83 FR 28687 - Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Fees and Rebates To Extend the Current Waiver of Certain Adding and Taking Tier Volume Requirements to July 1, 2018, and Make Non-Substantive Changes To Eliminate Obsolete Text

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 83, Issue 119 (June 20, 2018)

Page Range		28687-28689
FR Document		2018-13166
Federal Register, Volume 83 Issue 119 (Wednesday, June 20, 2018)
[Federal Register Volume 83, Number 119 (Wednesday, June 20, 2018)]
[Notices]
[Pages 28687-28689]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-13166]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-83440; File No. SR-NYSENAT-2018-13]


Self-Regulatory Organizations; NYSE National, Inc.; Notice of 
Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its 
Schedule of Fees and Rebates To Extend the Current Waiver of Certain 
Adding and Taking Tier Volume Requirements to July 1, 2018, and Make 
Non-Substantive Changes To Eliminate Obsolete Text

June 14, 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 June 6, 2018, NYSE National, Inc. (the ``Exchange'' or 
``NYSE National'') 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

[[Page 28688]]

solicit comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance 
of the Proposed Rule Change

    The Exchange proposes to amend its Schedule of Fees and Rebates to 
(1) extend the current waiver of certain adding and taking tier volume 
requirements to July 1, 2018, and (2) make non-substantive changes to 
eliminate obsolete text. The Exchange proposes to implement the rule 
change on June 6, 2018.\4\ 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.
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    \4\ The Exchange originally filed to amend the Fee Schedule on 
May 31, 2018 (SR-NYSENAT-2018-11) and withdrew such filing on June 
6, 2018. This filing replaces SR-NYSENAT-2018-11 in its entirety.
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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 the 
Statutory Basis for, the Proposed Rule Change

1. Purpose
    The Exchange proposes to amend its Schedule of Fees and Rebates to 
(1) extend the current waiver of certain adding and taking tier volume 
requirements to July 1, 2018, and (2) make non-substantive changes to 
eliminate obsolete text.
    The Exchange proposes to implement the rule change on June 6, 2018.
Extend Waiver of Adding and Taking Tier Volume Requirements
    Currently, under the Adding Tier, the Exchange charges fees of 
$0.0020 per share for displayed orders, $0.0022 per share for non-
displayed orders, $0.0018 per share for orders that set a new Exchange 
BBO,\5\ and $0.0005 per share for Mid-Point Liquidity (``MPL'') orders 
for transactions in stocks with a per share price of $1.00 or more when 
adding liquidity to the Exchange if the ETP Holder has at least 0.015% 
of Adding ADV as a percent of US CADV. Under the Taking Tier, the 
Exchange offers credits of ($0.0020) per share for orders and ($0.0002) 
per share for MPL orders for transactions in stocks with a per share 
price of $1.00 or more when removing liquidity from the Exchange if the 
ETP Holder has at least 50,000 shares of Adding ADV. As reflected in 
footnote * of the Schedule of Fees and Rebates, the Exchange currently 
waives the volume requirements for both of these tiers until June 1, 
2018.
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    \5\ The term ``BBO'' is defined in Rule 1.1 to mean the best bid 
or offer that is a Protected Quotation on the Exchange. The term 
``BB'' means the best bid that is a Protected Quotation on the 
Exchange and the term ``BO'' means the best offer that is a 
Protected Quotation on the Exchange.
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    The Exchange proposes to extend the waiver of the volume 
requirements for the Adding Tier and Taking Tier until July 1, 2018, 
which would be reflected in footnote * of the Schedule of Fees and 
Rebates.
Deletion of Obsolete Text
    Currently, the Exchange does not [sic] to charge for order/quote 
entry ports and for drop copy ports until June 1, 2018.\6\ Thereafter, 
as the Exchange noted in its filing adopting the port fees, the 
Exchange would charge $250 per port per month for both order/quote 
entry ports and drop copy ports, and the fees would apply to all market 
participants.\7\ Because the fee waivers expire on June 1, 2018, and 
the Exchange does not propose to extend the waivers, the Exchange 
accordingly proposes to eliminate the waiver language in the Section 
III (Port Fees) of the Schedule of Fees and Rebates as obsolete.
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    \6\ Order/quote entry ports provide connectivity to the 
Exchange's trading systems (i.e., ports for entry of orders and/or 
quotes). Drop copy ports allow for the receipt of ``drop copies'' of 
order or transaction information. Firms receive confirmations of 
their orders and receive execution reports via the order/quote entry 
port that is used to enter the order or quote. A ``drop copy'' 
contains redundant information that a firm chooses to have 
``dropped'' to another destination (e.g., to allow the firm's back 
office and/or compliance department, or another firm--typically the 
firm's clearing broker--to have immediate access to the 
information). Drop copies can only be sent via a drop copy port. 
Drop copy ports cannot be used to enter orders and/or quotes.
    \7\ See SR-NYSENAT-2018-12.
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    The proposed changes are not otherwise intended to address any 
other issues, and the Exchange is not aware of any problems that ETP 
Holders would have in complying with the proposed change.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent 
with Section 6(b) of the Act,\8\ in general, and furthers the 
objectives of Sections 6(b)(4) and 6(b)(5) of the Act,\9\ in 
particular, because it provides for the equitable allocation of 
reasonable dues, fees, and other charges among its members, issuers and 
other persons using its facilities and does not unfairly discriminate 
between customers, issuers, brokers or dealers.
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    \8\ 15 U.S.C. 78f(b).
    \9\ 15 U.S.C. 78f(b)(4) & (5).
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Extend Waiver of Adding and Taking Tier Volume Requirements
    The Exchange believes it is reasonable to extend the waiver of the 
Adding Tier and Taking Tier volume requirements until July 1, 2018, 
because the continued waiver for a limited period of time will provide 
incentives for ETP Holders to submit increased volumes and enable the 
Exchange to improve its overall competitiveness and strengthen its 
market quality to the benefit of all market participants. The proposed 
extension of the volume requirements waiver is not unfairly 
discriminatory because it will apply equally to all similarly situated 
ETP Holders.
Non-Substantive Changes
    The Exchange believes that the proposed deletion of waiver language 
expiring June 1, 2018, relating to port fees removes impediments to, 
and perfects the mechanism of, a free and open market by adding clarity 
as to whether waivers are operative and when, thereby reducing 
potential confusion that may result from having obsolete material in 
the Exchange's rulebook, and making the Exchange's rules easier to 
navigate. The Exchange believes that eliminating such obsolete material 
would not be inconsistent with the public interest and the protection 
of investors because investors will not be harmed and in fact would 
benefit from increased transparency, thereby reducing potential 
confusion.
    Finally, the Exchange believes that it is subject to significant 
competitive forces, as described below in the Exchange's statement 
regarding the burden on competition.
    For the foregoing reasons, the Exchange believes that the proposal 
is consistent with the Act.

