83_FR_15255 83 FR 15187 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Charged in Connection With the Filing of Supplemental Listing Applications in Connection With the Issuance of Convertible Securities

83 FR 15187 - Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Charged in Connection With the Filing of Supplemental Listing Applications in Connection With the Issuance of Convertible Securities

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 83, Issue 68 (April 9, 2018)

Page Range15187-15189
FR Document2018-07113

Federal Register, Volume 83 Issue 68 (Monday, April 9, 2018)
[Federal Register Volume 83, Number 68 (Monday, April 9, 2018)]
[Notices]
[Pages 15187-15189]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-07113]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-82985; File No. SR-NYSE-2018-11]


Self-Regulatory Organizations; New York Stock Exchange LLC; 
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To 
Amend Fees Charged in Connection With the Filing of Supplemental 
Listing Applications in Connection With the Issuance of Convertible 
Securities

April 3, 2018.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of 
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby 
given that, on March 22, 2018, New York Stock Exchange LLC (``NYSE'' or 
the ``Exchange'') 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 self-
regulatory organization. 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\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------

I. Self-Regulatory Organization's Statement of the Terms of the 
Substance of the Proposed Rule Change

    The Exchange proposes to amend its fees charged in connection with 
the filing of listing applications in relation to the issuance of 
securities convertible into or exchangeable or exercisable for 
additional securities of a listed class of common stock. The proposed 
rule change is available on the Exchange's website at www.nyse.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 self-regulatory organization 
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 those 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 
Statutory Basis for, the Proposed Rule Change

1. Purpose
    The Exchange proposes to amend its fees charged in connection with 
the filing of listing applications in relation to the issuance of 
securities convertible into or exchangeable or exercisable for 
additional securities of a listed class of common stock (``Convertible 
Securities'').
    A listed company is required to submit a supplemental listing 
application (``SLAP'') prior to any issuance of Convertible Securities. 
Each time a listed company submits a SLAP in connection with the 
issuance of Convertible Securities, it must pay the minimum fee of 
$10,000 provided for by Section 902.03 of the Manual. The Exchange, 
however, does not charge any

[[Page 15188]]

listing fees with respect to the common shares issuable upon 
conversion, exchange or exercise of such securities at the time of 
submission of the required SLAP. Rather, Section 902.02 of the Manual 
provides that the listed company will be charged at the end of the 
calendar year [sic] for any such common shares that are issued that 
year.\4\
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    \4\ The Commission notes that Section 902.02 of the NYSE Listed 
Company Manual (``Manual'') states that with respect to shares that 
are not issued at the time of listing, such as for Convertible 
Securities, listing fees will accrue on these securities as of the 
date of issuance and such accrued listing fees will be billed at the 
beginning of the following year along with the issuer's annual fees. 
See Section 902.02 of the Manual (``Timing of Listing Fees for 
Subsequent Issuances'').
---------------------------------------------------------------------------

    The Exchange has noted that it is not unusual for a listed company 
to enter into a number of different transactions in which it issues 
Convertible Securities. Each such transaction requires the submission 
of a SLAP, and the payment of the $10,000 minimum SLAP fee, incurring a 
significant fee expense even where the transactions covered by the 
SLAPs are immaterial in size.
    The Exchange proposes to amend Section 902.03 to limit the fee 
expense to listed companies. Under the proposed amendment, a $10,000 
SLAP fee will be billed with respect to the first SLAP solely in 
connection with the issuance of securities convertible into or 
exchangeable or exercisable for additional securities of a listed class 
that is submitted by a listed issuer in each calendar quarter. No 
additional SLAP fee will be billed for any other SLAP solely in 
connection with the issuance of securities convertible into or 
exchangeable or exercisable for additional securities of a listed class 
that is submitted during the rest of that calendar quarter.
    The Exchange does not expect that the reduction in fee revenue 
associated with this proposed amendment will have any effect on its 
ability to finance its regulatory program.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent 
with Section 6(b) of the Act,\5\ in general, and furthers the 
objectives of Section 6(b)(4) \6\ of the Act, in particular, in that it 
is designed to provide for the equitable allocation of reasonable dues, 
fees, and other charges and is not designed to permit unfair 
discrimination among its members and issuers and other persons using 
its facilities. The Exchange also believes that the proposed rule 
change is consistent with Section 6(b)(5) of the Act,\7\ in that it is 
designed 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 
and is not designed to permit unfair discrimination between customers, 
issuers, brokers, or dealers.
---------------------------------------------------------------------------

