83 FR 30205 - Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Forty-Third Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 83, Issue 124 (June 27, 2018)

Page Range		30205-30206
FR Document		2018-13767
Federal Register, Volume 83 Issue 124 (Wednesday, June 27, 2018)
[Federal Register Volume 83, Number 124 (Wednesday, June 27, 2018)]
[Notices]
[Pages 30205-30206]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-13767]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-83493; File No. S7-24-89]


Joint Industry Plan; Notice of Filing and Immediate Effectiveness 
of the Forty-Third Amendment to the Joint Self-Regulatory Organization 
Plan Governing the Collection, Consolidation and Dissemination of 
Quotation and Transaction Information for Nasdaq-Listed Securities 
Traded on Exchanges on an Unlisted Trading Privileges Basis

June 21, 2018.
    Pursuant to Section 11A of the Securities Exchange Act of 1934 
(``Act''),\1\ and Rule 608 thereunder,\2\ notice is hereby given that 
on June 5, 2018, the Participants \3\ in the Joint Self-Regulatory 
Organization Plan Governing the Collection, Consolidation and 
Dissemination of Quotation and Transaction Information for Nasdaq-
Listed Securities Traded on Exchanges on an Unlisted Trading Privileges 
Basis (``NASDAQ/UTP Plan,'' ``UTP Plan'' or ``Plan'') filed with the 
Securities and Exchange Commission (``Commission'') a proposal to amend 
the NASDAQ/UTP Plan.\4\ The amendment represents Amendment No. 43 to 
the NASDAQ/UTP Plan (``Amendment''). The Amendment seeks to effectuate 
changes that certain Participants have made to their names and 
addresses, as set forth in Section I(A) of the Nasdaq/UTP Plan and to 
update the listing of Participant identifying codes set forth in 
Section VIII(C) of the Plan.
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    \1\ 15 U.S.C. 78k-1.
    \2\ 17 CFR 242.608.
    \3\ The Participants are: Cboe BYX Exchange, Inc.; Cboe BZX 
Exchange, Inc.; Cboe EDGA Exchange, Inc.; Cboe EDGX Exchange, Inc.; 
Cboe Exchange, Inc.; Chicago Stock Exchange, Inc.; Financial 
Industry Regulatory Authority, Inc.; Investors Exchange LLC; Nasdaq 
BX, Inc.; Nasdaq ISE, LLC; Nasdaq PHLX LLC; The Nasdaq Stock Market 
LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE American 
LLC; and NYSE National, Inc. (collectively, the ``Participants'').
    \4\ The Plan governs the collection, processing, and 
dissemination on a consolidated basis of quotation information and 
transaction reports in Eligible Securities for each of its 
Participants. This consolidated information informs investors of the 
current quotation and recent trade prices of Nasdaq securities. It 
enables investors to ascertain from one data source the current 
prices in all the markets trading Nasdaq securities. The Plan serves 
as the required transaction reporting plan for its Participants, 
which is a prerequisite for their trading Eligible Securities. See 
Securities Exchange Act Release No. 55647 (April 19, 2007), 72 FR 
20891 (April 26, 2007).
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    Pursuant to Rule 608(b)(3)(ii) under Regulation NMS,\5\ the 
Participants have designated the Amendment as concerned solely with the 
administration of the Nasdaq/UTP Plan and as a ``Ministerial 
Amendment'' under Section XVI of the Plan. As a result, the Amendment 
was effective upon filing and was submitted by the Chairman of the 
Plan's Operating Committee. The Commission is publishing this notice to 
solicit comments from interested persons on the proposed Amendment. Set 
forth in Sections I and II is the statement of the purpose and summary 
of the Amendment, along with the information required by Rules 608(a) 
and 601(a) under the Act, prepared and submitted by the Participants to 
the Commission.
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    \5\ 17 CFR 242.608(b)(3)(ii).
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I. Rule 608(a)

A. Purpose of the Amendments

    The Amendment effectuates changes that certain Participants have 
made to their names and addresses, as set forth in Section I(A) of the 
UTP Plan and updates the listing of Participant identifying codes set 
forth in Section VIII(C) of the UTP Plan.

B. Governing or Constituent Documents

    Not applicable.

C. Implementation of the Amendments

    Because the Amendment constitutes a ``Ministerial Amendment'' under 
Section XVI of the UTP Plan, the Chairman of the UTP Plan's Operating 
Committee may submit the Amendment to the Commission on behalf of the 
Participants in the UTP Plan. Because the Participants have designated 
the Amendment as concerned solely with the administration of the Plan, 
the Amendment is effective upon filing with the Commission.

D. Development and Implementation Phases

    Not applicable.

