83 FR 18384 - Self-Regulatory Organizations; Nasdaq GEMX, 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 GEMX
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 83, Issue 81 (April 26, 2018)
Federal Register Volume 83, Issue 81 (April 26, 2018)
| Page Range | 18384-18385 | |
| FR Document | 2018-08732 |
[Federal Register Volume 83, Number 81 (Thursday, April 26, 2018)] [Notices] [Pages 18384-18385] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2018-08732] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-83083; File No. SR-GEMX-2018-13] Self-Regulatory Organizations; Nasdaq GEMX, 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 GEMX 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 GEMX, LLC (``GEMX'' 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 GEMX's General 7. The text of the proposed rule change is available on the Exchange's website at http://nasdaqgemx.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 GEMX's General 7. The rule sets are identical.\3\ GEMX 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\ GEMX 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 GEMX General 7, and are thus Nasdaq GEMX Rules and thereby applicable to Nasdaq GEMX Members. Nasdaq GEMX 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 GEMX 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 GEMX Exchange; the defined term ``Rule'' in the General 7 Rules shall be read to refer to the Nasdaq GEMX 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 GEMX's Rulebook. The incorporations by reference of Nasdaq General 7 into GEMX'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\ GEMX agrees to provide written notice to its members whenever Nasdaq proposes a change to its General 7 Rule.\7\ Such notice will alert GEMX members to the proposed Nasdaq rule change and give them an opportunity to comment on the proposal. GEMX 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 0-121 thereunder, from the Section 19(b) rule filing requirements to separately file a proposed rule change to amend GEMX General 7. \7\ GEMX will provide such notice via a posting on the same website location where GEMX 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 GEMX 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 [[Page 18385]] 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 GEMX 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 GEMX members will be required to continue to comply with the General 7 Rules as though such rules are fully set forth in GEMX'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 GEMX 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-GEMX-2018-13 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-GEMX-2018-13. 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-GEMX-2018-13 and should be submitted on or before May 17, 2018. 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. 2018-08732 Filed 4-25-18; 8:45 am] BILLING CODE 8011-01-P
![18384 Federal Register / Vol. 83, No. 81 / Thursday, April 26, 2018 / Notices
2018–013, and should be submitted on statements may be examined at the condition of an exemption, which the
or before May 17, 2018. places specified in Item IV below. The Exchange will request and will need to
For the Commission, by the Division of Exchange has prepared summaries, set be approved by the Commission,6
Trading and Markets, pursuant to delegated forth in sections A, B, and C below, of GEMX agrees to provide written notice
authority.16 the most significant aspects of such to its members whenever Nasdaq
Eduardo A. Aleman, statements. proposes a change to its General 7
Assistant Secretary. Rule.7 Such notice will alert GEMX
A. Self-Regulatory Organization’s
[FR Doc. 2018–08731 Filed 4–25–18; 8:45 am] members to the proposed Nasdaq rule
Statement of the Purpose of, and
change and give them an opportunity to
BILLING CODE 8011–01–P Statutory Basis for, the Proposed Rule
comment on the proposal. GEMX will
Change
similarly inform its members in writing
SECURITIES AND EXCHANGE 1. Purpose when the SEC approves any such
COMMISSION The Exchange proposes to incorporate proposed change.
[Release No. 34–83083; File No. SR–GEMX– by reference Nasdaq’s rule at General 7, Implementation
2018–13] entitled ‘‘Consolidated Audit Trail
Compliance’’ into GEMX’s General 7. The Exchange proposes that this rule
Self-Regulatory Organizations; Nasdaq The rule sets are identical.3 GEMX change become operative at such time as
GEMX, LLC; Notice of Filing and proposes to remove the current rule text it receives approval for an exemption
Immediate Effectiveness of Proposed from General 7 and replace that rule text from the Securities and Exchange
Rule Change To Incorporate by with the following text: 4 Commission, pursuant to its authority
Reference The Nasdaq Stock Market The rules contained in The Nasdaq under Section 36 of the Exchange Act of
LLC’s Consolidated Audit Trail Rules Stock Market LLC General 7, as such 1934 (‘‘Act’’) and Rule 0–12 8
Into the Rules of Nasdaq GEMX rules may be in effect from time to time thereunder, from the Section 19(b) rule
(the ‘‘General 7 Rules’’), are hereby filing requirements to separately file a
April 20, 2018. incorporated by reference into this proposed rule change to amend GEMX
Pursuant to Section 19(b)(1) of the Nasdaq GEMX General 7, and are thus General 7.
