83 FR 30806 - Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the DTC Operational Arrangements To Add Clarifying Text Relating to the Processing of Unit Investment Trust Securities Through the DTC Investor's Voluntary Redemptions and Sales Service
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 83, Issue 126 (June 29, 2018)
Federal Register Volume 83, Issue 126 (June 29, 2018)
| Page Range | 30806-30808 | |
| FR Document | 2018-13980 |
[Federal Register Volume 83, Number 126 (Friday, June 29, 2018)] [Notices] [Pages 30806-30808] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2018-13980] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-83511; File No. SR-DTC-2018-005] Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the DTC Operational Arrangements To Add Clarifying Text Relating to the Processing of Unit Investment Trust Securities Through the DTC Investor's Voluntary Redemptions and Sales Service June 25, 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 June 20, 2018, The Depository Trust Company (``DTC'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I, II and III below, which Items have been prepared by the clearing agency. 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. Clearing Agency's Statement of the Terms of Substance of the Proposed Rule Change The proposed rule change \3\ consists of proposed modifications to the DTC Operational Arrangements (Necessary for Securities to Become and Remain Eligible for DTC Services) (``OA'') \4\ to provide enhanced transparency within DTC's Procedures \5\ relating to requirements for Securities issued by unit investment trusts (``Units'') to be processed through DTC's Investor's Voluntary Redemptions and Sales Service (``IVORS''), as described below. --------------------------------------------------------------------------- \3\ Each capitalized term not otherwise defined herein has its respective meaning as set forth in the Rules, By-Laws and Organization Certificate of The Depository Trust Company (``Rules''), available at http://www.dtcc.com/~/media/Files/ Downloads/legal/rules/dtc_rules.pdf. \4\ Available at http://www.dtcc.com/~/media/Files/Downloads/ legal/issue-eligibility/eligibility/operational-arrangements.pdf. \5\ Pursuant to the Rules, the term ``Procedures'' means the Procedures, service guides, and regulations of DTC adopted pursuant to Rule 27, as amended from time to time. See Rule 1, Section 1, supra note 3, at 13. --------------------------------------------------------------------------- II. Clearing Agency's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the clearing agency 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 clearing agency has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of such statements. (A) Clearing Agency's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose The proposed rule change consists of proposed modifications to the OA to provide enhanced transparency within the DTC Procedures relating to DTC's requirements for Units to be processed through IVORS, as discussed below. Background A unit investment trust is an investment company that buys and holds a generally fixed portfolio of stocks, bonds or other securities for a fixed period of time. Units are sold by a sponsor, which is the issuer of the Units, to investors who receive a share of principal and dividends, or interest. When Units mature, an investor may redeem matured Units with the transfer agent for the Units, or sell Units to the sponsor for a cash payment (such redemptions and sales jointly referred to herein as ``Redemptions'').\6\ The sponsor may also allow a holder of maturing Units to ``rollover'' the Units by redeeming the maturing Units for a comparable issue of Units (``Rollover''). --------------------------------------------------------------------------- \6\ See Securities Exchange Act Release No. 39852 (April 10, 1998), 63 FR 19545 (April 20, 1998) (``1998 Release''). --------------------------------------------------------------------------- Units that meet DTC's eligibility requirements \7\ may be Deposited for book-entry services at DTC and be held by Participants on behalf of investors. Redemptions and Rollovers of Units held at DTC must be processed through IVORS.\8\ IVORS allows a Participant to [[Page 30807]] surrender Units for value via book-entry, which Units are processed in accordance with standing instructions (``Standing Instructions'') provided by the sponsor or transfer agent for the Units through DTC's Participant Terminal System (``PTS''),\9\ an electronic interface that allows Participants to submit instructions to DTC and make inquiries in DTC's system. The transfer agent and the sponsor must each maintain a DTC Participant Account in order to facilitate the settlement of Redemptions.