E. Analysis of Impact on Competition

    The Participants assert that the Amendment does not impose any 
burden on competition because it simply effectuates a change in the 
names and addresses of certain Participants. For the same reasons, the 
Participants do not believe that the Amendment introduces terms that 
are unreasonably discriminatory for purposes of Section 11A(c)(1)(D) of 
the Exchange Act.

F. Written Understanding or Agreements Relating to Interpretation of, 
or Participation in, Plan

    Not applicable.

G. Approval by Sponsors in Accordance With Plan

    See Item I.C. above.

[[Page 30206]]

H. Description of Operation of Facility Contemplated by the Proposed 
Amendments

    Not applicable.

I. Terms and Conditions of Access

    Not applicable.

J. Method of Determination and Imposition, and Amount of, Fees and 
Charges

    Not applicable.

K. Method and Frequency of Processor Evaluation

    Not applicable.

L. Dispute Resolution

    Not applicable.

II. Rule 601(a)

A. Equity Securities for Which Transaction Reports Shall be Required by 
the Plan

    Not applicable.

B. Reporting Requirements

    Not applicable.

C. Manner of Collecting, Processing, Sequencing, Making Available and 
Disseminating Last Sale Information

    Not applicable.

D. Manner of Consolidation

    Not applicable.

E. Standards and Methods Ensuring Promptness, Accuracy and Completeness 
of Transaction Reports

    Not applicable.

F. Rules and Procedures Addressed to Fraudulent or Manipulative 
Dissemination

    Not applicable.

G. Terms of Access to Transaction Reports

    Not applicable.

H. Identification of Marketplace of Execution

    Not applicable.

III. Solicitation of Comments

    The Commission seeks general comments on the Amendment. Interested 
persons are invited to submit written data, views, and arguments 
concerning the foregoing, including whether the proposed Amendment 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 S7-24-89 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 File No. S7-24-89. 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 website (http://www.sec.gov/rules/sro.shtml). Copies 
of the submission, all written statements with respect to the proposed 
Amendment that are filed with the Commission, and all written 
communications relating to the proposed Amendment 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 website viewing and printing at 
the principal office of the Plans.
    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 S7-24-89 and should be 
submitted on or before July 18, 2018.

    By the Commission.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-13767 Filed 6-26-18; 8:45 am]
 BILLING CODE 8011-01-P
Federal Register / Vol. 83, No. 124 / Wednesday, June 27, 2018 / Notices 30205