Securities Exchange Act of 1934 Nasdaq GEMX Rules and thereby 2. Statutory Basis
(‘‘Act’’),1 and Rule 19b–4 thereunder,2 applicable to Nasdaq GEMX Members.
notice is hereby given that on April 10, Nasdaq GEMX Members shall comply The Exchange believes that its
2018, Nasdaq GEMX, LLC (‘‘GEMX’’ or with the General 7 Rules as though such proposal is consistent with Section 6(b)
‘‘Exchange’’) filed with the Securities rules were fully set forth herein. All of the Act,9 in general, and furthers the
and Exchange Commission defined terms, including any variations objectives of Section 6(b)(5) of the Act,10
(‘‘Commission’’) the proposed rule thereof, contained in the General 7 in particular, in that it is designed to
change as described in Items I and II Rules shall be read to refer to the promote just and equitable principles of
below, which Items have been prepared Nasdaq GEMX related meaning of such trade, to remove impediments to and
by the Exchange. The Commission is term. Solely by way of example, and not perfect the mechanism of a free and
publishing this notice to solicit in limitation or in exhaustion: the open market and a national market
comments on the proposed rule change defined term ‘‘Exchange’’ in the General system, and, in general to protect
from interested persons. 7 Rules shall be read to refer to the investors and the public interest, by
Nasdaq GEMX Exchange; the defined consolidating its rules into a single rule
I. Self-Regulatory Organization’s set. The Exchange intends to also file
Statement of the Terms of Substance of term ‘‘Rule’’ in the General 7 Rules shall
be read to refer to the Nasdaq GEMX similar proposed rule changes for the
the Proposed Rule Change Nasdaq PHLX LLC; Nasdaq GEMX, LLC;
Rule.
The Exchange proposes to incorporate Should any rules which impact Nasdaq ISE, LLC; and Nasdaq MRX, LLC
by reference The Nasdaq Stock Market trading behavior be added to the markets so that the General 7 Rules
LLC’s (‘‘Nasdaq’’) rule at General 7, Consolidated Audit Trail Compliance
entitled ‘‘Consolidated Audit Trail Rules in Nasdaq General 7 in the future, other SROs incorporate by reference certain
Compliance’’ into GEMX’s General 7. those rules shall not become subject to regulatory rules of another SRO and have received
The text of the proposed rule change from the Commission similar exemptions from
the incorporation by reference and shall Section 19(b) of the Exchange Act. See e.g.,
is available on the Exchange’s website at
be placed elsewhere within GEMX’s Securities Exchange Act Release Nos. 57478 (March
http://nasdaqgemx.cchwallstreet.com/, 12, 2008), 73 FR 14521 (March 18, 2008), 53128
Rulebook. The incorporations by
at the principal office of the Exchange, (January 13, 2006), 71 FR 3550 (January 23, 2006);
reference of Nasdaq General 7 into
and at the Commission’s Public 49260 (February 17, 2004), 69 FR 8500 (February
GEMX’s General 7 Rule are regulatory in 24, 2004).
Reference Room.
nature.5 The Exchange notes that as a 6 The Exchange will request an exemption
II. Self-Regulatory Organization’s pursuant to its authority under Section 36 of the
Statement of the Purpose of, and 3 See Securities Exchange Act Release Nos. 82601 Exchange Act of 1934 (‘‘Act’’) and Rule 0–121
(January 30, 2018), 83 FR 4949 (February 2, 2018) thereunder, from the Section 19(b) rule filing
Statutory Basis for, the Proposed Rule requirements to separately file a proposed rule
(SR–Phlx–2018–11); 82604 (January 30, 2018), 83
Change FR 5154 (February 5, 2018) (SR–NASDAQ–2018– change to amend GEMX General 7.
