83 FR 18364 - Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Incorporate by Reference The Nasdaq Stock Market LLC's Consolidated Audit Trail Rules Into the Rules of Nasdaq MRX
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 83, Issue 81 (April 26, 2018)
Federal Register Volume 83, Issue 81 (April 26, 2018)
| Page Range | 18364-18366 | |
| FR Document | 2018-08733 |
[Federal Register Volume 83, Number 81 (Thursday, April 26, 2018)] [Notices] [Pages 18364-18366] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2018-08733] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-83085; File No. SR-MRX-2018-12] Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Incorporate by Reference The Nasdaq Stock Market LLC's Consolidated Audit Trail Rules Into the Rules of Nasdaq MRX April 20, 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 April 10, 2018, Nasdaq MRX, LLC (``MRX'' or ``Exchange'') filed with the Securities and Exchange Commission (``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. --------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(1). \2\ 17 CFR 240.19b-4. --------------------------------------------------------------------------- I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to incorporate by reference The Nasdaq Stock Market LLC's (``Nasdaq'') rule at General 7, entitled ``Consolidated Audit Trail Compliance'' into MRX's General 7. The text of the proposed rule change is available on the Exchange's website at http://nasdaqmrx.cchwallstreet.com/, at the principal office of the Exchange, and at the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the Exchange included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant 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 incorporate by reference Nasdaq's rule at General 7, entitled ``Consolidated Audit Trail Compliance'' into MRX's General 7. The rule sets are identical.\3\ MRX proposes to remove the current rule text from General 7 and replace that rule text with the following text: \4\ --------------------------------------------------------------------------- \3\ See Securities Exchange Act Release Nos. 82601 (January 30, 2018), 83 FR 4949 (February 2, 2018) (SR-Phlx-2018-11); 82604 (January 30, 2018), 83 FR 5154 (February 5, 2018) (SR-NASDAQ-2018- 007); 82597 (January 30, 2018), 83 FR 4942 (February 2, 2018) (SR- BX-2018-007); 82599 (January 30, 2017), 83 FR 4947 (February 2, 2018) (SR-ISE-2018-09); 82598 (January 30, 2018), 83 FR 4936 (February 2, 2018) (SR-GEMX-2018-02); and 82600 (January 30, 2018), 83 FR 4934 (February 2, 2018) (SR-MRX-2018-03). \4\ MRX shall include a hyperlink to Nasdaq's General 7 for ease of reference. The rules contained in The Nasdaq Stock Market LLC General 7, as such rules may be in effect from time to time (the ``General 7 Rules''), are hereby incorporated by reference into this Nasdaq MRX General 7, and are thus Nasdaq MRX Rules and thereby applicable to Nasdaq MRX Members. Nasdaq MRX Members shall comply with the General 7 Rules as though such rules were fully set forth herein. All defined terms, including any variations thereof, contained in the General 7 Rules shall be read to refer to the Nasdaq MRX related meaning of such term. Solely by way of example, and not in limitation or in exhaustion: the defined term ``Exchange'' in the General 7 Rules shall be read to refer to the Nasdaq MRX Exchange; the defined term ``Rule'' in the General 7 Rules shall be read to --------------------------------------------------------------------------- refer to the Nasdaq MRX Rule. Should any rules which impact trading behavior be added to the Consolidated Audit Trail Compliance Rules in Nasdaq General 7 in the future, those rules shall not become subject to the incorporation by reference and shall be placed elsewhere within MRX's Rulebook. The incorporations by reference of Nasdaq General 7 into MRX's General 7 Rule are regulatory in nature.\5\ The Exchange notes that as a condition of an exemption, which the Exchange will request and will need to be approved by the Commission,\6\ MRX [[Page 18365]] agrees to provide written notice to its members whenever Nasdaq proposes a change to its General 7 Rule.\7\ Such notice will alert MRX members to the proposed Nasdaq rule change and give them an opportunity to comment on the proposal. MRX will similarly inform its members in writing when the SEC approves any such proposed change. --------------------------------------------------------------------------- \5\ The General 7 Rules are categories of rules that are not trading rules. See 17 CFR 200.30-3(a)(76) (contemplating such requests). In addition, several other SROs incorporate by reference certain regulatory rules of another SRO and have received from the Commission similar exemptions from Section 19(b) of the Exchange Act. See e.g., Securities Exchange Act Release Nos. 57478 (March 12, 2008), 73 FR 14521 (March 18, 2008), 53128 (January 13, 2006), 71 FR 3550 (January 23, 2006); 49260 (February 17, 2004), 69 FR 8500 (February 24, 2004). \6\ The