82 FR 57639 - Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 82, Issue 233 (December 6, 2017)
Federal Register Volume 82, Issue 233 (December 6, 2017)
| Page Range | 57639-57641 | |
| FR Document | 2017-26222 |
[Federal Register Volume 82, Number 233 (Wednesday, December 6, 2017)] [Notices] [Pages 57639-57641] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2017-26222] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-82189; File No. SR-FINRA-2017-034] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Trade Reporting Facility Limited Liability Company Agreements November 30, 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 21, 2017, Financial Industry Regulatory Authority, Inc. (``FINRA'') 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 FINRA. FINRA has designated the proposed rule change as concerned solely with the administration of the self-regulatory organization under Section 19(b)(3)(A)(iii) of the Act \3\ and Rule 19b-4(f)(3) thereunder,\4\ which renders the proposal effective upon receipt of this filing by 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)(iii). \4\ 17 CFR 240.19b-4(f)(3). --------------------------------------------------------------------------- I. Self-Regulatory Organization's Statement of the Terms of the Substance of the Proposed Rule Change FINRA is proposing to make technical changes to FINRA's Trade Reporting Facility limited liability company agreements, as they appear in the FINRA Manual, to reflect the second amendment and restatement of such agreements. The text of the proposed rule change is available on FINRA's Web site at http://www.finra.org, at the principal office of FINRA 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, FINRA 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. FINRA 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 FINRA Trade Reporting Facilities (``TRFs'') are facilities that FINRA members use to report over-the-counter (``OTC'') transactions in NMS stocks in accordance with FINRA rules. There currently are two TRFs: The FINRA/Nasdaq TRF and the FINRA/NYSE TRF.\5\ The operation of each TRF is [[Page 57640]] governed by a Limited Liability Company Agreement (the ``TRF LLC Agreement'') between FINRA and the respective ``Business Member,'' each of which is itself an affiliate of a self-regulatory organization (``SRO''). The TRF LLC Agreements, which were submitted as part of the rule filings to establish the respective TRFs and were subsequently amended and restated,\6\ appear in the FINRA Manual. --------------------------------------------------------------------------- \5\ The establishment of each TRF was subject to a proposed rule change filed with the Commission. See Securities Exchange Act Release No. 54084 (June 30, 2006), 71 FR 38935 (July 10, 2006) (Order Approving File No. SR-NASD-2005-087); and Securities Exchange Act Release No. 55325 (February 21, 2007), 72 FR 8820 (February 27, 2007) (Notice of Filing and Immediate Effectiveness of File No. SR- NASD-2007-011). \6\ See Securities Exchange Act Release No. 62064 (May 10, 2010), 75 FR 27606 (May 17, 2010) (Notice of Filing and Immediate Effectiveness of File No. SR-FINRA-2010-020). --------------------------------------------------------------------------- Under each TRF LLC Agreement, FINRA is the ``SRO Member'' and has sole regulatory responsibility for the TRF, including real-time monitoring and T+1 surveillance, development and enforcement of trade reporting rules and submission of proposed rule changes to the Commission. The Business Member under each TRF LLC Agreement is primarily responsible for the management of the TRF's business affairs, which may not be conducted in a manner inconsistent with the regulatory and oversight functions of FINRA. Among other things, the Business Member establishes pricing for the TRF and is obligated to pay the cost of regulation and is entitled to the profits and losses, if any, derived from operation of the TRF. The Business Member also provides the ``user facing'' front-end technology used to operate the TRF and transmit in real time trade report data directly to the NMS securities information processors (``SIPs'') and to FINRA for audit trail purposes. FINRA and the TRF Business Members recently executed second amended and restated TRF LLC Agreements to reflect the change in name of each Business Member. Specifically, the FINRA/Nasdaq TRF Business Member, formerly NASDAQ OMX Group, Inc., is now known as Nasdaq, Inc., and the FINRA/NYSE TRF Business Member, formerly NYSE Market, Inc., is now known as NYSE Market (DE), Inc. As part of the second amended and restated TRF LLC Agreements, FINRA and the Business Members also updated the schedules relating to the respective TRF officers and directors. Schedule C of each TRF LLC Agreement is the management agreement that all TRF directors must sign.\7\ Rather than reflect the executed version of the management agreement, Schedule C of each TRF LLC Agreement now reflects the form of management agreement only and new Schedule E of each TRF LLC Agreement specifically identifies the directors of the TRF (each of whom, as noted above, is required to sign the management agreement that appears at Schedule C). Schedule D of each TRF LLC Agreement identifies the officers of the TRF and was updated as part of the second amended and restated agreement. Also as part of the second amendment and restatement of the agreements, FINRA and the Business Members revised Section 27 of each TRF LLC Agreement to expressly provide that the parties may update Schedules D and E from time to time by notice, without also needing to amend and restate the TRF LLC Agreement. --------------------------------------------------------------------------- \7\ Pursuant to each TRF LLC Agreement, the TRF board of directors is comprised of three directors. The Business Member is entitled to designate two directors and the SRO Member is entitled to designate one director. --------------------------------------------------------------------------- FINRA is proposing to make technical changes to the TRF LLC Agreements, as they appear in the FINRA Manual, to reflect the second amended and restated TRF LLC Agreements.