1800-hour work-year and the Board through which securities orders of Users
3 15 U.S.C. 78s(b)(3)(A)(ii).
multiplied by 2.93 to account for bonuses, firm size, are consolidated for ranking, execution and, when
employee benefits and overhead. 4 17 CFR 240.19b–4(f)(2). Continued
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![Federal Register / Vol. 82, No. 220 / Thursday, November 16, 2017 / Notices 53549
rules/sro.shtml). Copies of the SECURITIES AND EXCHANGE 2017,8 May 16, 2017,9 and May 23,
submission, all subsequent COMMISSION 2017,10 Bats BYX Exchange, Inc. (‘‘Bats
amendments, all written statements BYX’’) (n/k/a Cboe BYX Exchange,
with respect to the proposed rule [Release No. 34–82049; File Nos. SR– Inc.),11 Bats BZX Exchange, Inc. (‘‘Bats
change that are filed with the BatsBYX–2017–11; SR–BatsBZX–2017–38; BZX’’) (n/k/a Cboe BZX Exchange,
Commission, and all written SR–BatsEDGA–2017–13; SR–BatsEDGX– Inc.),12 Bats EDGA Exchange, Inc. (‘‘Bats
communications relating to the 2017–22; SR–BOX–2017–16; SR–BX–2017– EDGA’’) (n/k/a Cboe EDGA Exchange,
proposed rule change between the 023; SR–C2–2017–017; SR–CBOE–2017– Inc.),13 Bats EDGX Exchange, Inc. (‘‘Bats
Commission and any person, other than 040; SR–CHX–2017–08; SR–FINRA–2017– EDGX’’) (n/k/a Cboe EDGX Exchange,
those that may be withheld from the 011; SR–GEMX–2017–17; SR–IEX–2017–16; Inc.),14 BOX Options Exchange LLC
SR–ISE–2017–45; SR–MIAX–2017–18; SR–
public in accordance with the (‘‘BOX’’), C2 Options Exchange,
MRX–2017–04; SR–NASDAQ–2017–046;
provisions of 5 U.S.C. 552, will be SR–NYSE–2017–22; SR–NYSEArca–2017– Incorporated (‘‘C2’’) (n/k/a Cboe C2
available for Web site viewing and 52; SR–NYSEMKT–2017–26; SR–PEARL– Options Exchange, Inc.),15 Chicago
printing in the Commission’s Public 2017–20; SR–PHLX–2017–37] Board Options Exchange, Incorporated
Reference Room, 100 F Street NE., (‘‘CBOE’’) (n/k/a Cboe Exchange, Inc.),16
Washington, DC 20549 on official Self-Regulatory Organizations; Bats Chicago Stock Exchange, Inc. (‘‘CHX’’),
business days between the hours of BYX Exchange, Inc.; Bats BZX Financial Industry Regulatory
10:00 a.m. and 3:00 p.m. Copies of such Exchange, Inc.; Bats EDGA Exchange, Authority, Inc. (‘‘FINRA’’), Investors
filing also will be available for Inc.; Bats EDGX Exchange, Inc.; BOX Exchange LLC (‘‘IEX’’), Nasdaq ISE, LLC
inspection and copying at the principal Options Exchange LLC; C2 Options (‘‘ISE’’), Miami International Securities
office of the Exchange. All comments Exchange, Incorporated; Chicago Exchange, LLC (‘‘MIAX’’), MIAX
received will be posted without change. Board Options Exchange, PEARL, LLC (‘‘PEARL’’), Nasdaq BX,
Persons submitting comments are Incorporated; Chicago Stock Inc. (‘‘BX’’), Nasdaq GEMX, LLC
cautioned that we do not redact or edit Exchange, Inc.; Financial Industry (‘‘GEMX’’), Nasdaq MRX, LLC (‘‘MRX’’),
personal identifying information from Regulatory Authority, Inc.; Investors Nasdaq PHLX LLC (‘‘Phlx’’), The
Exchange LLC; Miami International Nasdaq Stock Market LLC (‘‘Nasdaq’’),
comment submissions. You should
Securities Exchange, LLC; MIAX
submit only information that you wish New York Stock Exchange LLC
PEARL LLC; Nasdaq BX, Inc.; Nasdaq
to make available publicly. All (‘‘NYSE’’), NYSE Arca, Inc. (‘‘NYSE
GEMX, LLC; Nasdaq ISE, LLC; Nasdaq
submissions should refer to File MRX, LLC; Nasdaq PHLX LLC; The Arca’’) and NYSE MKT LLC (‘‘NYSE
Number SR–BatsBZX–2017–76, and Nasdaq Stock Market LLC; New York
should be submitted on or before Stock Exchange LLC; NYSE Arca, Inc.