    \5\ 15 U.S.C. 78f(b).
    \6\ 15 U.S.C. 78f(b)(4).
    \7\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Exchange believes that the proposed rule change is consistent 
with Sections 6(b)(4) and 6(b)(5) of the Exchange Act in that it 
represents an equitable allocation of fees and does not unfairly 
discriminate among listed companies. In particular, the Exchange 
believes that the proposed amendment is not unfairly discriminatory 
because it will be applied the same to all listed companies submitting 
SLAPs in connection with the issuance of Convertible Securities. The 
Exchange also notes that listed companies will be charged per share 
listing fees with respect to any shares of common stock issued upon 
conversion, exchange or exercise of the Convertible Securities, thereby 
ensuring that the fees associated with a Convertible Securities 
transaction will be reflective of the size of the transaction.

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 
will not impose any burden competition as its sole purpose is to 
provide a limited relief from the listing fees a company incurs when it 
issues Convertible Securities in a series of separate transactions 
during a calendar quarter.

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

    No written comments were solicited or received with respect to the 
proposed rule change.

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

    The foregoing rule change is effective upon filing pursuant to 
Section 19(b)(3)(A) \8\ of the Act and subparagraph (f)(2) of Rule 19b-
4 \9\ thereunder, because it establishes a due, fee, or other charge 
imposed by the Exchange.
---------------------------------------------------------------------------

    \8\ 15 U.S.C. 78s(b)(3)(A).
    \9\ 17 CFR 240.19b-4(f)(2).
---------------------------------------------------------------------------

    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) \10\ of the Act to determine whether the proposed 
rule change should be approved or disapproved.
---------------------------------------------------------------------------

    \10\ 15 U.S.C. 78s(b)(2)(B).
---------------------------------------------------------------------------

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-NYSE-2018-11 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-NYSE-2018-11. 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 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

[[Page 15189]]

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-NYSE-2018-11, and should be 
submitted on or before April 30, 2018.

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\11\
---------------------------------------------------------------------------

    \11\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-07113 Filed 4-6-18; 8:45 am]
 BILLING CODE 8011-01-P



                                                                                Federal Register / Vol. 83, No. 68 / Monday, April 9, 2018 / Notices                                             15187