\8\ The terms and conditions of the second amended and restated TRF LLC Agreements are identical to those of the first amended and restated TRF LLC Agreements. --------------------------------------------------------------------------- \8\ FINRA also is proposing a conforming change to Rule 7640A(a) (Data Products Offered by NASDAQ) to reflect the change in name from The NASDAQ OMX Group, Inc. to Nasdaq, Inc. --------------------------------------------------------------------------- In addition, because the parties may update Schedules D and E from time to time, without needing to also amend and restate the TRF LLC Agreements, FINRA is proposing to provide the current schedules--with the current lists of TRF officers and directors--on FINRA's public Web site, rather than in the FINRA Manual.\9\ FINRA believes that this would obviate the need to submit a proposed rule change each time there is a change in the officers or directors of the TRF. Thus, in lieu of reflecting the schedules themselves, the FINRA Manual will provide that FINRA maintains current Schedules D and E on its public Web site. FINRA will post the current Schedules D and E promptly upon the filing of the proposed rule change and going forward will promptly update its Web site to reflect any future updates to the Schedules. --------------------------------------------------------------------------- \9\ FINRA anticipates that the current schedules will be accessible from the TRF page of the FINRA public Web site: http://www.finra.org/industry/trf. --------------------------------------------------------------------------- Set forth in the table below is a current list of FINRA/Nasdaq TRF officers and directors, as reflected in Schedules D and E, respectively, of the FINRA/Nasdaq TRF LLC Agreement: ------------------------------------------------------------------------ Name Title ------------------------------------------------------------------------ Officers of The FINRA/Nasdaq TRF LLC ------------------------------------------------------------------------ Paul Roland............................... President Joan C. Conley............................ Secretary Peter Strandell........................... Treasurer Michael Caramico.......................... Assistant Treasurer Amy Kohn.................................. Vice President ------------------------------------------------------------------------ Directors of The FINRA/Nasdaq TRF LLC ------------------------------------------------------------------------ John Zecca (designated by the Business Member) Tal Cohen (designated by the Business Member) Thomas Gira (designated by the SRO Member) ------------------------------------------------------------------------ Set forth in the table below is a current list of FINRA/NYSE TRF officers and directors, as reflected in Schedules D and E, respectively, of the FINRA/NYSE TRF LLC Agreement: ------------------------------------------------------------------------ Name Title ------------------------------------------------------------------------ Officers of The FINRA/NYSE TRF LLC ------------------------------------------------------------------------ Robert Hill............................... President Scott Hill................................ Chief Financial Officer Doug Foley................................ Senior Vice President Karen Lorentz............................. Vice President Martin Hunter............................. Senior Vice President, Tax & Treasury Elizabeth King............................ General Counsel & Secretary Martha Redding............................ Assistant Secretary Andrew Surdykowski........................ Assistant Secretary Sandra Kerr............................... Senior Tax Director David Nevin............................... Senior Treasury Director ------------------------------------------------------------------------ Directors of The FINRA/NYSE TRF LLC ------------------------------------------------------------------------ Paul Adcock (designated by the Business Member) Robert Hill (designated by the Business Member) Thomas Gira (designated by the SRO Member) ------------------------------------------------------------------------ As noted above, current Schedules D and E will be posted on FINRA's public Web site and will not appear in the FINRA Manual. Going forward, changes to these schedules will only be reflected on FINRA's public Web site. FINRA has filed the proposed rule change for immediate effectiveness. The effective date will be the date of filing 2. Statutory Basis FINRA believes that the proposed rule change is consistent with the provisions of Section 15A(b)(6) of the Act,\10\ which requires, among other things, that FINRA rules must be designed to prevent fraudulent and manipulative [[Page 57641]] acts and practices, to promote just and equitable principles of trade, and, in general, to protect investors and the public interest. FINRA believes that the proposed rule change will enhance the information available to members and the public regarding FINRA's TRF LLC Agreements in that the current agreements will be reflected in the FINRA manual and updated Schedules D and E will be readily available on FINRA's public Web site. Thus, the proposed rule change will