83_FR_31124 83 FR 30997 - Sunshine Act Meetings

83 FR 30997 - Sunshine Act Meetings

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 83, Issue 127 (July 2, 2018)

Page Range30997-30998
FR Document2018-14281

Federal Register, Volume 83 Issue 127 (Monday, July 2, 2018) 
[Federal Register Volume 83, Number 127 (Monday, July 2, 2018)]
[Notices]
[Pages 30997-30998]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-14281]


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SECURITIES AND EXCHANGE COMMISSION


Sunshine Act Meetings

FEDERAL REGISTER CITATION OF PREVIOUS ANNOUNCEMENT: 83 Federal Register 
29838, 26 June 2018.

[[Page 30998]]


PREVIOUSLY ANNOUNCED TIME AND DATE OF THE MEETING: Thursday, June 28, 
2018 at 2:00 p.m.

CHANGES IN THE MEETING: The following item will not be considered 
during the Closed Meeting on Thursday, June 28, 2018:
     Report on an investigation.

CONTACT PERSON FOR MORE INFORMATION: For further information and to 
ascertain what, if any, matters have been added, deleted or postponed, 
please contact the Office of the Secretary at (202) 551-5400.

    Dated: June 28, 2018.
Brent J. Fields,
Secretary.
[FR Doc. 2018-14281 Filed 6-28-18; 4:15 pm]
 BILLING CODE 8011-01-P

Federal Register / Vol. 83, No. 127 / Monday, July 2, 2018 / Notices 30997 level information with respect to these Regulation 39.19, who uses the Paper Comments accounts in accordance with the information in performing its statutory • Send paper comments in triplicate Guidebook specifications. mandate. to Brent J. Fields, Secretary, Securities Consequently, OCC is proposing to and Exchange Commission, 100 F Street (C) Clearing Agency’s Statement on delete the customer identifier provisions NE, Washington, DC 20549–1090. Comments on the Proposed Rule from Rule 601(e)(2) so that Clearing Change Received From Members, All submissions should refer to File Members can provide customer names Participants or Others Number SR–OCC–2018–009. This file and LEIs to OCC so that it can, in turn, provide this information on daily number should be included on the Written comments on the proposed subject line if email is used. To help the reports to the CFTC consistent with the rule change were not and are not CFTC staff guidance on daily reporting Commission process and review your intended to be solicited with respect to comments more efficiently, please use requirements under Regulation 39.19. the proposed rule change and none have only one method. The Commission will (2) Statutory Basis been received. post all comments on the Commission’s Section 17A(b)(3)(F) of the Act III. Date of Effectiveness of the internet website (http://www.sec.gov/ requires, among other things, that the Proposed Rule Change and Timing for rules/sro.shtml). Copies of the rules of a clearing agency be designed, Commission Action submission, all subsequent in general, to protect investors and the amendments, all written statements public interest.10 OCC believes that the Pursuant to Section 19(b)(3)(A) of the with respect to the proposed rule proposed rule change is consistent with Act 13 and Rule 19b–4(f)(6)14 change that are filed with the Section 17A(b)(3)(F) of the Act.11 As thereunder, the proposed rule change is Commission, and all written noted above, OCC Rule 601(e)(2) filed for immediate effectiveness communications relating to the requires each Clearing Member to because it does not: (i) Significantly proposed rule change between the submit to OCC on each business day a affect the protection of investors or the Commission and any person, other than data file that identifies the positions in public interest; (ii) impose any those that may be withheld from the segregated futures accounts of each significant burden on competition; and public in accordance with the futures customer of the Clearing (iii) become operative for 30 days from provisions of 5 U.S.C. 552, will be Member using a unique alphanumeric the date on which it was filed, or such available for