                                                disadvantage or favor any particular                    internet website (http://www.sec.gov/                 22, 2018, New York Stock Exchange
                                                user in relationship to another, and it                 rules/sro.shtml). Copies of the                       LLC (‘‘NYSE’’ or the ‘‘Exchange’’) filed
                                                would be applied uniformly to all                       submission, all subsequent                            with the Securities and Exchange
                                                Clearing Members. For the foregoing                     amendments, all written statements                    Commission (the ‘‘Commission’’) the
                                                reasons, OCC believes the proposed rule                 with respect to the proposed rule                     proposed rule change as described in
                                                change is in the public interest, would                 change that are filed with the                        Items I, II, and III below, which Items
                                                be consistent with the requirements of                  Commission, and all written                           have been prepared by the self-
                                                the Act applicable to clearing agencies                 communications relating to the                        regulatory organization. The
                                                and would not impact or impose a                        proposed rule change between the                      Commission is publishing this notice to
                                                burden on competition.                                  Commission and any person, other than                 solicit comments on the proposed rule
                                                                                                        those that may be withheld from the                   change from interested persons.
                                                (C) Clearing Agency’s Statement on                      public in accordance with the
                                                Comments on the Proposed Rule                           provisions of 5 U.S.C. 552, will be                   I. Self-Regulatory Organization’s
                                                Change Received From Members,                           available for website viewing and                     Statement of the Terms of the Substance
                                                Participants or Others                                  printing in the Commission’s Public                   of the Proposed Rule Change
                                                  Written comments on the proposed                      Reference Room, 100 F Street NE,                         The Exchange proposes to amend its
                                                rule change were not and are not                        Washington, DC 20549, on official                     fees charged in connection with the
                                                intended to be solicited with respect to                business days between the hours of                    filing of listing applications in relation
                                                the proposed rule change and none have                  10:00 a.m. and 3:00 p.m. Copies of such               to the issuance of securities convertible
                                                been received.                                          filing also will be available for                     into or exchangeable or exercisable for
                                                                                                        inspection and copying at the principal               additional securities of a listed class of
                                                III. Date of Effectiveness of the
                                                                                                        office of OCC and on OCC’s website at                 common stock. The proposed rule
                                                Proposed Rule Change and Timing for
                                                                                                        https://www.theocc.com/about/                         change is available on the Exchange’s
                                                Commission Action
                                                                                                        publications/bylaws.jsp.                              website at www.nyse.com, at the
                                                   Within 45 days of the date of                           All comments received will be posted               principal office of the Exchange, and at
                                                publication of this notice in the Federal               without change. Persons submitting                    the Commission’s Public Reference
                                                Register or within such longer period                   comments are cautioned that we do not                 Room.
                                                up to 90 days (i) as the Commission may                 redact or edit personal identifying
                                                designate if it finds such longer period                information from comment submissions.                 II. Self-Regulatory Organization’s
                                                to be appropriate and publishes its                     You should submit only information                    Statement of the Purpose of, and
                                                reasons for so finding or (ii) as to which              that you wish to make available                       Statutory Basis for, the Proposed Rule
                                                the self-regulatory organization                        publicly.                                             Change
                                                consents, the Commission will:                             All submissions should refer to File                 In its filing with the Commission, the
                                                   (A) By order approve or disapprove                   Number SR–OCC–2018–007 and should                     self-regulatory organization included
                                                the proposed rule change, or                            be submitted on or before April 30,                   statements concerning the purpose of,
                                                   (B) institute proceedings to determine               2018.                                                 and basis for, the proposed rule change
                                                whether the proposed rule change                          For the Commission, by the Division of              and discussed any comments it received
                                                should be disapproved.                                  Trading and Markets, pursuant to delegated            on the proposed rule change. The text
                                                IV. Solicitation of Comments                            authority.41                                          of those statements may be examined at
                                                                                                        Eduardo A. Aleman,                                    the places specified in Item IV below.
                                                  Interested persons are invited to                                                                           The Exchange has prepared summaries,
                                                                                                        Assistant Secretary.
                                                submit written data, views and                                                                                set forth in sections A, B, and C below,
                                                                                                        [FR Doc. 2018–07111 Filed 4–6–18; 8:45 am]
                                                arguments concerning the foregoing,                                                                           of the most significant parts of such
                                                                                                        BILLING CODE 8011–01–P
                                                including whether the proposed rule                                                                           statements.
                                                change is consistent with the Act.
                                                Comments may be submitted by any of                                                                           A. Self-Regulatory Organization’s
                                                                                                        SECURITIES AND EXCHANGE                               Statement of the Purpose of, and
                                                the following methods:
                                                                                                        COMMISSION                                            Statutory Basis for, the Proposed Rule
                                                Electronic Comments                                     [Release No. 34–82985; File No. SR–NYSE–              Change
                                                  • Use the Commission’s internet                       2018–11]
                                                comment form (http://www.sec.gov/                                                                             1. Purpose
                                                rules/sro.shtml); or                                    Self-Regulatory Organizations; New                       The Exchange proposes to amend its
                                                  • Send an email to rule-comments@                     York Stock Exchange LLC; Notice of                    fees charged in connection with the
                                                sec.gov. Please include File Number SR–                 Filing and Immediate Effectiveness of                 filing of listing applications in relation
                                                OCC–2018–007 on the subject line.                       Proposed Rule Change To Amend                         to the issuance of securities convertible
                                                                                                        Fees Charged in Connection With the                   into or exchangeable or exercisable for
                                                Paper Comments                                          Filing of Supplemental Listing                        additional securities of a listed class of
                                                  • Send paper comments in triplicate                   Applications in Connection With the                   common stock (‘‘Convertible
                                                to Secretary, Securities and Exchange                   Issuance of Convertible Securities                    Securities’’).
                                                Commission, 100 F Street NE,                                                                                     A listed company is required to
                                                                                                        April 3, 2018.
                                                Washington, DC 20549–1090.                                                                                    submit a supplemental listing
                                                                                                           Pursuant to Section 19(b)(1) 1 of the
                                                All submissions should refer to File                                                                          application (‘‘SLAP’’) prior to any
sradovich on DSK3GMQ082PROD with NOTICES