ensure that the most current information regarding the TRF LLC Agreements will be readily available to members and the public. --------------------------------------------------------------------------- \10\ 15 U.S.C. 78o-3(b)(6). --------------------------------------------------------------------------- B. Self-Regulatory Organization's Statement on Burden on Competition FINRA does not believe that the proposed rule change will result in any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. The proposed rule change makes technical changes to the TRF LLC Agreements, as they appear in the FINRA Manual, to reflect the second amended and restated agreements executed by the parties. The terms and conditions of the TRF LLC Agreements have not changed. Accordingly, FINRA does not believe that there are any material economic impacts associated with the proposed rule change. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others Written comments were neither solicited nor received. 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)(3) 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. If the Commission takes such action, the Commission shall institute proceedings to determine whether the proposed rule should be approved or disapproved. --------------------------------------------------------------------------- \11\ 15 U.S.C. 78s(b)(3)(A). \12\ 17 CFR 240.19b-4(f)(3). --------------------------------------------------------------------------- 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-FINRA-2017-034 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-FINRA-2017-034. 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 FINRA. 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-FINRA-2017-034, and should be submitted on or before December 27, 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. 2017-26222 Filed 12-5-17; 8:45 am] BILLING CODE 8011-01-P
![Federal Register / Vol. 82, No. 233 / Wednesday, December 6, 2017 / Notices 57639
waiving the 30-day operative delay is Internet Web site (http://www.sec.gov/ III below, which Items have been
consistent with the protection of rules/sro.shtml). Copies of the prepared by FINRA. FINRA has
investors and the public interest. submission, all subsequent designated the proposed rule change as
According to the Exchange, waiver of amendments, all written statements concerned solely with the
the 30-day operative delay would with respect to the proposed rule administration of the self-regulatory
permit the timely implementation of change that are filed with the organization under Section
Fund efficiencies resulting from Commission, and all written 19(b)(3)(A)(iii) of the Act 3 and Rule
tracking an index that requires the communications relating to the 19b–4(f)(3) thereunder,4 which renders
writing of a single option on the proposed rule change between the the proposal effective upon receipt of
Reference Index, instead of writing Commission and any person, other than this filing by the Commission. The
options on multiple options-eligible those that may be withheld from the Commission is publishing this notice to
securities in the Reference Index. In public in accordance with the solicit comments on the proposed rule
addition, the Commission believes that provisions of 5 U.S.C. 552, will be change from interested persons.
the proposal does not raise unique or available for Web site viewing and
novel regulatory issues. Therefore, the printing in the Commission’s Public I. Self-Regulatory Organization’s
Commission hereby waives the 30-day Reference Room, 100 F Street NE., Statement of the Terms of the Substance
operative delay and designates the Washington, DC 20549 on official of the Proposed Rule Change
proposal operative upon filing.24 business days between the hours of FINRA is proposing to make technical
At any time within 60 days of the 10:00 a.m. and 3:00 p.m. Copies of the changes to FINRA’s Trade Reporting
filing of the proposed rule change, the filing also will be available for Facility limited liability company
Commission summarily may inspection and copying at the principal agreements, as they appear in the
temporarily suspend the rule change if office of the Exchange. All comments FINRA Manual, to reflect the second
it appears to the Commission that such received will be posted without change. amendment and restatement of such
action is necessary or appropriate in the Persons submitting comments are agreements.
public interest, for the protection of cautioned that we do not redact or edit The text of the proposed rule change
investors, or otherwise in furtherance of personal identifying information from is available on FINRA’s Web site at
the purposes of the Act. If the comment submissions. You should http://www.finra.org, at the principal
Commission takes such action, the submit only information that you wish office of FINRA and at the
Commission shall institute proceedings to make available publicly. All Commission’s Public Reference Room.
to determine whether the proposed rule submissions should refer to File
change should be approved or II. Self-Regulatory Organization’s
Number SR–NYSEArca–2017–123 and
disapproved. should be submitted on or before Statement of the Purpose of, and
December 27, 2017. Statutory Basis for, the Proposed Rule
IV. Solicitation of Comments Change
For the Commission, by the Division of
Interested persons are invited to Trading and Markets, pursuant to delegated In its filing with the Commission,
submit written data, views, and authority.25 FINRA included statements concerning
arguments concerning the foregoing, Eduardo A. Aleman the purpose of and basis for the
including whether the proposed rule proposed rule change and discussed any
Assistant Secretary.