\10\ --------------------------------------------------------------------------- \7\ See OA, supra note 4 at 1-3 (setting forth requirements for Securities to be made eligible for DTC book-entry services). \8\ See OA, supra note 4 at 43-44. \9\ See 1998 Release, supra note 6, and Securities Exchange Act Release No. 50279 (August 27, 2004), 69 FR 54169 (``2004 Release''). \10\ See id. --------------------------------------------------------------------------- In this regard, and as approved in the 1998 Release, in order to be eligible for processing through IVORS, (i) Units must be DTC-eligible and held in DTC's FAST program,\11\ (ii) the transfer agent, which is the Fast Agent for the Units, must be a DTC Participant and (iii) the sponsor, or the sponsor's clearing agent, i.e., a Participant that acts on the sponsor's behalf with respect to the settlement of transactions in Units issued by the sponsor, must be a DTC Participant (``IVORS Eligibility Requirements'').\12\ --------------------------------------------------------------------------- \11\ DTC's FAST program allows a transfer agent which is approved by DTC to be a ``FAST Agent'' to act as custodian for DTC and increase or decrease the amounts of a balance certificate representing Securities eligible for DTC book-entry services. See OA, supra note 4 at 15. \12\ See 1998 Release, supra note 6. --------------------------------------------------------------------------- As indicated above, the OA currently states the requirement that IVORS must be used for the processing of Redemptions and Rollovers for Units held at DTC. The applicable OA text does not include references to requirements relating to IVORS processing that were approved in the 1998 and 2004 Releases, in particular: (i) The use of Standing Instructions by a sponsor and/or FAST Agent \13\ and (ii) the IVORS Eligibility Requirements.\14\ Pursuant to this rule filing, in order to provide enhanced transparency within the OA to users of DTC services with regard to the use of IVORS for the processing of Redemptions and Rollovers, DTC proposes to amend the OA to include text stating these requirements. --------------------------------------------------------------------------- \13\ See supra note 9. \14\ See supra note 12. --------------------------------------------------------------------------- In addition, currently existing text in the OA relating to the processing of Units uses the term ``UIT'' interchangeably to describe both a unit investment trust and Units. In order to further enhance the transparency of the text of the Subject Section, as defined below, to more clearly distinguish between unit investment trusts and the securities issued by them, DTC would revise the applicable OA text to define Securities issued by unit investment trusts as ``Units.'' The text would continue to refer to unit investment trusts as UITs. Proposed Changes to the OA Pursuant to the proposed rule change, DTC would amend the OA to revise Section VI.C.1.a. (Use of DTC's Investor's Voluntary Redemptions and Sales to sponsor) (``Subject Section''), relating to Redemption and Rollover processing through IVORS, to add text stating (i) the IVORS Eligibility Requirements and (ii) a provision relating to the processing of Redemptions and Rollovers in accordance with Standing Instructions provided by the sponsor or FAST Agent for the Units, as described above. Specifically, the proposed rule change would add the following within the existing text of that section as it relates to the description of Redemption and Rollover activities: ``IVORS will only be available for these activities if (1) the subject Unit is DTC-eligible, (2) the subject Unit is held through the FAST program, (3) the FAST Agent for the Unit is a Participant of DTC, and (4) the Unit's lead sponsor or its clearing agent is a Participant. Redemptions and rollovers are processed in accordance with standing instructions provided by the FAST Agent and/or sponsor of the Unit through PTS.'' In addition, DTC would revise the text of the Subject Section to define Securities issued by unit investment trusts (i.e., Units, as defined above) as ``Units,'' as described above. Effective Date The proposed rule change would become effective upon filing with the Commission. 