                                                                                                        Securities Exchange Act of 1934 (the
                                                Number SR–OCC–2018–007. This file                       ‘‘Act’’) 2 and Rule 19b–4 thereunder,3                issuance of Convertible Securities. Each
                                                number should be included on the                        notice is hereby given that, on March                 time a listed company submits a SLAP
                                                subject line if email is used. To help the                                                                    in connection with the issuance of
                                                Commission process and review your                        41 17 CFR 200.30–3(a)(12).                          Convertible Securities, it must pay the
                                                comments more efficiently, please use                     1 15 U.S.C. 78s(b)(1).                              minimum fee of $10,000 provided for by
                                                only one method. The Commission will                      2 15 U.S.C. 78a.                                    Section 902.03 of the Manual. The
                                                post all comments on the Commission’s                     3 17 CFR 240.19b–4.                                 Exchange, however, does not charge any


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                                                15188                             Federal Register / Vol. 83, No. 68 / Monday, April 9, 2018 / Notices

                                                listing fees with respect to the common                  that the proposed rule change is                       19(b)(3)(A) 8 of the Act and
                                                shares issuable upon conversion,                         consistent with Section 6(b)(5) of the                 subparagraph (f)(2) of Rule 19b–4 9
                                                exchange or exercise of such securities                  Act,7 in that it is designed to promote                thereunder, because it establishes a due,
                                                at the time of submission of the required                just and equitable principles of trade, to             fee, or other charge imposed by the
                                                SLAP. Rather, Section 902.02 of the                      foster cooperation and coordination                    Exchange.
                                                Manual provides that the listed                          with persons engaged in regulating,                       At any time within 60 days of the
                                                company will be charged at the end of                    clearing, settling, processing                         filing of such proposed rule change, the
                                                the calendar year [sic] for any such                     information with respect to, and                       Commission summarily may
                                                common shares that are issued that                       facilitating transactions in securities, to            temporarily suspend such rule change if
                                                year.4                                                   remove impediments to and perfect the                  it appears to the Commission that such
                                                   The Exchange has noted that it is not                 mechanism of a free and open market                    action is necessary or appropriate in the
                                                unusual for a listed company to enter                    and a national market system, and, in                  public interest, for the protection of
                                                into a number of different transactions                  general, to protect investors and the                  investors, or otherwise in furtherance of
                                                in which it issues Convertible                           public interest and is not designed to                 the purposes of the Act. If the
                                                Securities. Each such transaction                        permit unfair discrimination between                   Commission takes such action, the
                                                requires the submission of a SLAP, and                   customers, issuers, brokers, or dealers.               Commission shall institute proceedings
                                                the payment of the $10,000 minimum                          The Exchange believes that the                      under Section 19(b)(2)(B) 10 of the Act to
                                                SLAP fee, incurring a significant fee                    proposed rule change is consistent with                determine whether the proposed rule
                                                expense even where the transactions                      Sections 6(b)(4) and 6(b)(5) of the                    change should be approved or
                                                covered by the SLAPs are immaterial in                   Exchange Act in that it represents an                  disapproved.
                                                size.                                                    equitable allocation of fees and does not
                                                   The Exchange proposes to amend                        unfairly discriminate among listed                     IV. Solicitation of Comments
                                                Section 902.03 to limit the fee expense                  companies. In particular, the Exchange                   Interested persons are invited to
                                                to listed companies. Under the proposed                  believes that the proposed amendment                   submit written data, views, and
                                                amendment, a $10,000 SLAP fee will be                    is not unfairly discriminatory because it              arguments concerning the foregoing,
                                                billed with respect to the first SLAP                    will be applied the same to all listed                 including whether the proposed rule
                                                solely in connection with the issuance                   companies submitting SLAPs in                          change is consistent with the Act.