website viewing and customer identifier for each such shorter time as the Commission may printing in the Commission’s Public customer. The proposed rule change designate.15 Reference Room, 100 F Street NE, would remove this provision and the At any time within 60 days of the Washington, DC 20549, on official requirement that ‘‘such identifiers shall filing of the proposed rule change, the business days between the hours of not include any indication of the Commission summarily may 10:00 a.m. and 3:00 p.m. Copies of such identity of any customer or other temporarily suspend such rule change if filing also will be available for personal information of a customer.’’ it appears to the Commission that such inspection and copying at the principal Once these provisions are removed, action is necessary or appropriate in the office of OCC and on OCC’s website at Clearing Members can provide this public interest, for the protection of https://www.theocc.com/components/ information to OCC, who can then investors, or otherwise in furtherance of docs/legal/rules_and_bylaws/sr_occ_18_ provide it to the CFTC in accordance the purposes of the Act.16 009.pdf. with the Guidebook specifications. This All comments received will be posted IV. Solicitation of Comments without change. Persons submitting will enhance the CFTC staff’s ability to perform its oversight function with the Interested persons are invited to comments are cautioned that we do not information it deems necessary, which submit written data, views and redact or edit personal identifying promotes the protection of investors and arguments concerning the foregoing, information from comment submissions. the public interest. including whether the proposed rule You should submit only information change is consistent with the Act. that you wish to make available (B) Clearing Agency’s Statement on publicly. Burden on Competition Comments may be submitted by any of the following methods: All submissions should refer to File Section 17A(b)(3)(I) of the Act Number SR–OCC–2018–009 and should requires that the rules of a clearing Electronic Comments be submitted on or before July 23, 2018. agency not impose any burden on • Use the Commission’s internet For the Commission, by the Division of competition not necessary or Trading and Markets, pursuant to delegated comment form (http://www.sec.gov/ appropriate in furtherance of the Act.12 authority.17 rules/sro.shtml); or OCC does not believe that the proposed Eduardo A. Aleman, rule change would impose any burden • Send an email to rule-comments@ Assistant Secretary. on competition. Rather, the proposed sec.gov. Please include File Number SR– [FR Doc. 2018–14113 Filed 6–29–18; 8:45 am] rule change removes an existing OCC–2018–009 on the subject line. BILLING CODE 8011–01–P restriction on the data provided to OCC 13 15 U.S.C. 78s(b)(3)(A). by its Clearing Members regarding 14 17 CFR 240.19b–4(f)(6). customers with segregated futures SECURITIES AND EXCHANGE 15 OCC provided the Commission with written accounts. As discussed above, this will notice of its intent to file the proposed rule change, COMMISSION then allow OCC to provide this daltland on DSKBBV9HB2PROD with NOTICES along with a brief description and text of the information to the CFTC, consistent proposed rule change, at least five business days Sunshine Act Meetings with the CFTC staff guidance on daily prior to the date of filing of the proposed rule change or such shorter time as designated by the FEDERAL REGISTER CITATION OF PREVIOUS reporting requirements under Commission. 16 Notwithstanding its immediate effectiveness, ANNOUNCEMENT: 83 Federal Register 10 15 U.S.C. 78q-1(b)(3)(F). implementation of this rule change will be delayed 29838, 26 June 2018. 11 Id. until this change is deemed certified under CFTC 12 15 U.S.C. 78q–1(b)(3)(I). Rule 40.6. 17 17 CFR 200.30–3(a)(12). VerDate Sep<11>2014 17:40 Jun 29, 2018 Jkt 244001 PO 00000 Frm 00089 Fmt 4703 Sfmt 4703 E:\FR\FM\02JYN1.SGM 02JYN1