7 GEMX will provide such notice via a posting on
In its filing with the Commission, the 007); 82597 (January 30, 2018), 83 FR 4942
(February 2, 2018) (SR–BX–2018–007); 82599 the same website location where GEMX posts its
Exchange included statements (January 30, 2017), 83 FR 4947 (February 2, 2018) own rule filings pursuant to Rule 19b-4 within the
concerning the purpose of and basis for (SR–ISE–2018–09); 82598 (January 30, 2018), 83 FR timeframe require by such Rule. The website
amozie on DSK30RV082PROD with NOTICES
the proposed rule change and discussed 4936 (February 2, 2018) (SR–GEMX–2018–02); and posting will include a link to the location on the
82600 (January 30, 2018), 83 FR 4934 (February 2, Nasdaq website where the applicable proposed rule
any comments it received on the change is posted.
2018) (SR–MRX–2018–03).
proposed rule change. The text of these 4 GEMX shall include a hyperlink to Nasdaq’s 8 See 17 CFR 240.0–12; Exchange Act Release No.
General 7 for ease of reference. 39624 (February 5, 1998), 63 FR 8101 (February 18,
16 17 CFR 200.30–3(a)(12). 5 The General 7 Rules are categories of rules that 1998).
1 15 U.S.C. 78s(b)(1). 9 15 U.S.C. 78f(b).
are not trading rules. See 17 CFR 200.30–3(a)(76)
2 17 CFR 240.19b–4. (contemplating such requests). In addition, several 10 15 U.S.C. 78f(b)(5).
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![Federal Register / Vol. 83, No. 81 / Thursday, April 26, 2018 / Notices 18385
which govern Consolidated Audit Trail At any time within 60 days of the received will be posted without change.
Compliance are conformed. filing of the proposed rule change, the Persons submitting comments are
Incorporating by reference the Nasdaq Commission summarily may cautioned that we do not redact or edit
General 7 Rules into the GEMX General temporarily suspend such rule change if personal identifying information from
7 Rules will provide an easy reference it appears to the Commission that such comment submissions. You should
for Members seeking to comply with action is: (i) Necessary or appropriate in submit only information that you wish
Consolidated Audit Trail on multiple the public interest; (ii) for the protection to make available publicly. All
markets. As noted, the Exchange intends of investors; or (iii) otherwise in submissions should refer to File
to file similar proposed rule changes for furtherance of the purposes of the Act. Number SR–GEMX–2018–13 and
other affiliated markets so that Nasdaq If the Commission takes such action, the should be submitted on or before May
General 7 is the source document for all Commission shall institute proceedings 17, 2018.
Nasdaq Consolidated Audit Trail rules. to determine whether the proposed rule For the Commission, by the Division of
The Exchange notes that the current rule should be approved or disapproved. Trading and Markets, pursuant to delegated
is not changing and GEMX members authority.13
IV. Solicitation of Comments
will be required to continue to comply Eduardo A. Aleman,
with the General 7 Rules as though such Interested persons are invited to Assistant Secretary.
rules are fully set forth in GEMX’s submit written data, views, and [FR Doc. 2018–08732 Filed 4–25–18; 8:45 am]
Rulebook. The Exchange desires to arguments concerning the foregoing,
BILLING CODE 8011–01–P
conform its rules and locate those rules including whether the proposed rule
within the same location in each change is consistent with the Act.
Rulebook to provide Members the Comments may be submitted by any of SECURITIES AND EXCHANGE
ability to quickly locate rules. the following methods: COMMISSION
B. Self-Regulatory Organization’s Electronic Comments
Proposed Collection; Comment
Statement on Burden on Competition • Use the Commission’s internet Request
The Exchange does not believe that comment form (http://www.sec.gov/
rules/sro.shtml); or Upon Written Request, Copies Available
the proposed rule change will impose
any burden on competition not • Send an email to rule-comments@ From: U.S. Securities and Exchange
sec.gov. Please include File Number SR– Commission, Office of FOIA Services,
necessary or appropriate in furtherance
GEMX–2018–13 on the subject line. 100 F Street NE, Washington, DC
of the purposes of the Act. The
20549–2736.