                                                of securities convertible into or                        connection with the issuance of                        Comments may be submitted by any of
                                                exchangeable or exercisable for                          Convertible Securities. The Exchange                   the following methods:
                                                additional securities of a listed class                  also notes that listed companies will be
                                                that is submitted by a listed issuer in                                                                         Electronic Comments
                                                                                                         charged per share listing fees with
                                                each calendar quarter. No additional                     respect to any shares of common stock                    • Use the Commission’s internet
                                                SLAP fee will be billed for any other                    issued upon conversion, exchange or                    comment form (http://www.sec.gov/
                                                SLAP solely in connection with the                       exercise of the Convertible Securities,                rules/sro.shtml); or
                                                issuance of securities convertible into or               thereby ensuring that the fees associated                • Send an email to rule-comments@
                                                exchangeable or exercisable for                          with a Convertible Securities                          sec.gov. Please include File Number SR–
                                                additional securities of a listed class                  transaction will be reflective of the size             NYSE–2018–11 on the subject line.
                                                that is submitted during the rest of that                of the transaction.                                    Paper Comments
                                                calendar quarter.
                                                   The Exchange does not expect that the                 B. Self-Regulatory Organization’s                        • Send paper comments in triplicate
                                                reduction in fee revenue associated with                 Statement on Burden on Competition                     to Secretary, Securities and Exchange
                                                this proposed amendment will have any                       The Exchange does not believe that                  Commission, 100 F Street NE,
                                                effect on its ability to finance its                     the proposed rule change will impose                   Washington, DC 20549–1090.
                                                regulatory program.                                      any burden on competition that is not                  All submissions should refer to File
                                                                                                         necessary or appropriate in furtherance                Number SR–NYSE–2018–11. This file
                                                2. Statutory Basis
                                                                                                         of the purposes of the Act. The                        number should be included on the
                                                   The Exchange believes that the                        proposed rule change will not impose                   subject line if email is used. To help the
                                                proposed rule change is consistent with                  any burden competition as its sole                     Commission process and review your
                                                Section 6(b) of the Act,5 in general, and                purpose is to provide a limited relief                 comments more efficiently, please use
                                                furthers the objectives of Section                       from the listing fees a company incurs                 only one method. The Commission will
                                                6(b)(4) 6 of the Act, in particular, in that             when it issues Convertible Securities in               post all comments on the Commission’s
                                                it is designed to provide for the                        a series of separate transactions during               internet website (http://www.sec.gov/
                                                equitable allocation of reasonable dues,                 a calendar quarter.                                    rules/sro.shtml). Copies of the
                                                fees, and other charges and is not                                                                              submission, all subsequent
                                                designed to permit unfair                                C. Self-Regulatory Organization’s                      amendments, all written statements
                                                discrimination among its members and                     Statement on Comments on the                           with respect to the proposed rule
                                                issuers and other persons using its                      Proposed Rule Change Received From                     change that are filed with the
                                                facilities. The Exchange also believes                   Members, Participants, or Others                       Commission, and all written
                                                                                                           No written comments were solicited                   communications relating to the
                                                   4 The Commission notes that Section 902.02 of
                                                                                                         or received with respect to the proposed               proposed rule change between the
                                                the NYSE Listed Company Manual (‘‘Manual’’)
                                                states that with respect to shares that are not issued   rule change.                                           Commission and any person, other than
sradovich on DSK3GMQ082PROD with NOTICES