30998 Federal Register / Vol. 83, No. 127 / Monday, July 2, 2018 / Notices PREVIOUSLY ANNOUNCED TIME AND DATE OF The text of the proposed rule change executions since the Exchange began to THE MEETING: Thursday, June 28, 2018 at is available on the Exchange’s website at offer them on March 12, 2018.5 2:00 p.m. http://nasdaq.cchwallstreet.com/, at the Under Rule 7018, the Exchange is CHANGES IN THE MEETING: The following principal office of the Exchange, and at proposing to assess fees for certain item will not be considered during the the Commission’s Public Reference Midpoint Extended Life Orders Closed Meeting on Thursday, June 28, Room. beginning July 2, 2018, while 2018: continuing to provide a no fee tier for II. Self-Regulatory Organization’s • Report on an investigation. Statement of the Purpose of, and the month of July 2018 if a member CONTACT PERSON FOR MORE INFORMATION: meets qualification criteria based on its Statutory Basis for, the Proposed Rule activity in Midpoint Extended Life For further information and to ascertain Change what, if any, matters have been added, Orders in June 2018. Specifically, the deleted or postponed, please contact the In its filing with the Commission, the Exchange is proposing to assess no Office of the Secretary at (202) 551– Exchange included statements charge for execution of Midpoint 5400. concerning the purpose of and basis for Extended Life Orders in the month of the proposed rule change and discussed July 2018 if the member executes at Dated: June 28, 2018. any comments it received on the least at least [sic] 250,000 shares in Brent J. Fields, proposed rule change. The text of these Midpoint Extended Life Orders in the Secretary. statements may be examined at the immediately preceding month. Thus, [FR Doc. 2018–14281 Filed 6–28–18; 4:15 pm] places specified in Item IV below. The the new fee will be applied beginning BILLING CODE 8011–01–P Exchange has prepared summaries, set July 2, 2018 based on the number of forth in sections A, B, and C below, of Midpoint Extended Life Orders the most significant aspects of such executed by the member in the month SECURITIES AND EXCHANGE statements. of June 2018. The Exchange is also COMMISSION adopting a new fee of $0.0006 per share A. Self-Regulatory Organization’s executed assessed for execution of [Release No. 34–83522; File No. SR– Statement of the Purpose of, and NASDAQ–2018–047] Midpoint Extended Life Orders in Statutory Basis for, the Proposed Rule securities priced at $1 or more Change applicable to members that do not Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of 1. Purpose qualify under the no cost tier described Filing and Immediate Effectiveness of immediately above. After July 2018, the The purpose of the proposed rule Proposed Rule Change To Adopt a Exchange will assess a charge of $0.0006 change is to amend the Exchange’s New Transaction Fee for Execution of per share executed assessed [sic] for transaction fees at Rule 7018(a)(1)–(3) to Midpoint Extended Life Orders execution of any Midpoint Extended charge no fee for execution of Midpoint Life Order in a security priced $1 or June 26, 2018. Extended Life Orders in the month of greater. The proposed fees cover Orders Pursuant to Section 19(b)(1) of the July 2018 if the member executes at in securities of any of the three tapes. Securities Exchange Act of 1934 least 250,000 shares in Midpoint The Exchange believes that the market (‘‘Act’’),1 and Rule 19b–4 thereunder,2 Extended Life Orders in June 2018, and in Midpoint Extended Life Orders has notice is hereby given that, on June 12, adopt a fee of $0.0006 per share matured to the point that it can support 2018, The Nasdaq Stock Market LLC executed for execution of all other the proposed $0.0006 per share (‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the Midpoint Extended Life Orders in executed fee; however, the Exchange Securities and Exchange Commission securities with a price of $1 or more. also believes that promoting liquidity in (‘‘SEC’’ or ‘‘Commission’’) the proposed Transactions in Midpoint Extended Life Midpoint Extended Life Orders rule change as described in Items I, II, Orders in securities with a price less continues to be warranted. Thus, the and III below, which Items have been than $1 will remain at no cost. Exchange is proposing to not assess a prepared by the Exchange. The On March 7, 2018, the Commission fee for executions of Midpoint Extended Commission is publishing this notice to approved the Exchange’s proposal to Life Orders in the month of July 2018 if solicit comments on the proposed rule adopt a new Order Type, the Midpoint members have at least 250,000 shares change from interested persons. Extended Life Order.4 The Midpoint executed in Midpoint Extended Life Extended Life Order is an Order Type I. Self-Regulatory Organization’s Orders in June 2018. Allowing with a Non-Display Order Attribute that Statement of the Terms of Substance of transactions to occur at no cost if a is priced at the midpoint between the the Proposed Rule Change member provides a certain level of NBBO and that will not be eligible to Midpoint Extended Life Order liquidity The Exchange proposes to amend the execute until the Holding Period of one will promote use of the Midpoint Exchange’s transaction fees at Rule 7018 half of a second has passed after Extended Life Order, which will in turn to adopt a new transaction fee for acceptance of the Order by the System. help bring continued overall liquidity in execution of Midpoint Extended Life Once a Midpoint Extended Life Order Midpoint Extended Life Orders in Orders. becomes eligible to execute by existing securities priced $1 or more to the While these amendments are effective unchanged for the Holding Period, the Exchange in June 2018, since members upon filing, as discussed below, the Order may only execute against other may increase their activity in Midpoint Exchange will begin assessing the eligible Midpoint Extended Life Orders. Extended Life Orders, and members that proposed fees on July 2, 2018.3 The Exchange has not assessed a charge have not yet used Midpoint Extended daltland on DSKBBV9HB2PROD with NOTICES for Midpoint Extended Life Orders 1 15 Life Orders may begin trading in them U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. discussion of the proposed change, and clarifies the to benefit from the zero fee tier. To the 3 The Exchange initially filed the proposed statutory basis and burden on competition extent that members are provided pricing changes on June 1, 2018 (SR–NASDAQ– discussions. 2018–043). On July [sic] 12, 2018, the Exchange 4 See Securities Exchange Act Release No. 82825 5 See Securities Exchange Act Release No. 82905 withdrew that filing and submitted this filing. This (March 7, 2018), 83 FR 10937 (March 13, 2018) (SR– (March 20, 2018), 83 FR 12988 (March 26, 2018) filing makes technical corrections, provides further NASDAQ–2017–074). (SR–NASDAQ–2018–021). VerDate Sep<11>2014 17:40 Jun 29, 2018 Jkt 244001 PO 00000 Frm 00090 Fmt 4703 Sfmt 4703 E:\FR\FM\02JYN1.SGM 02JYN1


Document Created: 2018-06-30 00:17:30
Document Modified: 2018-06-30 00:17:30
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionNotices
FR Citation83 FR 30997 
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