2. Statutory Basis Section 17A(b)(3)(F) of the Securities Exchange Act of 1934 (``Act'') \15\ requires that the rules of the clearing agency be designed, inter alia, to promote the prompt and accurate clearance and settlement of securities transactions. DTC believes that the proposed rule change is consistent with this provision of the Act because by adding text within the Procedures set forth in the OA regarding DTC's requirements for the processing of Redemptions and Rollovers of Units through IVORS and more clearly distinguishing in the text of the Subject Section between unit investment trusts and Units, the proposed rule change would provide enhanced transparency for Participants with respect to the Procedures relating to such processing, including better facilitating Participants' understanding of the requirements relating to the processing of Units held by them at DTC. Therefore, by providing Participants with enhanced transparency with regard to the Procedures relating to the processing of Redemptions and Rollovers of Units through IVORS, and therefore facilitating Participants ability to understand the requirements relating to the processing of Units held by them at DTC, DTC believes that the proposed rule change would promote the prompt and accurate clearance and settlement of securities transactions consistent with the Act. --------------------------------------------------------------------------- \15\ 15 U.S.C. 78q-1(b)(3)(F). --------------------------------------------------------------------------- (B) Clearing Agency's Statement on Burden on Competition DTC does not believe that the proposed rule change would have any impact on competition. The proposed rule change would merely provide enhanced transparency with respect to existing Procedures relating to the processing of Redemptions and Rollovers through IVORS by adding text to the OA that is consistent with requirements previously approved by the Commission.\16\ Therefore, the proposed rule change would not affect the rights or obligations of Participants, and as such, would not impact competition. --------------------------------------------------------------------------- \16\ See supra note 9. --------------------------------------------------------------------------- (C) Clearing Agency's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others Written comments relating to this proposed rule change have not been solicited or received. DTC will notify the Commission of any written comments received by DTC. III. Date of Effectiveness of the Proposed Rule Change, and Timing for Commission Action The foregoing rule change has become effective pursuant to Section 19(b)(3)(A) of the Act \17\ and paragraph (f) of Rule 19b-4 thereunder.\18\ 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 necessary or appropriate in the public interest, for the protection of [[Page 30808]] investors, or otherwise in furtherance of the purposes of the Act. --------------------------------------------------------------------------- \17\ 15 U.S.C. 78s(b)(3)(A). \18\ 17 CFR 240.19b-4(f). --------------------------------------------------------------------------- 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 [email protected]. Please include File Number SR-DTC-2018-005 on the subject line. Paper Comments Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549. All submissions should refer to File Number SR-DTC-2018-005. 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 DTC and on DTCC's website (http://dtcc.com/legal/sec-rule-filings.aspx). 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-DTC-2018-005 and should be submitted on or before July 20, 2018. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.\19\ --------------------------------------------------------------------------- \19\ 17 CFR 200.30-3(a)(12). --------------------------------------------------------------------------- Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2018-13980 Filed 6-28-18; 8:45 am] BILLING CODE 8011-01-P
![30806 Federal Register / Vol. 83, No. 126 / Friday, June 29, 2018 / Notices
it appears to the Commission that such to make available publicly. All requirements for Securities issued by
action is necessary or appropriate in the submissions should refer to File unit investment trusts (‘‘Units’’) to be
public interest, for the protection of Number SR–GEMX–2018–22, and processed through DTC’s Investor’s
investors, or otherwise in furtherance of should be submitted on or before July Voluntary Redemptions and Sales
the purposes of the Act. If the 20, 2018. Service (‘‘IVORS’’), as described below.
Commission takes such action, the For the Commission, by the Division of II. Clearing Agency’s Statement of the
Commission shall institute proceedings Trading and Markets, pursuant to delegated Purpose of, and Statutory Basis for, the
to determine whether the proposed rule authority.12
Proposed Rule Change
change should be approved or Eduardo A. Aleman
disapproved. Assistant Secretary.