B. Self-Regulatory Organization's Statement on Burden on Competition

    In accordance with Section 6(b)(8) of the Act,\10\ the Exchange 
believes that the proposed rule change would not impose any burden on 
competition that is not necessary or appropriate in furtherance

[[Page 28689]]

of the purposes of the Act. Instead, the Exchange believes that the 
proposed rule change would encourage the submission of additional 
liquidity to a public exchange, thereby promoting price discovery and 
transparency and enhancing order execution opportunities for ETP 
Holders. The Exchange believes that this could promote competition 
between the Exchange and other execution venues, including those that 
currently offer similar order types and comparable transaction pricing, 
by encouraging additional orders to be sent to the Exchange for 
execution. The Exchange also believes that the proposed rule is 
designed to provide the public and investors with a Schedule of Fees 
and Rebates that is clear and consistent, thereby reducing burdens on 
the marketplace and facilitating investor protection.
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    \10\ 15 U.S.C. 78f(b)(8).
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    Finally, the Exchange notes that it operates in a highly 
competitive market in which market participants can readily favor 
competing venues if they deem fee levels at a particular venue to be 
excessive or rebate opportunities available at other venues to be more 
favorable. In such an environment, the Exchange must continually adjust 
its fees and rebates to remain competitive with other exchanges and 
with alternative trading systems that have been exempted from 
compliance with the statutory standards applicable to exchanges. 
Because competitors are free to modify their own fees and credits in 
response, and because market participants may readily adjust their 
order routing practices, the Exchange believes that the degree to which 
fee changes in this market may impose any burden on competition is 
extremely limited. As a result of all of these considerations, the 
Exchange does not believe that the proposed changes will impair the 
ability of ETP Holders or competing order execution venues to maintain 
their competitive standing in the financial markets.