Exchange believes that this rule change Paper Comments
does not impose an undue burden on Extension:
• Send paper comments in triplicate Rule 11a1–1(T), SEC File No. 270–428,
competition because GEMX is merely
to Secretary, Securities and Exchange OMB Control No. 3235–0478.
incorporating by reference the rules of
Commission, 100 F Street NE, Notice is hereby given that pursuant
Nasdaq’s General 7 into its own
Washington, DC 20549–1090. to the Paperwork Reduction Act of 1995
Rulebook. The current General 7 is not
being amended and therefore no All submissions should refer to File (44 U.S.C. 3501 et seq.), the Securities
Member is impacted. Number SR–GEMX–2018–13. This file and Exchange Commission
number should be included on the (‘‘Commission’’) is soliciting comments
C. Self-Regulatory Organization’s subject line if email is used. To help the on the collection of information
Statement on Comments on the Commission process and review your provided for in Rule 11a1–1(T) (17 CFR
Proposed Rule Change Received From comments more efficiently, please use 240.11a1–1(T)), under the Securities
Members, Participants, or Others only one method. The Commission will Exchange Act of 1934 (15 U.S.C. 78a et
No written comments were either post all comments on the Commission’s seq.). The Commission plans to submit
solicited or received. internet website (http://www.sec.gov/ this existing collection of information to
rules/sro.shtml). Copies of the the Office of Management and Budget
III. Date of Effectiveness of the submission, all subsequent (‘‘OMB’’) for extension and approval.
Proposed Rule Change and Timing for amendments, all written statements On January 27, 1976, the Commission
Commission Action with respect to the proposed rule adopted Rule 11a1–1(T)—Transactions
Because the foregoing proposed rule change that are filed with the Yielding Priority, Parity, and
change does not: (i) Significantly affect Commission, and all written Precedence (17 CFR 240.11a1–1(T))
the protection of investors or the public communications relating to the under the Securities Exchange Act of
interest; (ii) impose any significant proposed rule change between the 1934 (15 U.S.C. 78a et seq.) (‘‘Exchange
burden on competition; and (iii) become Commission and any person, other than Act’’) to exempt certain transactions of
operative for 30 days from the date on those that may be withheld from the exchange members for their own
which it was filed, or such shorter time public in accordance with the accounts that would otherwise be
as the Commission may designate, it has provisions of 5 U.S.C. 552, will be prohibited under Section 11(a) of the
become effective pursuant to Section available for website viewing and Exchange Act. The rule provides that a
19(b)(3)(A)(iii) of the Act 11 and printing in the Commission’s Public member’s proprietary order may be
subparagraph (f)(6) of Rule 19b–4 Reference Room, 100 F Street NE, executed on the exchange of which the
thereunder.12 Washington, DC 20549, on official trader is a member, if, among other
business days between the hours of things: (1) The member discloses that a
amozie on DSK30RV082PROD with NOTICES
11 15 U.S.C. 78s(b)(3)(A)(iii). 10:00 a.m. and 3:00 p.m. Copies of the bid or offer for its account is for its
12 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– filing also will be available for account to any member with whom
4(f)(6)(iii) requires the Exchange to give the inspection and copying at the principal such bid or offer is placed or to whom
Commission written notice of the Exchange’s intent it is communicated; (2) any such
to file the proposed rule change, along with a brief office of the Exchange. All comments
description and text of the proposed rule change, member through whom that bid or offer
at least five business days prior to the date of filing as designated by the Commission. The Exchange
of the proposed rule change, or such shorter time has satisfied this requirement. 13 17 CFR 200.30–3(a)(12).
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Document Created: 2018-11-02 08:20:26
Document Modified: 2018-11-02 08:20:26
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
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| Section | Notices | |
| FR Citation | 83 FR 18384 |
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