83 FR 13159 - Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4370 Regarding the Requirements for the Listing of Securities That Are Issued by the Exchange or Any of Its Affiliates

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 83, Issue 59 (March 27, 2018)

Page Range		13159-13161
FR Document		2018-06100
Federal Register, Volume 83 Issue 59 (Tuesday, March 27, 2018)
[Federal Register Volume 83, Number 59 (Tuesday, March 27, 2018)]
[Notices]
[Pages 13159-13161]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-06100]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-82921; File No. SR-NASDAQ-2018-020]


Self-Regulatory Organizations; The Nasdaq Stock Market LLC; 
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To 
Amend Rule 4370 Regarding the Requirements for the Listing of 
Securities That Are Issued by the Exchange or Any of Its Affiliates

March 22, 2018.
    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 March 20, 2018, The Nasdaq Stock Market LLC (``Nasdaq'' or 
``Exchange'') filed with the Securities and Exchange Commission 
(``SEC'' or ``Commission'') the proposed rule change as described in 
Items I and II, below, which Items have been prepared by the Exchange. 
The Commission is publishing this notice to solicit comments on the 
proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance 
of the Proposed Rule Change

    The Exchange proposes to amend Rule 4370 regarding the requirements 
for the listing of securities that are issued by the Exchange or any of 
its affiliates.
    The text of the proposed rule change is set forth below. Proposed 
new language is italicized; deleted text is in brackets.
* * * * *

4370. Additional Requirements for Nasdaq-Listed Securities Issued by 
Nasdaq or Its Affiliates

    (a) For purposes of this Rule 4370, the terms below are defined as 
follows:
    (1) No change.
    (2) ``Affiliate Security'' means any security issued by a Nasdaq 
Affiliate or any Exchange-listed option on any such security, with the 
exception of Portfolio Depository Receipts as defined in Rule 
5705(a)(1)(A) and Index Fund Shares as defined in Rule 5705(b)(1)(A).
    (b) Upon initial and throughout continued listing and trading of 
the Affiliate Security on The Nasdaq Stock Market, Nasdaq shall:
    (1) [file a report quarterly with the Commission]provide a 
quarterly report to Nasdaq's Regulatory Oversight Committee detailing 
Nasdaq's monitoring of:
    (A)-(B) No change.
    (2) engage an independent accounting firm once a year to review and 
prepare a report on the Affiliate Security to ensure that the Nasdaq 
Affiliate is in compliance with the listing requirements contained in 
the Rule 5000, 5100, 5200, 5300, 5400, 5500, and 5600 Series and 
promptly [forward to the Commission]provide Nasdaq's Regulatory 
Oversight Committee with a copy of the report prepared by the 
independent accounting firm.
    (c) No change.
* * * * *
    (b) Not applicable.
    (c) Not applicable.
* * * * *

II. Self-Regulatory Organization's Statement of the Purpose of, and 
Statutory Basis for, the Proposed Rule Change

    In its filing with the Commission, the Exchange included statements 
concerning the purpose of and basis for the proposed rule change and 
discussed any comments it received on the proposed rule change. The 
text of these statements may be examined at the places specified in 
Item IV below. The Exchange has prepared summaries, set forth in 
sections A, B, and C below, of the most significant aspects of such 
statements.