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) \11\ of the Act and subparagraph (f)(2) of Rule 
19b-4 \12\ thereunder, because it establishes a due, fee, or other 
charge imposed by the Exchange.
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    \11\ 15 U.S.C. 78s(b)(3)(A).
    \12\ 17 CFR 240.19b-4(f)(2).
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    At any time within 60 days of the filing of such proposed rule 
change, the Commission summarily may temporarily suspend such rule 
change if it appears to the Commission that such action is necessary or 
appropriate in the public interest, for the protection of investors, or 
otherwise in furtherance of the purposes of the Act. If the Commission 
takes such action, the Commission shall institute proceedings under 
Section 19(b)(2)(B) \13\ of the Act to determine whether the proposed 
rule change should be approved or disapproved.
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    \13\ 15 U.S.C. 78s(b)(2)(B).
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IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to [email protected]. Please include 
File Number SR-NYSENAT-2018-13 on the subject line.

Paper Comments

     Send paper comments in triplicate to Brent J. Fields, 
Secretary, Securities and Exchange Commission, 100 F Street NE, 
Washington, DC 20549-1090.

All submissions should refer to File Number SR-NYSENAT-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; the Commission does not edit 
personal identifying information from submissions. 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-NYSENAT-2018-13 and should 
be submitted on or before July 11, 2018.

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\14\
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    \14\ 17 CFR 200.30-3(a)(12).
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Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-13166 Filed 6-19-18; 8:45 am]
 BILLING CODE 8011-01-P
Federal Register / Vol. 83, No. 119 / Wednesday, June 20, 2018 / Notices 28687

through another participant or market C. Self-Regulatory Organization’s Commission and any person, other than
center or taking that exchange’s data Statement on Comments on the those that may be withheld from the
indirectly. Accordingly, if the Exchange Proposed Rule Change Received From public in accordance with the
charges excessive fees, it would stand to Members, Participants, or Others provisions of 5 U.S.C. 552, will be
lose not only connectivity revenues but The Exchange has not solicited, and available for website viewing and
also revenues associated with the does not intend to solicit, comments on printing in the Commission’s Public
execution of orders routed to it, and, to this proposed rule change. The Reference Room, 100 F Street NE,
the extent applicable, market data Exchange has not received any Washington, DC 20549 on official
revenues. The Exchange believes that unsolicited written comments from business days between the hours of
this competitive dynamic imposes Members or other interested parties. 10:00 a.m. and 3:00 p.m. Copies of such
powerful restraints on the ability of any filing also will be available for
III. Date of Effectiveness of the inspection and copying at the principal
exchange to charge unreasonable fees Proposed Rule Change and Timing for office of the Exchange. All comments
for connectivity. Commission Action received will be posted without change.
Furthermore, the proposed rule The foregoing rule change has become Persons submitting comments are
change is also an equitable allocation of effective pursuant to Section 19(b)(3)(A) cautioned that we do not redact or edit
reasonable dues, fees, and other charges of the Act 11 and paragraph (f) of Rule personal identifying information from
as the Exchange believes that the 19b–4 thereunder.12 At any time within comment submissions. You should
proposed increased physical port fees 60 days of the filing of the proposed rule submit only information that you wish
will enable it to cover its infrastructure change, the Commission summarily may to make available publicly. All
costs associated with establishing temporarily suspend such rule change if submissions should refer to File
physical ports to connect to the it appears to the Commission that such Number SR–CboeBZX–2018–038, and
Exchange’s systems. The additional action is necessary or appropriate in the should be submitted on or before July
revenue from the increased fees will public interest, for the protection of 11, 2018.
also enable the Exchange to continue to investors, or otherwise in furtherance of For the Commission, by the Division of
maintain and improve its market the purposes of the Act. Trading and Markets, pursuant to delegated
technology and services. Similarly, the IV. Solicitation of Comments authority.13
Exchange believes the proposed fees for Eduardo A. Aleman,
Interested persons are invited to
the Disaster Recovery Physical Ports submit written data, views, and Assistant Secretary.
will allow the Exchange to maintain the arguments concerning the foregoing, [FR Doc. 2018–13159 Filed 6–19–18; 8:45 am]
Disaster Recovery Physical Ports in case including whether the proposed rule BILLING CODE 8011–01–P
they become necessary. change is consistent with the Act.
Lastly, the Exchange believes the fees Comments may be submitted by any of
the following methods: SECURITIES AND EXCHANGE
remain competitive with those charged
COMMISSION
by other venues and therefore continue Electronic Comments
to be reasonable and equitably allocated [Release No. 34–83440; File No. SR–
• Use the Commission’s internet
to Members.10 NYSENAT–2018–13]
comment form (http://www.sec.gov/
B. Self-Regulatory Organization’s rules/sro.shtml); or Self-Regulatory Organizations; NYSE
Statement on Burden on Competition • Send an email to rule-comments@ National, Inc.; Notice of Filing and
sec.gov. Please include File Number SR– Immediate Effectiveness of Proposed
The Exchange does not believe that CboeBZX–2018–038 on the subject line. Rule Change To Amend Its Schedule of
the proposed rule change will impose Fees and Rebates To Extend the
Paper Comments
any burden on competition not Current Waiver of Certain Adding and
necessary or appropriate in furtherance • Send paper comments in triplicate
Taking Tier Volume Requirements to
of the purposes of the Act. As discussed to Secretary, Securities and Exchange
July 1, 2018, and Make Non-
above, the Exchange believes that fees Commission, 100 F Street NE,
Substantive Changes To Eliminate
for connectivity are constrained by the Washington, DC 20549–1090.
Obsolete Text
robust competition for order flow among All submissions should refer to File
exchanges and non-exchange markets. Number SR–CboeBZX–2018–038. This June 14, 2018.
The Exchange does not believe that the file number should be included on the Pursuant to Section 19(b)(1) 1 of the
proposed changes represent a significant subject line if email is used. To help the Securities Exchange Act of 1934 (the
departure from previous pricing offered Commission process and review your ‘‘Act’’) 2 and Rule 19b–4 thereunder,3
by the Exchange or pricing offered by comments more efficiently, please use notice is hereby given that, on June 6,
the Exchange’s competitors. only one method. The Commission will 2018, NYSE National, Inc. (the
Additionally, Members may opt to post all comments on the Commission’s ‘‘Exchange’’ or ‘‘NYSE National’’) filed
disfavor the Exchange’s pricing if they internet website (http://www.sec.gov/ with the Securities and Exchange
believe that alternatives offer them rules/sro.shtml). Copies of the Commission (the ‘‘Commission’’) the
submission, all subsequent proposed rule change as described in
better value. Further, excessive fees for
amendments, all written statements Items I, II, and III below, which Items
connectivity would serve to impair an
sradovich on DSK3GMQ082PROD with NOTICES