change is consistent with the Act. comments it received on the proposed
[FR Doc. 2017–26223 Filed 12–5–17; 8:45 am]
Comments may be submitted by any of rule change. The text of these statements
BILLING CODE 8011–01–P
the following methods: may be examined at the places specified
Electronic Comments in Item IV below. FINRA has prepared
SECURITIES AND EXCHANGE summaries, set forth in sections A, B,
• Use the Commission’s Internet and C below, of the most significant
comment form (http://www.sec.gov/ COMMISSION
aspects of such statements.
rules/sro.shtml); or [Release No. 34–82189; File No. SR–FINRA–
• Send an email to rule-comments@ 2017–034] A. Self-Regulatory Organization’s
sec.gov. Please include File Number SR– Statement of the Purpose of, and
NYSEArca–2017–123 on the subject Self-Regulatory Organizations; Statutory Basis for, the Proposed Rule
line. Financial Industry Regulatory Change
Authority, Inc.; Notice of Filing and
Paper Comments Immediate Effectiveness of a Proposed 1. Purpose
• Send paper comments in triplicate Rule Change Relating to the Trade The FINRA Trade Reporting Facilities
to Secretary, Securities and Exchange Reporting Facility Limited Liability (‘‘TRFs’’) are facilities that FINRA
Commission, 100 F Street NE., Company Agreements members use to report over-the-counter
Washington, DC 20549–1090. (‘‘OTC’’) transactions in NMS stocks in
November 30, 2017.
All submissions should refer to File accordance with FINRA rules. There
Pursuant to Section 19(b)(1) of the currently are two TRFs: The FINRA/
Number SR–NYSEArca–2017–123. This Securities Exchange Act of 1934
file number should be included on the Nasdaq TRF and the FINRA/NYSE
(‘‘Act’’) 1 and Rule 19b–4 thereunder,2 TRF.5 The operation of each TRF is
subject line if email is used. To help the notice is hereby given that on November
Commission process and review your 21, 2017, Financial Industry Regulatory 3 15 U.S.C. 78s(b)(3)(A)(iii).
comments more efficiently, please use Authority, Inc. (‘‘FINRA’’) filed with the
daltland on DSKBBV9HB2PROD with NOTICES
4 17 CFR 240.19b–4(f)(3).
only one method. The Commission will Securities and Exchange Commission 5 The establishment of each TRF was subject to
post all comments on the Commission’s (‘‘Commission’’) the proposed rule a proposed rule change filed with the Commission.
change as described in Items I, II, and See Securities Exchange Act Release No. 54084
24 For purposes only of waiving the 30-day (June 30, 2006), 71 FR 38935 (July 10, 2006) (Order
operative delay, the Commission has also Approving File No. SR–NASD–2005–087); and
25 17 CFR 200.30–3(a)(12).
considered the proposed rule’s impact on Securities Exchange Act Release No. 55325
1 15 U.S.C. 78s(b)(1).
efficiency, competition, and capital formation. See (February 21, 2007), 72 FR 8820 (February 27, 2007)
15 U.S.C. 78c(f). 2 17 CFR 240.19b–4. Continued
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![Federal Register / Vol. 82, No. 233 / Wednesday, December 6, 2017 / Notices 57641
acts and practices, to promote just and arguments concerning the foregoing, SMALL BUSINESS ADMINISTRATION
equitable principles of trade, and, in including whether the proposed rule
general, to protect investors and the change is consistent with the Act. Meeting of the Interagency Task Force
public interest. FINRA believes that the Comments may be submitted by any of on Veterans Small Business
proposed rule change will enhance the the following methods: Development
information available to members and
Electronic Comments AGENCY: U.S. Small Business
the public regarding FINRA’s TRF LLC
• Use the Commission’s Internet Administration.
Agreements in that the current
agreements will be reflected in the comment form (http://www.sec.gov/ ACTION: Notice of open Federal
FINRA manual and updated Schedules rules/sro.shtml); or Interagency Task Force Meeting.