A. Self-Regulatory Organization's Statement of the Purpose of, and 
Statutory Basis for, the Proposed Rule Change

1. Purpose
    The Exchange proposes to amend Rule 4370 (Additional Requirements 
for Nasdaq-Listed Securities Issued by Nasdaq or its Affiliates) 
regarding the requirements for the listing of securities that are 
issued by the Exchange or any of its affiliates.
    Rule 4370 sets forth certain monitoring requirements that must be 
met throughout the continued listing of securities issued by Nasdaq or 
its affiliates. More specifically, Rule 4370 provides that, upon 
initial and throughout continued listing of the Affiliate Security \3\ 
on The Nasdaq Stock Market, Nasdaq shall:
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    \3\ Pursuant to Rule 4370(a)(2), ``Affiliate Security'' means 
any security issued by a Nasdaq Affiliate, with the exception of 
Portfolio Depository Receipts as defined in Rule 5705(a)(1)(A) and 
Index Fund Shares as defined in Rule 5705(b)(1)(A), and pursuant to 
Rule 4370(a)(1), ``Nasdaq Affiliate'' means The Nasdaq Stock Market, 
Inc. and any entity that directly or indirectly, through one or more 
intermediaries, controls, is controlled by, or is under common 
control with The Nasdaq Stock Market, Inc., where ``control'' means 
that the one entity possesses, directly or indirectly, voting 
control of the other entity either through ownership of capital 
stock or other equity securities or through majority representation 
on the board of directors or other management body of such entity.
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     File a report quarterly (``Quarterly Report'') with the 
Commission detailing Nasdaq's monitoring of (a) the Nasdaq Affiliate's 
compliance with the listing requirements; and (b) the trading of the 
Affiliate Security; and
     engage an independent accounting firm once a year to 
review and prepare a report on the Affiliate Security to ensure that 
the Nasdaq Affiliate is in compliance with the listing requirements 
(``Annual Report'') and promptly forward to the Commission a copy of 
the report prepared by the independent accounting firm.
    In discussions with the Commission Staff regarding the Exchange's 
Rule 4370, it was determined that the Exchange no longer needs to 
provide to the Commission copies of the reports specified in paragraphs 
(b)(1) and (b)(2) thereunder; instead, the Exchange must provide these 
reports to the Exchange's

[[Page 13160]]

Regulatory Oversight Committee. Accordingly, the Exchange proposes to 
amend Rule 4370 to remove the requirement that the Quarterly Report be 
filed with the Commission and that copies of the Annual Report be 
forwarded to the Commission, and to require instead that copies of each 
such report be provided to Nasdaq's Regulatory Oversight Committee. In 
addition, the Exchange proposes to modify the definition of ``Affiliate 
Security'' in Rule 4370(a)(2) to include any Exchange-listed option on 
any such security. Finally, the Exchange proposes to modify Rule 
4370(b) to require that the Exchange also follow Rule 4370 upon initial 
and throughout continued trading, not just listing, of the ``Affiliate 
Security'' on the Exchange.
    No other changes would be made to Rule 4370, which would continue 
to require that Nasdaq file a report with the Commission if it 
determines that the Nasdaq Affiliate is not in compliance with the 
listing requirements.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent 
with Section 6(b) of the Exchange Act \4\ in general, and Section 
6(b)(5) \5\ in particular, in that it is 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.
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    \4\ 15 U.S.C. 78f(b).
    \5\ 15 U.S.C. 78f(b)(5).
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    The Exchange believes that the proposed rule change is designed to 
prevent fraudulent and manipulative acts and practices, to foster 
cooperation and coordination with persons engaged in regulating, 
clearing, settling, processing information with respect to, and 
facilitating transactions in securities, 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, 
because the proposed changes would reduce the paperwork received by the 
Commission and ease the burden of submitting the Quarterly and Annual 
Reports, while continuing to help protect against concerns that the 
Exchange will not effectively enforce its rules with respect to the 
listing and trading of Affiliate Securities. The proposed rule change 
would not change the information available to the Commission. The 
Exchange understands that these reports are subject to Section 17A of 
the Exchange Act \6\ and that it will be required to keep and preserve, 
and to furnish to the Commission upon request, copies of these reports 
in accordance with Rule 17a-1 thereunder.\7\
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    \6\ 15 U.S.C. 78q.
    \7\ 17 CFR 240.17a-1.
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    The Exchange believes that the proposed change adding Exchange-
listed options to the definition of ``Affiliate Security'' in Rule 
4370(a)(2) and requiring that the Exchange also follow Rule 4370 upon 
initial and throughout continued trading, not just listing, of the 
``Affiliate Security'' on the Exchange, will expand the scope of Rule 
4370, which would help eliminate any perception of a potential conflict 
of interest if a Nasdaq Affiliate seeks to list and/or trade an option 
on an Affiliate Security on the Exchange and thus promote just and 
equitable principles of trade, remove impediments to a free and open 
market and protect investors and the public interest by helping protect 
against concerns that the Exchange will not effectively enforce its 
rules with respect to the listing and trading of these securities.