with respect to the proposed rule have been prepared by the self-
exchange’s ability to compete for order
change that are filed with the regulatory organization. The
flow rather than burdening competition.
Commission, and all written Commission is publishing this notice to
communications relating to the
10 See e.g., NYSE Arca Equities Fees and Charges,

NYSE Arca Marketplace: Other Fees and Charges,
proposed rule change between the 13 17 CFR 200.30–3(a)(12).
1 15 U.S.C. 78s(b)(1).
Connectivity Fees. See also, Nasdaq Phlx LLC
11 15 U.S.C. 78s(b)(3)(A). 2 15 U.S.C. 78a.
Pricing Schedule, Section XI, Direct Connectivity to
Phlx. 12 17 CFR 240.19b–4(f). 3 17 CFR 240.19b–4.

VerDate Sep<11>2014 18:58 Jun 19, 2018 Jkt 244001 PO 00000 Frm 00081 Fmt 4703 Sfmt 4703 E:\FR\FM\20JNN1.SGM 20JNN1
Federal Register / Vol. 83, No. 119 / Wednesday, June 20, 2018 / Notices 28689

of the purposes of the Act. Instead, the subparagraph (f)(2) of Rule 19b–4 12 Washington, DC 20549 on official
Exchange believes that the proposed thereunder, because it establishes a due, business days between the hours of
rule change would encourage the fee, or other charge imposed by the 10:00 a.m. and 3:00 p.m. Copies of the
submission of additional liquidity to a Exchange. filing also will be available for
public exchange, thereby promoting At any time within 60 days of the inspection and copying at the principal
price discovery and transparency and filing of such proposed rule change, the office of the Exchange. All comments
enhancing order execution Commission summarily may received will be posted without change;
opportunities for ETP Holders. The temporarily suspend such rule change if the Commission does not edit personal
Exchange believes that this could it appears to the Commission that such identifying information from
promote competition between the action is necessary or appropriate in the submissions. Persons submitting
Exchange and other execution venues, public interest, for the protection of comments are cautioned that we do not
including those that currently offer investors, or otherwise in furtherance of redact or edit personal identifying
similar order types and comparable the purposes of the Act. If the information from comment submissions.
transaction pricing, by encouraging Commission takes such action, the You should submit only information
additional orders to be sent to the Commission shall institute proceedings that you wish to make available
Exchange for execution. The Exchange under Section 19(b)(2)(B) 13 of the Act to publicly. All submissions should refer
also believes that the proposed rule is determine whether the proposed rule to File Number SR–NYSENAT–2018–13
designed to provide the public and change should be approved or and should be submitted on or before
investors with a Schedule of Fees and disapproved. July 11, 2018.
Rebates that is clear and consistent, For the Commission, by the Division of
thereby reducing burdens on the IV. Solicitation of Comments
Trading and Markets, pursuant to delegated
marketplace and facilitating investor Interested persons are invited to authority.14
protection. submit written data, views, and Eduardo A. Aleman,
Finally, the Exchange notes that it arguments concerning the foregoing, Assistant Secretary.
operates in a highly competitive market including whether the proposed rule [FR Doc. 2018–13166 Filed 6–19–18; 8:45 am]
in which market participants can change is consistent with the Act.
BILLING CODE 8011–01–P
readily favor competing venues if they Comments may be submitted by any of
deem fee levels at a particular venue to the following methods:
be excessive or rebate opportunities SECURITIES AND EXCHANGE
Electronic Comments
available at other venues to be more COMMISSION
favorable. In such an environment, the • Use the Commission’s internet