Exchange will request an exemption pursuant to its authority under Section 36 of the Exchange Act of 1934 (``Act'') and Rule 0-12\6\ thereunder, from the Section 19(b) rule filing requirements to separately file a proposed rule change to amend MRX General 7. \7\ MRX will provide such notice via a posting on the same website location where MRX posts its own rule filings pursuant to Rule 19b-4 within the timeframe require by such Rule. The website posting will include a link to the location on the Nasdaq website where the applicable proposed rule change is posted. --------------------------------------------------------------------------- Implementation The Exchange proposes that this rule change become operative at such time as it receives approval for an exemption from the Securities and Exchange Commission, pursuant to its authority under Section 36 of the Exchange Act of 1934 (``Act'') and Rule 0-12 \8\ thereunder, from the Section 19(b) rule filing requirements to separately file a proposed rule change to amend MRX General 7. --------------------------------------------------------------------------- \8\ See 17 CFR 240.0-12; Exchange Act Release No. 39624 (February 5, 1998), 63 FR 8101 (February 18, 1998). --------------------------------------------------------------------------- 2. Statutory Basis The Exchange believes that its proposal is consistent with Section 6(b) of the Act,\9\ in general, and furthers the objectives of Section 6(b)(5) of the Act,\10\ in particular, in that it is designed to promote just and equitable principles of trade, 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, by consolidating its rules into a single rule set. The Exchange intends to also file similar proposed rule changes for the Nasdaq PHLX LLC; Nasdaq GEMX, LLC; Nasdaq ISE, LLC; and Nasdaq MRX, LLC markets so that the General 7 Rules which govern Consolidated Audit Trail Compliance are conformed. --------------------------------------------------------------------------- \9\ 15 U.S.C. 78f(b). \10\ 15 U.S.C. 78f(b)(5). --------------------------------------------------------------------------- Incorporating by reference the Nasdaq General 7 Rules into the MRX General 7 Rules will provide an easy reference for Members seeking to comply with Consolidated Audit Trail on multiple markets. As noted, the Exchange intends to file similar proposed rule changes for other affiliated markets so that Nasdaq General 7 is the source document for all Nasdaq Consolidated Audit Trail rules. The Exchange notes that the current rule is not changing and MRX members will be required to continue to comply with the General 7 Rules as though such rules are fully set forth in MRX's Rulebook. The Exchange desires to conform its rules and locate those rules within the same location in each Rulebook to provide Members the ability to quickly locate rules. 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 Exchange believes that this rule change does not impose an undue burden on competition because MRX is merely incorporating by reference the rules of Nasdaq's General 7 into its own Rulebook. The current General 7 is not being amended and therefore no Member is impacted. 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 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 \11\ and subparagraph (f)(6) of Rule 19b-4 thereunder.\12\ --------------------------------------------------------------------------- \11\ 15 U.S.C. 78s(b)(3)(A)(iii). \12\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii) requires the Exchange to give the Commission written notice of the Exchange's intent to file the proposed rule change, along with a brief description and text of 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. --------------------------------------------------------------------------- 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: (i) Necessary or appropriate in the public interest; (ii) for the protection of investors; or (iii) 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. IV. Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods: Electronic CommentsUse the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or Send an email to rule-comments@sec.gov. Please include File Number SR-MRX-2018-12 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-MRX-2018-12. 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 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-MRX-2018-12 and should be submitted on or before May 17, 2018. [[Page 18366]] 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. 2018-08733 Filed 4-25-18; 8:45 am] BILLING CODE 8011-01-P
![18364 Federal Register / Vol. 83, No. 81 / Thursday, April 26, 2018 / Notices
Paper Comments SECURITIES AND EXCHANGE A. Self-Regulatory Organization’s
COMMISSION Statement of the Purpose of, and
• Send paper comments in triplicate Statutory Basis for, the Proposed Rule
to Secretary, Securities and Exchange Change
[Release No. 34–83085; File No. SR–MRX–
Commission, 100 F Street NE,
2018–12] 1. Purpose
Washington, DC 20549–1090.