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. The proposed rule change is not 
intended to address competitive issues but rather to reduce the 
paperwork received by the Commission, ease the burden of submitting the 
Quarterly and Annual Reports, and provide greater clarity in the 
Exchange's rules, without changing the information available to the 
Commission.

C. Self-Regulatory Organization's Statement on Comments on the Proposed 
Rule Change Received From Members, Participants, or Others

    No written comments were either solicited or received.

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

    The Exchange has filed the proposed rule change pursuant to Section 
19(b)(3)(A)(iii) of the Act \8\ and Rule 19b-4(f)(6) thereunder.\9\ 
Because the foregoing proposed rule change does not: (i) Significantly 
affect the protection of investors or the public interest; (ii) impose 
any significant burden on competition; and (iii) become operative for 
30 days from the date on which it was filed, or such shorter time as 
the Commission may designate, it has become effective pursuant to 
Section 19(b)(3)(A)(iii) of the Act \10\ and subparagraph (f)(6) of 
Rule 19b-4 thereunder.\11\
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    \8\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \9\ 17 CFR 240.19b-4(f)(6).
    \10\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \11\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6) 
requires a self-regulatory organization to give the Commission 
written notice of its intent to file the proposed rule change at 
least five business days prior to the date of filing of the proposed 
rule change, or such shorter time as designated by the Commission. 
The Exchange has satisfied this requirement.
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    At any time within 60 days of the filing of such 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 under 
Section 19(b)(2)(B) \12\ of the Act to determine whether the proposed 
rule change should be approved or disapproved.
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    \12\ 15 U.S.C. 78s(b)(2)(B).
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IV. Solicitation of Comments

    Interested persons are invited to submit written data, views, and 
arguments concerning the foregoing, including whether the proposed rule 
change is consistent with the Act. Comments may be submitted by any of 
the following methods:

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to [email protected]. Please include 
File Number SR-NASDAQ-2018-020 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-NASDAQ-2018-020. 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

[[Page 13161]]

internet website (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 website 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-NASDAQ-2018-020 and should be submitted 
on or before April 17, 2018.

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\13\
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    \13\ 17 CFR 200.30-3(a)(12).
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Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-06100 Filed 3-26-18; 8:45 am]
 BILLING CODE 8011-01-P
Federal Register / Vol. 83, No. 59 / Tuesday, March 27, 2018 / Notices 13159