Paper Comments SECURITIES AND EXCHANGE administration of the Nasdaq/UTP Plan
COMMISSION and as a ‘‘Ministerial Amendment’’
• Send paper comments in triplicate under Section XVI of the Plan. As a
to Secretary, Securities and Exchange [Release No. 34–83493; File No. S7–24–89]
result, the Amendment was effective
Commission, 100 F Street NE, upon filing and was submitted by the
Joint Industry Plan; Notice of Filing
Washington, DC 20549–1090. Chairman of the Plan’s Operating
and Immediate Effectiveness of the
All submissions should refer to File Forty-Third Amendment to the Joint Committee. The Commission is
Number SR–NFA–2018–02. This file Self-Regulatory Organization Plan publishing this notice to solicit
number should be included on the Governing the Collection, comments from interested persons on
Consolidation and Dissemination of the proposed Amendment. Set forth in
subject line if email is used. To help the
Quotation and Transaction Information Sections I and II is the statement of the
Commission process and review your
for Nasdaq-Listed Securities Traded on purpose and summary of the
comments more efficiently, please use Amendment, along with the information
only one method. The Commission will Exchanges on an Unlisted Trading
Privileges Basis required by Rules 608(a) and 601(a)
post all comments on the Commission’s under the Act, prepared and submitted
internet website (http://www.sec.gov/ June 21, 2018. by the Participants to the Commission.
rules/sro.shtml). Copies of the Pursuant to Section 11A of the
submission, all subsequent I. Rule 608(a)
Securities Exchange Act of 1934
amendments, all written statements (‘‘Act’’),1 and Rule 608 thereunder,2 A. Purpose of the Amendments
with respect to the proposed rule notice is hereby given that on June 5, The Amendment effectuates changes
change that are filed with the 2018, the Participants 3 in the Joint Self- that certain Participants have made to
Commission, and all written Regulatory Organization Plan Governing their names and addresses, as set forth
communications relating to the the Collection, Consolidation and in Section I(A) of the UTP Plan and
proposed rule change between the Dissemination of Quotation and updates the listing of Participant
Commission and any person, other than Transaction Information for Nasdaq- identifying codes set forth in Section
those that may be withheld from the Listed Securities Traded on Exchanges VIII(C) of the UTP Plan.
public in accordance with the on an Unlisted Trading Privileges Basis
provisions of 5 U.S.C. 552, will be (‘‘NASDAQ/UTP Plan,’’ ‘‘UTP Plan’’ or B. Governing or Constituent Documents
available for website viewing and ‘‘Plan’’) filed with the Securities and Not applicable.
printing in the Commission’s Public Exchange Commission (‘‘Commission’’)
a proposal to amend the NASDAQ/UTP C. Implementation of the Amendments
Reference Room, 100 F Street NE,
Washington, DC 20549, on official Plan.4 The amendment represents Because the Amendment constitutes a
business days between the hours of Amendment No. 43 to the NASDAQ/ ‘‘Ministerial Amendment’’ under
UTP Plan (‘‘Amendment’’). The Section XVI of the UTP Plan, the
10:00 a.m. and 3:00 p.m. Copies of such
Amendment seeks to effectuate changes Chairman of the UTP Plan’s Operating
filing also will be available for
that certain Participants have made to Committee may submit the Amendment
inspection and copying at the principal to the Commission on behalf of the
their names and addresses, as set forth
office of NFA. All comments received Participants in the UTP Plan. Because
in Section I(A) of the Nasdaq/UTP Plan
will be posted without change. Persons the Participants have designated the
and to update the listing of Participant
submitting comments are cautioned that identifying codes set forth in Section Amendment as concerned solely with
we do not redact or edit personal VIII(C) of the Plan. the administration of the Plan, the
identifying information from comment Pursuant to Rule 608(b)(3)(ii) under Amendment is effective upon filing
submissions. You should submit only Regulation NMS,5 the Participants have with the Commission.
information that you wish to make designated the Amendment as
publicly available. All submissions D. Development and Implementation
concerned solely with the Phases
should refer to File Number SR–NFA–
2018–02 and should be submitted on or 1 15 U.S.C. 78k–1. Not applicable.
before July 18, 2018. 2 17 CFR 242.608.
E. Analysis of Impact on Competition
3 The Participants are: Cboe BYX Exchange, Inc.;
For the Commission, by the Division of Cboe BZX Exchange, Inc.; Cboe EDGA Exchange, The Participants assert that the
Trading and Markets, pursuant to delegated Inc.; Cboe EDGX Exchange, Inc.; Cboe Exchange, Amendment does not impose any
authority.10 Inc.; Chicago Stock Exchange, Inc.; Financial
burden on competition because it
Industry Regulatory Authority, Inc.; Investors
Eduardo A. Aleman, Exchange LLC; Nasdaq BX, Inc.; Nasdaq ISE, LLC; simply effectuates a change in the
Assistant Secretary. Nasdaq PHLX LLC; The Nasdaq Stock Market LLC; names and addresses of certain
[FR Doc. 2018–13763 Filed 6–26–18; 8:45 am] New York Stock Exchange LLC; NYSE Arca, Inc.; Participants. For the same reasons, the
NYSE American LLC; and NYSE National, Inc.
BILLING CODE 8011–01–P (collectively, the ‘‘Participants’’).
Participants do not believe that the
4 The Plan governs the collection, processing, and Amendment introduces terms that are
dissemination on a consolidated basis of quotation unreasonably discriminatory for
information and transaction reports in Eligible purposes of Section 11A(c)(1)(D) of the
Securities for each of its Participants. This Exchange Act.
consolidated information informs investors of the
current quotation and recent trade prices of Nasdaq F. Written Understanding or Agreements
daltland on DSKBBV9HB2PROD with NOTICES

securities. It enables investors to ascertain from one
data source the current prices in all the markets
Relating to Interpretation of, or
trading Nasdaq securities. The Plan serves as the Participation in, Plan
required transaction reporting plan for its Not applicable.
Participants, which is a prerequisite for their
trading Eligible Securities. See Securities Exchange G. Approval by Sponsors in Accordance
Act Release No. 55647 (April 19, 2007), 72 FR
20891 (April 26, 2007).
With Plan
10 17 CFR 200.30–3(a)(73). 5 17 CFR 242.608(b)(3)(ii). See Item I.C. above.

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30206 Federal Register / Vol. 83, No. 124 / Wednesday, June 27, 2018 / Notices