The Exchange proposes to incorporate
All submissions should refer to File Self-Regulatory Organizations; Nasdaq
by reference Nasdaq’s rule at General 7,
Number SR–ISE–2018–35. This file MRX, LLC; Notice of Filing and
entitled ‘‘Consolidated Audit Trail
number should be included on the Immediate Effectiveness of Proposed
Compliance’’ into MRX’s General 7. The
subject line if email is used. To help the Rule Change To Incorporate by rule sets are identical.3 MRX proposes
Commission process and review your Reference The Nasdaq Stock Market to remove the current rule text from
comments more efficiently, please use LLC’s Consolidated Audit Trail Rules General 7 and replace that rule text with
only one method. The Commission will Into the Rules of Nasdaq MRX the following text: 4
post all comments on the Commission’s The rules contained in The Nasdaq Stock
April 20, 2018.
internet website (http://www.sec.gov/ Market LLC General 7, as such rules may be
rules/sro.shtml). Copies of the Pursuant to Section 19(b)(1) of the in effect from time to time (the ‘‘General 7
submission, all subsequent Securities Exchange Act of 1934 Rules’’), are hereby incorporated by reference
amendments, all written statements (‘‘Act’’),1 and Rule 19b–4 thereunder,2 into this Nasdaq MRX General 7, and are thus
notice is hereby given that on April 10, Nasdaq MRX Rules and thereby applicable to
with respect to the proposed rule
Nasdaq MRX Members. Nasdaq MRX
change that are filed with the 2018, Nasdaq MRX, LLC (‘‘MRX’’ or
Members shall comply with the General 7
Commission, and all written ‘‘Exchange’’) filed with the Securities Rules as though such rules were fully set
communications relating to the and Exchange Commission forth herein. All defined terms, including any
proposed rule change between the (‘‘Commission’’) the proposed rule variations thereof, contained in the General
Commission and any person, other than change as described in Items I and II 7 Rules shall be read to refer to the Nasdaq
below, which Items have been prepared MRX related meaning of such term. Solely by
those that may be withheld from the way of example, and not in limitation or in
public in accordance with the by the Exchange. The Commission is exhaustion: the defined term ‘‘Exchange’’ in
provisions of 5 U.S.C. 552, will be publishing this notice to solicit the General 7 Rules shall be read to refer to
available for website viewing and comments on the proposed rule change the Nasdaq MRX Exchange; the defined term
printing in the Commission’s Public from interested persons. ‘‘Rule’’ in the General 7 Rules shall be read
to refer to the Nasdaq MRX Rule.
Reference Room, 100 F Street NE, I. Self-Regulatory Organization’s
Washington, DC 20549, on official Should any rules which impact
Statement of the Terms of Substance of
business days between the hours of trading behavior be added to the
the Proposed Rule Change Consolidated Audit Trail Compliance
10:00 a.m. and 3:00 p.m. Copies of the
filing also will be available for The Exchange proposes to incorporate Rules in Nasdaq General 7 in the future,
inspection and copying at the principal by reference The Nasdaq Stock Market those rules shall not become subject to
office of the Exchange. All comments LLC’s (‘‘Nasdaq’’) rule at General 7, the incorporation by reference and shall
received will be posted without change. entitled ‘‘Consolidated Audit Trail be placed elsewhere within MRX’s
Persons submitting comments are Compliance’’ into MRX’s General 7. Rulebook. The incorporations by
reference of Nasdaq General 7 into
cautioned that we do not redact or edit The text of the proposed rule change MRX’s General 7 Rule are regulatory in
personal identifying information from is available on the Exchange’s website at nature.5 The Exchange notes that as a
comment submissions. You should http://nasdaqmrx.cchwallstreet.com/, at condition of an exemption, which the
submit only information that you wish the principal office of the Exchange, and Exchange will request and will need to
to make available publicly. All at the Commission’s Public Reference be approved by the Commission,6 MRX
submissions should refer to File Room.
Number SR–ISE–2018–35 and should be 3 See Securities Exchange Act Release Nos. 82601
submitted on or before May 17, 2018. II. Self-Regulatory Organization’s (January 30, 2018), 83 FR 4949 (February 2, 2018)
Statement of the Purpose of, and (SR–Phlx–2018–11); 82604 (January 30, 2018), 83
For the Commission, by the Division of FR 5154 (February 5, 2018) (SR–NASDAQ–2018–
Trading and Markets, pursuant to delegated
Statutory Basis for, the Proposed Rule
007); 82597 (January 30, 2018), 83 FR 4942
authority.13 Change (February 2, 2018) (SR–BX–2018–007); 82599
(January 30, 2017), 83 FR 4947 (February 2, 2018)
Eduardo A. Aleman, In its filing with the Commission, the (SR–ISE–2018–09); 82598 (January 30, 2018), 83 FR
Assistant Secretary. Exchange included statements 4936 (February 2, 2018) (SR–GEMX–2018–02); and
82600 (January 30, 2018), 83 FR 4934 (February 2,
[FR Doc. 2018–08728 Filed 4–25–18; 8:45 am] concerning the purpose of and basis for 2018) (SR–MRX–2018–03).