In its filing with the Commission, the
clearing agency included statements
IV. Solicitation of Comments [FR Doc. 2018–13986 Filed 6–28–18; 8:45 am]
concerning the purpose of and basis for
BILLING CODE 8011–01–P
Interested persons are invited to the proposed rule change and discussed
submit written data, views, and any comments it received on the
arguments concerning the foregoing, proposed rule change. The text of these
SECURITIES AND EXCHANGE
including whether the proposed rule statements may be examined at the
COMMISSION
change is consistent with the Act. places specified in Item IV below. The
Comments may be submitted by any of [Release No. 34–83511; File No. SR–DTC– clearing agency has prepared
the following methods: 2018–005] summaries, set forth in sections A, B,
Electronic Comments and C below, of the most significant
Self-Regulatory Organizations; The
aspects of such statements.
• Use the Commission’s internet Depository Trust Company; Notice of
comment form (http://www.sec.gov/ Filing and Immediate Effectiveness of (A) Clearing Agency’s Statement of the
rules/sro.shtml); or Proposed Rule Change To Amend the Purpose of, and Statutory Basis for, the
• Send an email to rule-comments@ DTC Operational Arrangements To Add Proposed Rule Change
sec.gov. Please include File Number SR– Clarifying Text Relating to the
1. Purpose
GEMX–2018–22 on the subject line. Processing of Unit Investment Trust
Securities Through the DTC Investor’s The proposed rule change consists of
Paper Comments Voluntary Redemptions and Sales proposed modifications to the OA to
• Send paper comments in triplicate Service provide enhanced transparency within
to Secretary, Securities and Exchange the DTC Procedures relating to DTC’s
Commission, 100 F Street NE, June 25, 2018. requirements for Units to be processed
Washington, DC 20549–1090. Pursuant to Section 19(b)(1) of the through IVORS, as discussed below.
Securities Exchange Act of 1934
All submissions should refer to File Background
(‘‘Act’’) 1 and Rule 19b–4 thereunder,2
Number SR–GEMX–2018–22. This file
notice is hereby given that on June 20, A unit investment trust is an
number should be included on the
2018, The Depository Trust Company investment company that buys and
subject line if email is used. To help the
(‘‘DTC’’) filed with the Securities and holds a generally fixed portfolio of
Commission process and review your
Exchange Commission (‘‘Commission’’) stocks, bonds or other securities for a
comments more efficiently, please use
the proposed rule change as described fixed period of time. Units are sold by
only one method. The Commission will
in Items I, II and III below, which Items a sponsor, which is the issuer of the
post all comments on the Commission’s
have been prepared by the clearing Units, to investors who receive a share
internet website (http://www.sec.gov/
agency. The Commission is publishing of principal and dividends, or interest.
rules/sro.shtml). Copies of the this notice to solicit comments on the
submission, all subsequent When Units mature, an investor may
proposed rule change from interested redeem matured Units with the transfer
amendments, all written statements persons.
with respect to the proposed rule agent for the Units, or sell Units to the
change that are filed with the I. Clearing Agency’s Statement of the sponsor for a cash payment (such
Commission, and all written Terms of Substance of the Proposed redemptions and sales jointly referred to
communications relating to the Rule Change herein as ‘‘Redemptions’’).6 The sponsor
proposed rule change between the may also allow a holder of maturing
The proposed rule change 3 consists of Units to ‘‘rollover’’ the Units by
Commission and any person, other than proposed modifications to the DTC
those that may be withheld from the redeeming the maturing Units for a
Operational Arrangements (Necessary comparable issue of Units (‘‘Rollover’’).
public in accordance with the for Securities to Become and Remain
provisions of 5 U.S.C. 552, will be Units that meet DTC’s eligibility
Eligible for DTC Services) (‘‘OA’’) 4 to requirements 7 may be Deposited for
available for website viewing and provide enhanced transparency within
printing in the Commission’s Public book-entry services at DTC and be held
DTC’s Procedures 5 relating to by Participants on behalf of investors.