                                                at the time of listing, such as for Convertible                                                                 those that may be withheld from the
                                                                                                         III. Date of Effectiveness of the
                                                Securities, listing fees will accrue on these                                                                   public in accordance with the
                                                securities as of the date of issuance and such           Proposed Rule Change and Timing for
                                                                                                                                                                provisions of 5 U.S.C. 552, will be
                                                accrued listing fees will be billed at the beginning     Commission Action
                                                of the following year along with the issuer’s annual                                                            available for website viewing and
                                                fees. See Section 902.02 of the Manual (‘‘Timing of         The foregoing rule change is effective
                                                Listing Fees for Subsequent Issuances’’).                upon filing pursuant to Section                          8 15 U.S.C. 78s(b)(3)(A).
                                                   5 15 U.S.C. 78f(b).                                                                                            9 17 CFR 240.19b–4(f)(2).
                                                   6 15 U.S.C. 78f(b)(4).                                  7 15   U.S.C. 78f(b)(5).                               10 15 U.S.C. 78s(b)(2)(B).




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                                                                                  Federal Register / Vol. 83, No. 68 / Monday, April 9, 2018 / Notices                                                      15189

                                                printing in the Commission’s Public                         You must include the DS form                        immigrant visa may complete the DS–
                                                Reference Room, 100 F Street NE,                          number (if applicable), information                   230 in lieu of the online version of the
                                                Washington, DC 20549 on official                          collection title, and the OMB control                 application (DS–260, OMB Control
                                                business days between the hours of                        number in any correspondence.                         Number 1405–0185). The consular
                                                10:00 a.m. and 3:00 p.m. Copies of such                   SUPPLEMENTARY INFORMATION:                            officer uses the information collected to
                                                filing also will be available for                           • Title of Information Collection:                  elicit information necessary to
                                                inspection and copying at the principal                   Application for Immigrant Visa and                    determine an applicant’s immigrant visa
                                                office of the Exchange. All comments                      Alien Registration.                                   eligibility.
                                                received will be posted without change.                     • OMB Control Number: 1405–0015.
                                                                                                                                                                Methodology
                                                Persons submitting comments are                             • Type of Request: Revision of a
                                                cautioned that we do not redact or edit                   Currently Approved Collection.                          Applicants will complete the DS–230
                                                personal identifying information from                       • Originating Office: Bureau of                     and submit it to a consular post. A
                                                comment submissions. You should                           Consular Affairs, Visa Office (CA/VO/L/               consular officer will review the
                                                submit only information that you wish                     R).                                                   application to determine whether the
                                                to make available publicly. All                             • Form Number: DS–230.                              applicant is eligible for an immigrant
                                                submissions should refer to File                            • Respondents: Applicants for Cuban                 visa.
                                                Number SR–NYSE–2018–11, and                               Family Reunification Parole or
                                                                                                                                                                Edward Ramotowski,
                                                should be submitted on or before April                    Immigrant Visas that are not able to use
                                                                                                          the DS–260, where authorized by the                   Deputy Assistant Secretary, Bureau of
                                                30, 2018.                                                                                                       Consular Affairs, Department of State.
                                                  For the Commission, by the Division of
                                                                                                          Department.
                                                Trading and Markets, pursuant to delegated                  • Estimated Number of Respondents:                  [FR Doc. 2018–07144 Filed 4–6–18; 8:45 am]

                                                authority.11                                              20,000.                                               BILLING CODE 4710–06–P