BILLING CODE 8011–01–P the proposed rule change and discussed 4 MRX shall include a hyperlink to Nasdaq’s
any comments it received on the General 7 for ease of reference.
proposed rule change. The text of these 5 The General 7 Rules are categories of rules that
statements may be examined at the are not trading rules. See 17 CFR 200.30–3(a)(76)
(contemplating such requests). In addition, several
places specified in Item IV below. The other SROs incorporate by reference certain
Exchange has prepared summaries, set regulatory rules of another SRO and have received
forth in sections A, B, and C below, of from the Commission similar exemptions from
amozie on DSK30RV082PROD with NOTICES
Section 19(b) of the Exchange Act. See e.g.,
the most significant aspects of such Securities Exchange Act Release Nos. 57478 (March
statements. 12, 2008), 73 FR 14521 (March 18, 2008), 53128
(January 13, 2006), 71 FR 3550 (January 23, 2006);
49260 (February 17, 2004), 69 FR 8500 (February
24, 2004).
1 15 U.S.C. 78s(b)(1). 6 The Exchange will request an exemption
13 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4. pursuant to its authority under Section 36 of the
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![18366 Federal Register / Vol. 83, No. 81 / Thursday, April 26, 2018 / Notices
For the Commission, by the Division of changes to certain definitions governing definitions governing IPO and Opening
Trading and Markets, pursuant to delegated IPO and Opening Auctions. The Auctions.
authority.13 Exchange has designated this rule Pursuant to Rule 11.350(e), the
Eduardo A. Aleman, change as ‘‘non-controversial’’ under Exchange will conduct an IPO Auction
Assistant Secretary. Section 19(b)(3)(A) of the Act 11 and for securities that are the subject of an
[FR Doc. 2018–08733 Filed 4–25–18; 8:45 am] provided the Commission with the initial public offering on the first day of
BILLING CODE 8011–01–P notice required by Rule 19b–4(f)(6) listing.14 In addition, as proposed, the
thereunder.12 Exchange will also conduct an IPO
The text of the proposed rule change Auction on the first day of listing for a
SECURITIES AND EXCHANGE is available at the Exchange’s website at new issue that is not an initial public
COMMISSION www.iextrading.com, at the principal offering, provided that a broker-dealer
[Release No. 34–83075; File No. SR–IEX– office of the Exchange, and at the serving in the role of financial advisor
2018–08] Commission’s Public Reference Room. to the issuer of the securities being
II. Self-Regulatory Organization’s listed is willing to perform the functions
Self-Regulatory Organizations;
Statement of the Purpose of, and that are performed by an underwriter
Investors Exchange LLC; Notice of
Statutory Basis for, the Proposed Rule with respect to an initial public offering
Filing and Immediate Effectiveness of
Change as specified in Rule 11.280(h)(9)
Proposed Rule Change To Amend Rule
11.350 To Clarify When a New IEX- (‘‘specified underwriter functions’’).15
In its filing with the Commission, the For securities that are not the subject of
Listed Security Will Be Eligible To
self-regulatory organization included an initial public offering or other new
Begin Trading With an IPO Auction
statements concerning the purpose of, issues where a broker-dealer is
April 20, 2018. and basis for, the proposed rule change unwilling to perform the specified
Pursuant to Section 19(b)(1) 1 of the and discussed any comments it received underwriter functions, the security will
Securities Exchange Act of 1934 (the on the proposed rule change. The text be eligible to begin trading in the Pre-
‘‘Act’’) 2 and Rule 19b–4 thereunder,3 of these statement [sic] may be Market Session and have an Opening
notice is hereby given that, on April 17, examined at the places specified in Item Auction on IEX at the start of Regular
2018, the Investors Exchange LLC IV below. The self-regulatory Market Hours, instead of conducting an
(‘‘IEX’’ or the ‘‘Exchange’’) filed with the organization has prepared summaries, IPO Auction on the first day of listing.16
Securities and Exchange Commission set forth in Sections A, B, and C below, As an example, if an issuer with a class
(the ‘‘Commission’’) the proposed rule of the most significant aspects of such of common stock listed on IEX offers
change as described in Items I and II statements. and lists a class of preferred stock on