Reference Room, 100 F Street NE,
Washington, DC 20549 on official 12 17
Redemptions and Rollovers of Units
CFR 200.30–3(a)(12).
business days between the hours of 1 15 U.S.C. 78s(b)(1).
held at DTC must be processed through
10:00 a.m. and 3:00 p.m. Copies of the 2 17 CFR 240.19b–4. IVORS.8 IVORS allows a Participant to
3 Each capitalized term not otherwise defined
filing also will be available for
herein has its respective meaning as set forth in the regulations of DTC adopted pursuant to Rule 27, as
inspection and copying at the principal
sradovich on DSK3GMQ082PROD with NOTICES
Rules, By-Laws and Organization Certificate of The amended from time to time. See Rule 1, Section 1,
office of the Exchange. All comments Depository Trust Company (‘‘Rules’’), available at supra note 3, at 13.
received will be posted without change. http://www.dtcc.com/∼/media/Files/Downloads/ 6 See Securities Exchange Act Release No. 39852
Persons submitting comments are legal/rules/dtc_rules.pdf. (April 10, 1998), 63 FR 19545 (April 20, 1998)
4 Available at http://www.dtcc.com/∼/media/ (‘‘1998 Release’’).
cautioned that we do not redact or edit
Files/Downloads/legal/issue-eligibility/eligibility/ 7 See OA, supra note 4 at 1–3 (setting forth
personal identifying information from operational-arrangements.pdf. requirements for Securities to be made eligible for
comment submissions. You should 5 Pursuant to the Rules, the term ‘‘Procedures’’ DTC book-entry services).
submit only information that you wish means the Procedures, service guides, and 8 See OA, supra note 4 at 43–44.
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![30808 Federal Register / Vol. 83, No. 126 / Friday, June 29, 2018 / Notices
investors, or otherwise in furtherance of For the Commission, by the Division of statements concerning the purpose of,
the purposes of the Act. Trading and Markets, pursuant to delegated and basis for, the proposed rule change
authority.19 and discussed any comments it received
IV. Solicitation of Comments Eduardo A. Aleman, on the proposed rule change. The text
Interested persons are invited to Assistant Secretary. of those statements may be examined at
submit written data, views and [FR Doc. 2018–13980 Filed 6–28–18; 8:45 am] the places specified in Item IV below.
arguments concerning the foregoing, BILLING CODE 8011–01–P The Exchange has prepared summaries,
including whether the proposed rule set forth in sections A, B, and C below,
change is consistent with the Act. of the most significant parts of such
Comments may be submitted by any of SECURITIES AND EXCHANGE statements.
the following methods: COMMISSION
A. Self-Regulatory Organization’s
Electronic Comments [Release No. 34–83507; File No. SR– Statement of the Purpose of, and the
NYSEAMER–2018–33] Statutory Basis for, the Proposed Rule
• Use the Commission’s internet Change
comment form (http://www.sec.gov/ Self-Regulatory Organizations; NYSE
rules/sro.shtml); or American LLC; Notice of Filing and 1. Purpose
• Send an email to rule-comments@ Immediate Effectiveness of Proposed The Exchange hereby proposes to
sec.gov. Please include File Number SR– Rule Change To Amend Commentary amend Commentary .02 to Rule 960NY
DTC–2018–005 on the subject line. .02 to Rule 960NY in Order To Extend to extend the time period of the Pilot
the Penny Pilot in Options Classes in Program,4 which is currently scheduled
Paper Comments Certain Issues Through December 31, to expire on June 30, 2018, through
2018 December 31, 2018. The Exchange also
• Send paper comments in triplicate
to Secretary, Securities and Exchange June 25, 2018.
proposes that the date to replace issues
Commission, 100 F Street NE, in the Pilot Program that have been
Pursuant to Section 19(b)(1) 1 of the
Washington, DC 20549. delisted be revised to the second trading
Securities Exchange Act of 1934 (the
day following July 1, 2018.5 The
All submissions should refer to File ‘‘Act’’) 2 and Rule 19b–4 thereunder,3
Exchange believes that extending the
Number SR–DTC–2018–005. This file notice is hereby given that on June 21,
Pilot would allow for further analysis of
number should be included on the 2018, NYSE American LLC (the
the Pilot Program and a determination
subject line if email is used. To help the ‘‘Exchange’’ or ‘‘NYSE American’’) filed
of how the Pilot Program should be
Commission process and review your with the Securities and Exchange
structured in the future.