Exchange must continually adjust its comment form (http://www.sec.gov/ [Release No. 34–83447; File No. SR–
fees and rebates to remain competitive rules/sro.shtml); or NYSEArca–2018–39]
with other exchanges and with • Send an email to rule-comments@
sec.gov. Please include File Number SR– Self-Regulatory Organizations; NYSE
alternative trading systems that have
NYSENAT–2018–13 on the subject line. Arca, Inc.; Notice of Filing and
been exempted from compliance with
Immediate Effectiveness of Proposed
the statutory standards applicable to Paper Comments Rule Change Relating To Changes in
exchanges. Because competitors are free
to modify their own fees and credits in • Send paper comments in triplicate the Description of the Investments of
to Brent J. Fields, Secretary, Securities the USCF Canadian Crude Oil Index
response, and because market
and Exchange Commission, 100 F Street Fund
participants may readily adjust their
order routing practices, the Exchange NE, Washington, DC 20549–1090.
June14, 2018.
believes that the degree to which fee All submissions should refer to File Pursuant to Section 19(b)(1) 1 of the
changes in this market may impose any Number SR–NYSENAT–2018–13. This Securities Exchange Act of 1934
burden on competition is extremely file number should be included on the (‘‘Act’’) 2 and Rule 19b–4 thereunder,3
limited. As a result of all of these subject line if email is used. To help the notice is hereby given that, on May 31,
considerations, the Exchange does not Commission process and review your 2018, NYSE Arca, Inc. (‘‘Exchange’’ or
believe that the proposed changes will comments more efficiently, please use ‘‘NYSE Arca’’) filed with the Securities
impair the ability of ETP Holders or only one method. The Commission will and Exchange Commission
competing order execution venues to post all comments on the Commission’s (‘‘Commission’’) the proposed rule
maintain their competitive standing in internet website (http://www.sec.gov/ change as described in Items I and II
the financial markets. rules/sro.shtml). Copies of the below, which Items have been prepared
submission, all subsequent by the self-regulatory organization. The
C. Self-Regulatory Organization’s amendments, all written statements
Statement on Comments on the Commission is publishing this notice to
with respect to the proposed rule solicit comments on the proposed rule
Proposed Rule Change Received From change that are filed with the
Members, Participants, or Others change from interested persons.
Commission, and all written
No written comments were solicited communications relating to the I. Self-Regulatory Organization’s
or received with respect to the proposed proposed rule change between the Statement of the Terms of Substance of
rule change. Commission and any person, other than the Proposed Rule Change
those that may be withheld from the The Exchange proposes to reflect
III. Date of Effectiveness of the
sradovich on DSK3GMQ082PROD with NOTICES

public in accordance with the changes in the description of the
Proposed Rule Change and Timing for provisions of 5 U.S.C. 552, will be
Commission Action investments of the USCF Canadian
available for website viewing and Crude Oil Index Fund (the ‘‘Fund’’).
The foregoing rule change is effective printing in the Commission’s Public
upon filing pursuant to Section Reference Room, 100 F Street NE, 14 17 CFR 200.30–3(a)(12).
19(b)(3)(A) 11 of the Act and 1 15 U.S.C. 78s(b)(1).
12 17 CFR 240.19b–4(f)(2). 2 15 U.S.C. 78a.
11 15 U.S.C. 78s(b)(3)(A). 13 15 U.S.C. 78s(b)(2)(B). 3 17 CFR 240.19b–4.

VerDate Sep<11>2014 17:58 Jun 19, 2018 Jkt 244001 PO 00000 Frm 00083 Fmt 4703 Sfmt 4703 E:\FR\FM\20JNN1.SGM 20JNN1
Document Created: 2018-06-20 00:19:23
Document Modified: 2018-06-20 00:19:23
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 28687