H. Description of Operation of Facility • Send an email to rule-comments@ CONTACT PERSON FOR MORE INFORMATION:
Contemplated by the Proposed sec.gov. Please include File Number S7– For further information and to ascertain
Amendments 24–89 on the subject line. what, if any, matters have been added,
Not applicable. Paper Comments deleted or postponed, please contact the
Office of the Secretary at (202) 551–
I. Terms and Conditions of Access • Send paper comments in triplicate 5400.
Not applicable. to Brent J. Fields, Secretary, Securities
and Exchange Commission, 100 F Street Dated: June 22, 2018.
J. Method of Determination and NE, Washington, DC 20549–1090. Jill M. Peterson,
Imposition, and Amount of, Fees and All submissions should refer to File Assistant Secretary.
Charges Number File No. S7–24–89. This file [FR Doc. 2018–13888 Filed 6–25–18; 11:15 am]
Not applicable. number should be included on the BILLING CODE 8011–01–P
subject line if email is used. To help the
K. Method and Frequency of Processor
Commission process and review your
Evaluation
comments more efficiently, please use SECURITIES AND EXCHANGE
Not applicable. only one method. The Commission will COMMISSION
L. Dispute Resolution post all comments on the Commission’s
website (http://www.sec.gov/rules/ [Release No. 34–83491; File No. SR–NFA–
Not applicable. sro.shtml). Copies of the submission, all 2018–01]
II. Rule 601(a) written statements with respect to the
proposed Amendment that are filed Self-Regulatory Organizations;
A. Equity Securities for Which with the Commission, and all written
Transaction Reports Shall be Required National Futures Association; Notice
communications relating to the of Filing and Immediate Effectiveness
by the Plan proposed Amendment between the of Proposed Technical Amendment to
Not applicable. Commission and any person, other than the Interpretive Notice to NFA
B. Reporting Requirements those that may be withheld from the Compliance Rule 2–9: Special
public in accordance with the Supervisory Requirements for
Not applicable. provisions of 5 U.S.C. 552, will be Members Registered as Broker-Dealers
C. Manner of Collecting, Processing, available for website viewing and Under Section 15(b)(11) of the
Sequencing, Making Available and printing in the Commission’s Public
Securities Exchange Act of 1934
Disseminating Last Sale Information Reference Room, 100 F Street NE,
Washington, DC 20549, on official June 21, 2018.
Not applicable.
business days between the hours of
D. Manner of Consolidation 10:00 a.m. and 3:00 p.m. Copies of the Pursuant to Section 19(b)(7) of the
filing also will be available for website Securities Exchange Act of 1934
Not applicable. (‘‘Exchange Act’’),1 and Rule 19b–7
viewing and printing at the principal
E. Standards and Methods Ensuring office of the Plans. under the Exchange Act,2 notice is
Promptness, Accuracy and All comments received will be posted hereby given that on June 14, 2018,
Completeness of Transaction Reports without change. Persons submitting National Futures Association (‘‘NFA’’)
Not applicable. comments are cautioned that we do not filed with the Securities and Exchange
redact or edit personal identifying Commission (‘‘SEC’’ or ‘‘Commission’’)
F. Rules and Procedures Addressed to information from comment submissions. the proposed rule change described in
Fraudulent or Manipulative You should submit only information Items I, II, and III below, which Items
Dissemination that you wish to make available have been prepared by NFA. The
Not applicable. publicly. All submissions should refer Commission is publishing this notice to
to File Number S7–24–89 and should be solicit comments on the proposed rule
G. Terms of Access to Transaction change from interested persons.
submitted on or before July 18, 2018.
Reports
By the Commission. On August 30, 2017, NFA also filed
Not applicable. this proposed rule change with the
Eduardo A. Aleman,
H. Identification of Marketplace of Assistant Secretary. Commodity Futures Trading
Execution [FR Doc. 2018–13767 Filed 6–26–18; 8:45 am] Commission (‘‘CFTC’’) and requested
Not applicable. BILLING CODE 8011–01–P
that the CFTC make a determination
that review of the proposed rule change
III. Solicitation of Comments of NFA is not necessary. By letter dated
The Commission seeks general SECURITIES AND EXCHANGE September 15, 2017, the CFTC notified
comments on the Amendment. COMMISSION NFA of its determination not to review
Interested persons are invited to submit the proposed rule change.3
written data, views, and arguments Sunshine Act Meetings The text of the proposed rule change
concerning the foregoing, including is available at the self-regulatory
FEDERAL REGISTER CITATION OF PREVIOUS
whether the proposed Amendment is organization’s office, on the NFA’s
ANNOUNCEMENT: To be published.
consistent with the Act. Comments may
daltland on DSKBBV9HB2PROD with NOTICES

PREVIOUSLY ANNOUNCED TIME AND DATE OF
website at www.nfa.futures.org, and at
be submitted by any of the following the SEC’s Public Reference Room.
methods: THE MEETING: Thursday, June 28, 2018.
CHANGES IN THE MEETING: The following 1 15 U.S.C. 78s(b)(7).
Electronic Comments matter will also be considered during 2 17 CFR 240.19b–7.
• Use the Commission’s internet the 2 p.m. Closed Meeting scheduled for 3 See letter from Eileen T. Flaherty, Director,

comment form (http://www.sec.gov/ Thursday, June 28, 2018: CFTC to Carol A. Wooding, General Counsel, NFA
rules/sro.shtml); or Report on an investigation. (‘‘Letter’’).

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Document Created: 2018-11-06 09:52:26
Document Modified: 2018-11-06 09:52:26
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 30205