below, which Items have been prepared A. Self-Regulatory Organization’s IEX, the offering of the preferred stock
by the self-regulatory organization. The Statement of the Purpose of, and the would not constitute an initial public
Commission is publishing this notice to Statutory Basis for, the Proposed Rule offering and if there is no broker-dealer
solicit comments on the proposed rule Change serving in the role of financial advisor
change from interested persons. to the issuer of the preferred stock that
1. Purpose is willing to perform the specified
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of Overview underwriter functions, the security will
the Proposed Rule Change be eligible to begin trading in the Pre-
On August 4, 2017, the Commission Market Session and have an Opening
Pursuant to the provisions of Section approved a proposed rule change filed Auction on IEX at the start of Regular
19(b)(1) under the Securities Exchange by the Exchange to adopt rules
Act of 1934 (‘‘Act’’),4 and Rule 19b–4 governing auctions in IEX-listed 14 Pursuant to section 12(f)(1)(G)(i)–(ii) of the
thereunder,5 IEX is filing with the securities (‘‘IEX Auctions’’), including Securities and Exchange Act, a security is the
Commission a proposed rule change to provisions governing the initial public subject of an initial public offering if the offering
amend Rules 11.350(e) and (a) to clarify offering (‘‘IPO’’) of IEX-listed of the subject security is registered under the
Securities Act of 1933, the issuer of the security,
that a new IEX-listed security that is not securities.13 The Exchange intends to immediately prior to filing the registration
the subject of an initial public offering launch a listings program for corporate statement with respect to the offering, was not
(‘‘IPO’’) 6 or otherwise being priced issuers in 2018. The purpose of this subject to the reporting requirements of the Act, and
pursuant to Rule 11.280(h)(9) will be proposed rule change is to amend the initial public offering of such security
commences at the opening of trading on the day on
eligible to begin trading in the Pre- paragraphs (e) and (a) of Rule 11.350, which such security commences trading on the
Market Session 7 and have an Opening and adopt new Supplemental Material national securities exchange with which such
Auction 8 on IEX at the start of Regular .01 and .02 to Rule 11.350(e) to clarify security is registered. See 15 U.S.C. 78l(f)(1)(G). See
Market Hours,9 rather than an IPO that a new IEX-listed security that is not also proposed Supplemental Material .01 to Rule
11.350(e).
Auction,10 and to make corresponding the subject of an initial public offering 15 Pursuant to Rule 11.280(h)(9), the process for
or otherwise being priced pursuant to halting and initial pricing of a security that is the
13 17 CFR 200.30–3(a)(12). Rule 11.280(h)(9) will be eligible to subject of an IPO shall also be available for the
1 15 U.S.C.78s(b)(1). initial pricing of any other security that has not
begin trading in the Pre-Market Session
2 15 U.S.C. 78a. been listed on a national securities exchange or
3 17 CFR 240.19b–4.
and have an Opening Auction on IEX at traded in the over-the-counter market pursuant to
4 15 U.S.C. 78s(b)(1).
the start of Regular Market Hours, rather FINRA Form 211 immediately prior to the initial
than an IPO Auction, and to make pricing, provided that a broker-dealer serving in the
amozie on DSK30RV082PROD with NOTICES
5 17 CFR 240.19b–4.
6 The term IPO refers to the initial public offering corresponding changes to certain role of financial advisor to the issuer of the
securities being listed is willing to perform the
of securities registered under Section 6 of the functions under IEX Rule 11.280(h)(8) that are
Securities Act of 1933. 11 15 U.S.C. 78s(b)(3)(A). performed by an underwriter with respect to an
7 See Rule 1.160(z). 12 17 CFR 240.19b–4. initial public offering. See also proposed
8 See Rule 11.350(c). 13 See Securities Exchange Act Release No. 81316 Supplemental Material .01 to Rule 11.350(e).
9 See Rule 1.160(gg).
(August 4, 2017), 82 FR 37474 (August 10, 2017). 16 See proposed Supplemental Material .02 to
10 See Rule 11.350(e). See also Rule 11.350(e). Rule 11.350(e) and Rule 11.350(c).
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Document Created: 2018-11-02 08:20:15
Document Modified: 2018-11-02 08:20:15
| 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 18364 |
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