                                                Eduardo A. Aleman,
                                                                                                            • Estimated Number of Responses:
                                                                                                          20,000.
                                                Assistant Secretary.
                                                                                                            • Average Time per Response: 125                    SURFACE TRANSPORTATION BOARD
                                                [FR Doc. 2018–07113 Filed 4–6–18; 8:45 am]                minutes.
                                                                                                                                                                [Docket No. AB 33 (Sub-No. 334X)]
                                                BILLING CODE 8011–01–P                                      • Total Estimated Burden Time:
                                                                                                          41,667 annual hours.                                  Union Pacific Railroad Company—
                                                                                                            • Frequency: Once per application.                  Abandonment Exemption—in
                                                DEPARTMENT OF STATE                                         • Obligation to respond: Required to
                                                                                                                                                                McLennan County, Tex.
                                                                                                          Obtain or Retain a Benefit.
                                                [Public Notice: 10374]                                      We are soliciting public comments to                   Union Pacific Railroad Company (UP)
                                                                                                          permit the Department to:                             has filed a verified notice of exemption
                                                60-day Notice of Proposed Information                       • Evaluate whether the proposed                     under 49 CFR pt. 1152 subpart F–
                                                Collection: Application for Immigrant                     information collection is necessary for               Exempt Abandonments and
                                                Visa and Alien Registration                               the proper functions of the Department.               Discontinuance of Service to abandon
                                                                                                            • Evaluate the accuracy of our                      0.5 miles of the former Mart Line near
                                                      Notice of request for public
                                                ACTION:
                                                                                                          estimate of the time and cost burden for              Waco, Tex., between milepost 173.2 and
                                                comment.
                                                                                                          this proposed collection, including the               milepost 173.7 near the TX 340 Loop
                                                SUMMARY:   The Department of State is                     validity of the methodology and                       crossing, in McLennan County, Tex. (the
                                                seeking Office of Management and                          assumptions used.                                     Line). The Line traverses United States
                                                Budget (OMB) approval for the                               • Enhance the quality, utility, and                 Postal Service Zip Code 76705.1
                                                information collection described below.                   clarity of the information to be                         UP has certified that: (1) No local or
                                                In accordance with the Paperwork                          collected.                                            overhead traffic has moved over the
                                                Reduction Act of 1995, we are                               • Minimize the reporting burden on                  Line for at least two years; (2) there is
                                                requesting comments on this collection                    those who are to respond, including the               no need to reroute any traffic over other
                                                from all interested individuals and                       use of automated collection techniques                lines; (3) no formal complaint filed by
                                                organizations. The purpose of this                        or other forms of information                         a user of rail service on the Line (or by
                                                notice is to allow 60 days for public                     technology.                                           a state or local government entity acting
                                                comment preceding submission of the                         Please note that comments submitted                 on behalf of such user) regarding
                                                collection to OMB.                                        in response to this Notice are public                 cessation of service over the Line either
                                                                                                          record. Before including any detailed                 is pending with the Surface
                                                DATES: The Department will accept
                                                                                                          personal information, you should be                   Transportation Board (Board) or with
                                                comments from the public up to June 8,                    aware that your comments as submitted,
                                                2018.                                                                                                           any U.S. District Court or has been
                                                                                                          including your personal information,                  decided in favor of complainant within
                                                ADDRESSES: You may submit comments                        will be available for public review.                  the two-year period; and (4) the
                                                by any of the following methods:
                                                                                                          Abstract of Proposed Collection                       requirements at 49 CFR 1105.7(c)
                                                   • Web: Persons with access to the
                                                                                                                                                                (environmental report), 49 CFR 1105.12
                                                internet may comment on this notice by                      The Application for Immigrant Visa                  (newspaper publication), and 49 CFR
                                                going to www.Regulations.gov. You can                     and Alien Registration (DS–230) is used               1152.50(d)(1) (notice to governmental
                                                search for the document by entering                       to collect biographical information from              agencies) have been met.
                                                ‘‘Docket Number: DOS–2018–0014’’ in                       individuals seeking for Cuban Family
sradovich on DSK3GMQ082PROD with NOTICES




                                                the Search field. Then click the                          Reunification Parole. While this                        1 UP filed this notice simultaneously with a
                                                ‘‘Comment Now’’ button and complete                       discretionary parole authority is                     verified notice of exemption for discontinuance of
                                                the comment form.                                         exercised by the Department of                        service over a portion of rail line connected to the
                                                   • Email: PRA_BurdenComments@                           Homeland Security, an applicant must                  Line at milepost 173.7. That notice is being
                                                state.gov.                                                                                                      considered in a separate docket. See Union Pac.
                                                                                                          demonstrate that he or she is eligible for            R.R.—Discontinuance of Serv. Exemption—in
                                                                                                          an immigrant visa. In rare                            McLennan Cty., Tex., AB 33 (Sub-No. 335X) (STB
                                                  11 17   CFR 200.30–3(a)(12).                            circumstances, an applicant for an                    served April 9, 2018).



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Document Created: 2018-04-07 02:38:58
Document Modified: 2018-04-07 02:38:58
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionNotices
FR Citation83 FR 15187 

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