with the disclosure requirement of the II, below, which Items have been the proposed rule change and discussed
rule are accounted for in the burdens prepared by the Exchange. The any comments it received on the
associated with the Form N–1A Commission is publishing this notice to proposed rule change. The text of these
registration statement for funds. solicit comments on the proposed rule statements may be examined at the
The estimate of average burden hours change from interested persons. places specified in Item IV below. The
is made solely for the purposes of the Exchange has prepared summaries, set
I. Self-Regulatory Organization’s
Paperwork Reduction Act, and is not forth in sections A, B, and C below, of
Statement of the Terms of Substance of
derived from a comprehensive or even the most significant aspects of such
the Proposed Rule Change
a representative survey or study of the statements.
costs of Commission rules and forms. The Exchange proposes to amend
Rule 4370 regarding the requirements A. Self-Regulatory Organization’s
An agency may not conduct or sponsor,
for the listing of securities that are Statement of the Purpose of, and
and a person is not required to respond
issued by the Exchange or any of its Statutory Basis for, the Proposed Rule
to, a collection of information unless it
affiliates. Change
displays a currently valid control
number. The text of the proposed rule change 1. Purpose
The public may view the background is set forth below. Proposed new
The Exchange proposes to amend
documentation for this information language is italicized; deleted text is in
Rule 4370 (Additional Requirements for
collection at the following website, brackets.
Nasdaq-Listed Securities Issued by
www.reginfo.gov. Comments should be * * * * * Nasdaq or its Affiliates) regarding the
directed to: (i) Desk Officer for the requirements for the listing of securities
Securities and Exchange Commission, 4370. Additional Requirements for
Nasdaq-Listed Securities Issued by that are issued by the Exchange or any
Office of Information and Regulatory of its affiliates.
Affairs, Office of Management and Nasdaq or Its Affiliates
Rule 4370 sets forth certain
Budget, Room 10102, New Executive (a) For purposes of this Rule 4370, the monitoring requirements that must be
Office Building, Washington, DC 20503, terms below are defined as follows: met throughout the continued listing of
or by sending an email to: Shagufta_ (1) No change. securities issued by Nasdaq or its
Ahmed@omb.eop.gov; and (ii) Pamela (2) ‘‘Affiliate Security’’ means any affiliates. More specifically, Rule 4370
Dyson, Director/Chief Information security issued by a Nasdaq Affiliate or provides that, upon initial and
Officer, Securities and Exchange any Exchange-listed option on any such throughout continued listing of the
Commission, c/o Remi Pavlik-Simon, security, with the exception of Portfolio Affiliate Security 3 on The Nasdaq Stock
100 F Street NE, Washington, DC 20549 Depository Receipts as defined in Rule Market, Nasdaq shall:
or send an email to: PRA_Mailbox@ 5705(a)(1)(A) and Index Fund Shares as • File a report quarterly (‘‘Quarterly
sec.gov. Comments must be submitted to defined in Rule 5705(b)(1)(A). Report’’) with the Commission detailing
OMB within 30 days of this notice. (b) Upon initial and throughout Nasdaq’s monitoring of (a) the Nasdaq
Dated: March 22, 2018. continued listing and trading of the Affiliate’s compliance with the listing
Eduardo A. Aleman,
Affiliate Security on The Nasdaq Stock requirements; and (b) the trading of the
Market, Nasdaq shall: Affiliate Security; and
Assistant Secretary.
(1) [file a report quarterly with the • engage an independent accounting
[FR Doc. 2018–06121 Filed 3–26–18; 8:45 am] Commission]provide a quarterly report
BILLING CODE 8011–01–P
firm once a year to review and prepare
to Nasdaq’s Regulatory Oversight a report on the Affiliate Security to
Committee detailing Nasdaq’s ensure that the Nasdaq Affiliate is in
monitoring of: compliance with the listing
SECURITIES AND EXCHANGE (A)–(B) No change.
COMMISSION requirements (‘‘Annual Report’’) and
(2) engage an independent accounting promptly forward to the Commission a
[Release No. 34–82921; File No. SR– firm once a year to review and prepare copy of the report prepared by the
NASDAQ–2018–020] a report on the Affiliate Security to independent accounting firm.
ensure that the Nasdaq Affiliate is in In discussions with the Commission
Self-Regulatory Organizations; The compliance with the listing
Nasdaq Stock Market LLC; Notice of Staff regarding the Exchange’s Rule
requirements contained in the Rule 4370, it was determined that the
Filing and Immediate Effectiveness of 5000, 5100, 5200, 5300, 5400, 5500, and
Proposed Rule Change To Amend Rule Exchange no longer needs to provide to
5600 Series and promptly [forward to the Commission copies of the reports
4370 Regarding the Requirements for the Commission]provide Nasdaq’s
the Listing of Securities That Are specified in paragraphs (b)(1) and (b)(2)
Regulatory Oversight Committee with a thereunder; instead, the Exchange must
Issued by the Exchange or Any of Its copy of the report prepared by the
Affiliates provide these reports to the Exchange’s
independent accounting firm.
March 22, 2018. (c) No change. 3 Pursuant to Rule 4370(a)(2), ‘‘Affiliate Security’’

Pursuant to Section 19(b)(1) of the * * * * * means any security issued by a Nasdaq Affiliate,
(b) Not applicable. with the exception of Portfolio Depository Receipts
Securities Exchange Act of 1934 as defined in Rule 5705(a)(1)(A) and Index Fund
(‘‘Act’’),1 and Rule 19b–4 thereunder,2 (c) Not applicable. Shares as defined in Rule 5705(b)(1)(A), and
notice is hereby given that on March 20, * * * * * pursuant to Rule 4370(a)(1), ‘‘Nasdaq Affiliate’’
means The Nasdaq Stock Market, Inc. and any
2018, The Nasdaq Stock Market LLC II. Self-Regulatory Organization’s entity that directly or indirectly, through one or
amozie on DSK30RV082PROD with NOTICES

(‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the Statement of the Purpose of, and more intermediaries, controls, is controlled by, or
Securities and Exchange Commission Statutory Basis for, the Proposed Rule is under common control with The Nasdaq Stock
(‘‘SEC’’ or ‘‘Commission’’) the proposed Market, Inc., where ‘‘control’’ means that the one
Change entity possesses, directly or indirectly, voting
rule change as described in Items I and control of the other entity either through ownership
In its filing with the Commission, the of capital stock or other equity securities or through
1 15 U.S.C. 78s(b)(1). Exchange included statements majority representation on the board of directors or
2 17 CFR 240.19b–4. concerning the purpose of and basis for other management body of such entity.

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Federal Register / Vol. 83, No. 59 / Tuesday, March 27, 2018 / Notices 13161

internet website (http://www.sec.gov/ ‘‘Exchange’’ or ‘‘NYSE American’’) filed • Third Amended and Restated
rules/sro.shtml). Copies of the with the Securities and Exchange Certificate of Incorporation of NYSE
submission, all subsequent Commission (the ‘‘Commission’’) the Market (DE), Inc. (the ‘‘NYSE Market
amendments, all written statements proposed rule change as described in (DE) Certificate’’).
with respect to the proposed rule Items I, II, and III below, which Items The changes are non-substantive
change that are filed with the have been prepared by the self- technical administrative changes.
Commission, and all written regulatory organization. The The NYSE LLC is an affiliate of the
communications relating to the Commission is publishing this notice to Exchange, and NYSE Market (DE) is a
proposed rule change between the solicit comments on the proposed rule wholly-owned subsidiary of NYSE LLC.
Commission and any person, other than change from interested persons. NYSE Market (DE) in turn owns a
those that may be withheld from the majority interest in NYSE Amex
I. Self-Regulatory Organization’s
public in accordance with the Options LLC (‘‘NYSE Amex Options’’),
Statement of the Terms of Substance of
provisions of 5 U.S.C. 552, will be a facility of the Exchange. The Exchange
the Proposed Rule Change
available for website viewing and and NYSE Market (DE) are the only
printing in the Commission’s Public The Exchange proposes to amend members of NYSE Amex Options.4 The
Reference Room, 100 F Street NE, certain of governing documents of the Exchange filed the NYSE Market (DE)
Washington, DC 20549, on official Exchange and NYSE Market (DE), Inc. Certificate as a ‘‘rule of the exchange’’
business days between the hours of (‘‘NYSE Market (DE)’’) to make a under Section 3(a)(27) of the Exchange
10:00 a.m. and 3:00 p.m. Copies of the technical change updating the entities’ Act because NYSE Market (DE) has a
filing also will be available for registered offices and registered agents majority interest in a facility of the
inspection and copying at the principal and update the date as required. In Exchange.5
office of the Exchange. All comments addition, the Exchange proposes to In addition, because of NYSE LLC’s
received will be posted without change. amend the Eleventh Amended and ownership of NYSE Market (DE), the
Persons submitting comments are Restated Operating Agreement of the Exchange filed the Eleventh Amended
cautioned that we do not redact or edit New York Stock Exchange LLC (‘‘NYSE and Restated Operating Agreement of
personal identifying information from LLC’’). The proposed change is available the NYSE LLC (‘‘NYSE Operating
comment submissions. You should on the Exchange’s website at Agreement’’) as a ‘‘rule of the Exchange’’
submit only information that you wish www.nyse.com, at the principal office of under Section 3(a)(27) of the Exchange
to make available publicly. All the Exchange, and at the Commission’s Act.6 The Exchange proposes to amend
submissions should refer to File Public Reference Room.
the NYSE Operating Agreement (as
Number SR–NASDAQ–2018–020 and II. Self-Regulatory Organization’s amended, the ‘‘Amended NYSE
should be submitted on or before April Statement of the Purpose of, and Operating Agreement’’) to update the
17, 2018. Statutory Basis for, the Proposed Rule registered office and registered agent in
For the Commission, by the Division of Change the state of New York and to make a
Trading and Markets, pursuant to delegated conforming change to the date.
authority.13
In its filing with the Commission, the
self-regulatory organization included Exchange Governing Documents
Eduardo A. Aleman,
statements concerning the purpose of,
Assistant Secretary. and basis for, the proposed rule change The Exchange is a limited liability
[FR Doc. 2018–06100 Filed 3–26–18; 8:45 am] and discussed any comments it received company organized under the laws of
BILLING CODE 8011–01–P on the proposed rule change. The text the State of Delaware. As such, it is
of those statements may be examined at required to have and maintain a
the places specified in Item IV below. registered office and registered agent in
SECURITIES AND EXCHANGE The Exchange has prepared summaries, Delaware.7
COMMISSION set forth in sections A, B, and C below, Pursuant to Delaware law,8 the
[Release No. 34–82923; File No. SR– of the most significant parts of such Certificate of Formation is amended by
NYSEAMER–2018–10] statements. filing a ‘‘State of Delaware Certificate of