8 BOX Options Exchange LLC originally filed its
December 7, 2017. proposed rule change on May 11, 2017 under File
and NYSE MKT LLC; Notice of No. SR–BOX–2017–15, and subsequently withdrew
For the Commission, by the Division of Designation of Longer Period for that filing and filed a proposed rule change on May
Trading and Markets, pursuant to delegated Commission Action on Proceedings To 15, 2017.
9 Bats BYX Exchange, Inc., C2 Options Exchange,
authority.13 Determine Whether To Approve or
Disapprove Proposed Rule Changes Incorporated and Chicago Board Options Exchange,
Eduardo A. Aleman, Incorporated filed their proposed rule changes on
Assistant Secretary. To Establish Fees for Industry May 16, 2017. Bats EDGA Exchange, Inc. originally
Members To Fund the Consolidated filed its proposed rule change on May 5, 2017 under
[FR Doc. 2017–24777 Filed 11–15–17; 8:45 am]
Audit Trail File No. SR–BatsEDGA–2017–11, and subsequently
BILLING CODE 8011–01–P withdrew that filing on May 11, 2017 and filed a
proposed rule change on May 16, 2017.
November 9, 2017. 10 Bats BZX Exchange, Inc. filed its proposed rule
changes on May 23, 2017. Bats EDGX Exchange,
On May 1, 2017,1 May 2, 2017,2 May Inc. originally filed its proposed rule change on
3, 2017,3 May 8, 2017,4 May 9, 2017,5 May 5, 2017 under File No. SR–BatsEDGX–2017–
May 10, 2017,6 May 12, 2017,7 May 15, 20, and subsequently withdrew that filing on May
10, 2017 and filed a proposed rule change on May
1 Miami International Securities Exchange, LLC 23, 2017.
11 See Securities Exchange Act Release No. 81952
and MIAX PEARL LLC filed their proposed rule
changes on May 1, 2017. (October 26, 2017), 82 FR 50725 (November 1,
2 The Nasdaq Stock Market LLC and Nasdaq BX, 2017). The name change was not yet effective when
Inc. filed their proposed rule changes on May 2, Bats BYX filed SR–BatsBYX–2017–11.
12 See Securities Exchange Act Release No. 81962
2017.
3 Chicago Stock Exchange, Inc. filed its proposed (October 26, 2017), 82 FR 50711 (November 1,
rule change on May 3, 2017. 2017). The name change was not yet effective when
4 Financial Industry Regulatory Authority, Inc. Bats BZX filed SR–BatsBZX–2017–38.
13 See Securities Exchange Act Release No. 81957
filed its proposed rule change on May 8, 2017.
5 Investors Exchange LLC originally filed its (October 26, 2017), 82 FR 50716 (November 1,
proposed rule change on May 3, 2017 under File 2017). The name change was not yet effective when
No. SR–IEX–2017–13, and subsequently withdrew Bats EDGA filed SR–BatsEDGA–2017–13.
14 See Securities Exchange Act Release No. 81963
that filing and filed a proposed rule change on May
9, 2017. (October 26, 2017), 82 FR 50697 (November 1,
asabaliauskas on DSKBBXCHB2PROD with NOTICES
6 The New York Stock Exchange LLC, NYSE Arca, 2017). The name change was not yet effective when
Inc. and NYSE MKT LLC filed their proposed rule Bats EDGX filed SR–BatsEDGX–2017–22.
15 See Securities Exchange Act Release No. 81979
changes on May 10, 2017.
7 Nasdaq GEMX LLC, Nasdaq ISE, LLC, Nasdaq (October 30, 2017), 82 FR 51317 (November 3,
MRX, LLC and Nasdaq PHLX LLC originally filed 2017). The name change was not yet effective when
their proposed rule changes on May 3, 2017 under C2 filed SR–C2–2017–017.
File Nos. SR–GEMX–2017–11, SR–ISE–2017–40, 16 See Securities Exchange Act Release No. 81981
SR–MRX–2017–03, and SR–PHLX–2017–35, and (October 30, 2017), 82 FR 51309 (November 3,
subsequently withdrew those filings and filed 2017). The name change was not yet effective when
13 17 CFR 200.30–3(a)(12). proposed rule changes on May 12, 2017. CBOE filed SR–CBOE–2017–040.
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Document Created: 2017-11-16 03:53:27
Document Modified: 2017-11-16 03:53:27
| 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 53547 |
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