comments more efficiently, please use Commission (the ‘‘Commission’’) the This filing does not propose any
only one method. The Commission will proposed rule change as described in substantive changes to the Pilot
post all comments on the Commission’s Items I and II below, which Items have Program: All classes currently
internet website (http://www.sec.gov/ been prepared by the self-regulatory participating will remain the same and
rules/sro.shtml). Copies of the organization. The Commission is all minimum increments will remain
submission, all subsequent publishing this notice to solicit unchanged. The Exchange believes the
amendments, all written statements comments on the proposed rule change benefits to public customers and other
with respect to the proposed rule from interested persons. market participants who will be able to
change that are filed with the I. Self-Regulatory Organization’s express their true prices to buy and sell
Commission, and all written Statement of the Terms of Substance of options have been demonstrated to
communications relating to the the Proposed Rule Change outweigh the increase in quote traffic.
proposed rule change between the
Commission and any person, other than The Exchange proposes to amend 2. Statutory Basis
those that may be withheld from the Commentary .02 to Rule 960NY in order The proposed rule change is
public in accordance with the to extend the Penny Pilot in options consistent with Section 6(b) 6 of the
provisions of 5 U.S.C. 552, will be classes in certain issues (‘‘Pilot Securities Exchange Act of 1934 (the
available for website viewing and Program’’) previously approved by the ‘‘Act’’), in general, and furthers the
printing in the Commission’s Public Securities and Exchange Commission objectives of Section 6(b)(5),7 in
Reference Room, 100 F Street NE, (‘‘Commission’’) through December 31, particular, in that it is designed to
Washington, DC 20549 on official 2018. The Pilot Program is currently prevent fraudulent and manipulative
business days between the hours of scheduled to expire on June 30, 2018. acts and practices, to promote just and
10:00 a.m. and 3:00 p.m. Copies of the The proposed rule change is available equitable principles of trade, to foster
filing also will be available for on the Exchange’s website at cooperation and coordination with
inspection and copying at the principal www.nyse.com, at the principal office of
office of DTC and on DTCC’s website the Exchange, and at the Commission’s 4 See Securities Exchange Act Release No. 82358
(http://dtcc.com/legal/sec-rule- Public Reference Room. (December 19, 2017), 82 FR 61054 (December 26,
2017) (SR–NYSEAMER–2017–38).
filings.aspx). All comments received II. Self-Regulatory Organization’s 5 The month immediately preceding a
will be posted without change. Persons Statement of the Purpose of, and replacement class’s addition to the Pilot Program
submitting comments are cautioned that Statutory Basis for, the Proposed Rule (i.e., June) would not be used for purposes of the
we do not redact or edit personal analysis for determining the replacement class.
Change
sradovich on DSK3GMQ082PROD with NOTICES
Thus, a replacement class to be added on the
identifying information from comment second trading day following July 1, 2018 would be
submissions. You should submit only In its filing with the Commission, the
identified based on The Option Clearing
information that you wish to make self-regulatory organization included Corporation’s trading volume data from December
available publicly. All submissions 1, 2017 through May 31, 2018. The Exchange will
19 17 CFR 200.30–3(a)(12). announce the replacement issues to the Exchange’s
should refer to File Number SR–DTC– 1 15 U.S.C. 78s(b)(1). membership through a Trader Update.
2018–005 and should be submitted on 2 15 U.S.C. 78a. 6 15 U.S.C. 78f(b).
or before July 20, 2018. 3 17 CFR 240.19b–4. 7 15 U.S.C. 78f(b)(5).
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Document Created: 2018-06-29 01:13:01
Document Modified: 2018-06-29 01:13:01
| 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 30806 |
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