Self-Regulatory Organizations; NYSE A. Self-Regulatory Organization’s 4 See Exchange Act Release No. 75301 (June 25,

American LLC; Notice of Filing and Statement of the Purpose of, and the 2015), 80 FR 37695 (July 1, 2015) (SR–NYSEMKT–
Statutory Basis for, the Proposed Rule 2015–44) (notice of filing and immediate
Immediate Effectiveness of Proposed effectiveness of proposed rule change amending the
Change Amending Certain Governing Change members’ schedule of the Amended and Restated
Documents of the Exchange and NYSE 1. Purpose Limited Liability Company Agreement of NYSE
Amex Options LLC).
Market, Inc. To Make a Technical
The Exchange proposes to amend 5 See 15 U.S.C. 78c(a)(27); Securities Exchange
Change Updating the Entities’
certain of governing documents of the Act Release No. 75984 (September 25, 2015), 80 FR
Registered Offices and Registered 59213, 59214 (October 1, 2015) (SR–NYSEMKT–
Exchange and NYSE Market (DE) to
Agents and Update the Date as 2015–71) (notice of filing and immediate
make a technical change updating the effectiveness of proposed rule change adding to the
Required
entities’ registered offices and registered rules of the Exchange the Third Amended and
March 22, 2018. agents and update the date as required. Restated Certificate of Incorporation of NYSE
As discussed below, the Exchange Market, Inc., and the Eighth Amended and Restated
Pursuant to Section 19(b)(1) 1 of the Operating Agreement of New York Stock Exchange
Securities Exchange Act of 1934 (the proposes to amend the following LLC).
‘‘Act’’),2 and Rule 19b–4 thereunder,3 documents (together, the ‘‘Governing 6 See 15 U.S.C. 78c(a)(27); Securities Exchange
amozie on DSK30RV082PROD with NOTICES

notice is hereby given that, on March Documents’’): Act Release No. 79232 (November 3, 2016), 81FR
13, 2018, NYSE American LLC (the • Certificate of Formation of the 78873, 78874 (November 9, 2016) (SR–NYSEMKT–
Exchange (‘‘Certificate of Formation’’); 2016–96) (notice of filing and immediate
effectiveness of proposed rule change to add the
13 17 CFR 200.30–3(a)(12). • Eleventh Amended and Restated NYSE Operating Agreement to the rules of the
1 15 U.S.C. 78s(b)(1). Operating Agreement of the Exchange Exchange).
2 15 U.S.C. 78a. (‘‘NYSE American Operating 7 See Del. Code tit. 6, § 18–104(a).
3 17 CFR 240.19b–4. Agreement’’); and 8 See Del. Code tit. 6, § 18–202(a).

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Document Created: 2018-03-27 01:26:52
Document Modified: 2018-03-27 01:26:52
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		83 FR 13159