D and E will be readily available on • Send an email to rule-comments@
sec.gov. Please include File Number SR– SUMMARY: The U.S. Small Business
FINRA’s public Web site. Thus, the Administration (SBA) is issuing this
proposed rule change will ensure that FINRA–2017–034 on the subject line.
notice to announce the location, date,
the most current information regarding Paper Comments time and agenda for the next meeting of
the TRF LLC Agreements will be readily
• Send paper comments in triplicate the Interagency Task Force on Veterans
available to members and the public. Small Business Development. The
to Secretary, Securities and Exchange
B. Self-Regulatory Organization’s Commission, 100 F Street NE., meeting is open to the public.
Statement on Burden on Competition Washington, DC 20549–1090. DATES: Wednesday, December 13, 2017,
FINRA does not believe that the All submissions should refer to File from 1:00 p.m. to 4:00 p.m.
proposed rule change will result in any Number SR–FINRA–2017–034. This file ADDRESSES: U.S. Small Business
burden on competition that is not number should be included on the Administration, 409 3rd Street SW.,
necessary or appropriate in furtherance subject line if email is used. To help the Washington, DC 20416. Due to limited
of the purposes of the Act. The Commission process and review your seating, the general public is requested
proposed rule change makes technical comments more efficiently, please use to attend the meeting via teleconference
changes to the TRF LLC Agreements, as only one method. The Commission will or webinar.
they appear in the FINRA Manual, to post all comments on the Commission’s Contact Info: (Teleconference Dial-In)
reflect the second amended and restated Internet Web site (http://www.sec.gov/ 1–888–858–2144, Access Code:
agreements executed by the parties. The rules/sro.shtml). Copies of the 7805798, (Webinar) https://
terms and conditions of the TRF LLC submission, all subsequent connect16.uc.att.com/sba/meet/
Agreements have not changed. amendments, all written statements ?ExEventID=87805798; Access Code:
Accordingly, FINRA does not believe with respect to the proposed rule 7805798.
that there are any material economic change that are filed with the SUPPLEMENTARY INFORMATION: Pursuant
impacts associated with the proposed Commission, and all written to section 10(a)(2) of the Federal
rule change. communications relating to the Advisory Committee Act (5 U.S.C.,
proposed rule change between the Appendix 2), SBA announces the
C. Self-Regulatory Organization’s
Commission and any person, other than meeting of the Interagency Task Force
Statement on Comments on the
those that may be withheld from the on Veterans Small Business
Proposed Rule Change Received From
public in accordance with the Development (Task Force). The Task
Members, Participants, or Others
provisions of 5 U.S.C. 552, will be Force is established pursuant to
Written comments were neither available for Web site viewing and Executive Order 13540 to coordinate the
solicited nor received. printing in the Commission’s Public efforts of Federal agencies to improve
III. Date of Effectiveness of the Reference Room, 100 F Street NE., capital, business development
Proposed Rule Change and Timing for Washington, DC 20549 on official opportunities, and pre-established
Commission Action business days between the hours of federal contracting goals for small
10:00 a.m. and 3:00 p.m. Copies of the business concerns owned and
The foregoing rule change has become filing also will be available for
effective pursuant to Section 19(b)(3)(A) controlled by veterans and service-
inspection and copying at the principal disabled veterans.
of the Act 11 and paragraph (f)(3) of Rule office of FINRA. All comments received
19b–4 thereunder.12 At any time within Moreover, the Task Force shall
will be posted without change. Persons coordinate administrative and
60 days of the filing of the proposed rule submitting comments are cautioned that
change, the Commission summarily may regulatory activities and develop
we do not redact or edit personal proposals relating to ‘‘six focus areas’’:
temporarily suspend such rule change if identifying information from comment
it appears to the Commission that such (1) Improving capital access and
submissions. You should submit only capacity of small business concerns
action is necessary or appropriate in the information that you wish to make
public interest, for the protection of owned and controlled by veterans and
available publicly. All submissions service-disabled veterans through loans,
investors, or otherwise in furtherance of should refer to File Number SR–FINRA–
the purposes of the Act. If the surety bonding, and franchising; (2)
2017–034, and should be submitted on ensuring achievement of the pre-
Commission takes such action, the or before December 27, 2017.
Commission shall institute proceedings established Federal contracting goals for
to determine whether the proposed rule For the Commission, by the Division of small business concerns owned and
Trading and Markets, pursuant to delegated controlled by veterans and service
should be approved or disapproved.
daltland on DSKBBV9HB2PROD with NOTICES
authority.13 disabled veterans through expanded
IV. Solicitation of Comments Eduardo A. Aleman, mentor-protégé assistance and matching
Interested persons are invited to Assistant Secretary. such small business concerns with
submit written data, views, and [FR Doc. 2017–26222 Filed 12–5–17; 8:45 am] contracting opportunities; (3) increasing
BILLING CODE 8011–01–P the integrity of certifications of status as
11 15 U.S.C. 78s(b)(3)(A). a small business concern owned and
12 17 CFR 240.19b–4(f)(3). 13 17 CFR 200.30–3(a)(12). controlled by a veteran or service-
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Document Created: 2017-12-06 00:21:47
Document Modified: 2017-12-06 00:21:47
| 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 57639 |
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