83 FR 35041 - Sunshine Act Meetings

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 83, Issue 142 (July 24, 2018)

Page Range		35041-35041
FR Document		2018-15858

Federal Register, Volume 83 Issue 142 (Tuesday, July 24, 2018)

[Federal Register Volume 83, Number 142 (Tuesday, July 24, 2018)]
[Notices]
[Page 35041]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-15858]


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SECURITIES AND EXCHANGE COMMISSION


Sunshine Act Meetings

TIME AND DATE: 2:00 p.m. on Thursday, July 26, 2018.

PLACE: Closed Commission Hearing Room 10800.

STATUS: This meeting will be closed to the public.

MATTERS TO BE CONSIDERED: Commissioners, Counsel to the Commissioners, 
the Secretary to the Commission, and recording secretaries will attend 
the closed meeting. Certain staff members who have an interest in the 
matters also may be present.
    The General Counsel of the Commission, or his designee, has 
certified that, in his opinion, one or more of the exemptions set forth 
in 5 U.S.C. 552b(c)(3), (5), (6), (7), (8), 9(B) and (10) and 17 CFR 
200.402(a)(3), (a)(5), (a)(6), (a)(7), (a)(8), (a)(9)(ii) and (a)(10), 
permit consideration of the scheduled matters at the closed meeting.
    Commissioner Jackson, as duty officer, voted to consider the items 
listed for the closed meeting in closed session.
    The subject matters of the closed meeting will be:
    Institution and settlement of injunctive actions;
    Institution and settlement of administrative proceedings; and
    Other matters relating to enforcement proceedings.
    At times, changes in Commission priorities require alterations in 
the scheduling of meeting items.

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

    Dated: July 19, 2018.
Brent J. Fields,
Secretary.
[FR Doc. 2018-15858 Filed 7-20-18; 8:45 am]
BILLING CODE 8011-01-P

Federal Register / Vol. 83, No. 142 / Tuesday, July 24, 2018 / Notices 35041

days from that date, and September 21, CONTACT PERSON FOR MORE INFORMATION: statements may be examined at the
2018, is 240 days from that date. For further information and to ascertain places specified in Item IV below. The
The Commission finds it appropriate what, if any, matters have been added, clearing agency has prepared
to designate a longer period within deleted or postponed; please contact summaries, set forth in sections A, B,
which to issue an order approving or Brent J. Fields from the Office of the and C below, of the most significant
disapproving the proposed rule change Secretary at (202) 551–5400. aspects of such statements.
so that it has sufficient time to consider Dated: July 19, 2018.
this proposed rule change. Accordingly, (A) Clearing Agency’s Statement of the
the Commission, pursuant to Section
Brent J. Fields, Purpose of, and Statutory Basis for, the
Secretary. Proposed Rule Change
19(b)(2) of the Act,10 designates
September 21, 2018, as the date by [FR Doc. 2018–15858 Filed 7–20–18; 8:45 am] 1. Purpose
which the Commission shall either BILLING CODE 8011–01–P
NSCC is proposing to revise its Rules
approve or disapprove the proposed in order to discontinue its Commission
rule change (File No. SR–NYSEArca– Billing service and the Commission
2018–02). SECURITIES AND EXCHANGE
COMMISSION Billing type of limited membership, for
For the Commission, by the Division of the reasons described below.
Trading and Markets, pursuant to delegated [Release No. 34–83666; File No. SR–NSCC–
authority.11 2018–004] Overview of the Commission Billing
Eduardo A. Aleman, Service
Assistant Secretary. Self-Regulatory Organizations; As currently described in Rule 16,
National Securities Clearing NSCC provides a service through which
[FR Doc. 2018–15768 Filed 7–23–18; 8:45 am]
Corporation; Notice of Filing of a it facilitates the payment of
BILLING CODE 8011–01–P
Proposed Rule Change To Terminate commissions on monthly basis between
the Commission Billing Service and its Members and Commission Billing
SECURITIES AND EXCHANGE the Commission Billing Limited Members.4 Brokers that use this service
COMMISSION Membership to charge and collect commissions are
July 18, 2018. Commission Billing Members, which is
Sunshine Act Meetings a type of limited membership that
Pursuant to Section 19(b)(1) of the
allows these firms to participate in
TIME AND DATE: 2:00 p.m. on Thursday, Securities Exchange Act of 1934
NSCC solely for the collection of
July 26, 2018. (‘‘Act’’) 1 and Rule 19b–4 thereunder,2
commissions.
PLACE: Closed Commission Hearing notice is hereby given that on July 13, Currently, Commission Billing
Room 10800. 2018, National Securities Clearing Members are floor broker firms that are
Corporation (‘‘NSCC’’) filed with the members of the New York Stock
STATUS: This meeting will be closed to
Securities and Exchange Commission Exchange (‘‘NYSE’’) and NYSE
the public.
(‘‘Commission’’) the proposed rule American (formerly the American Stock
MATTERS TO BE CONSIDERED:
change as described in Items I, II and III Exchange), although historically the
Commissioners, Counsel to the below, which Items have been prepared
Commissioners, the Secretary to the service was available to floor broker
by the clearing agency. The Commission firms on any U.S. exchange. As
Commission, and recording secretaries is publishing this notice to solicit
will attend the closed meeting. Certain provided for in Rule 2 of the Rules,
comments on the proposed rule change Commission Billing Members
staff members who have an interest in from interested persons.
the matters also may be present. participate solely in the collection and
The General Counsel of the I. Clearing Agency’s Statement of the payment of commissions as provided for
Commission, or his designee, has Terms of Substance of the Proposed under Rule 16 of the Rules.5
certified that, in his opinion, one or Rule Change Floor broker firms execute trades on
more of the exemptions set forth in 5 behalf of their clients for a commission.
The proposed rule change consists of In order to process commission charges
U.S.C. 552b(c)(3), (5), (6), (7), (8), 9(B) amendments to Rules and Procedures of
and (10) and 17 CFR 200.402(a)(3), applied to clients who are Members,
NSCC (‘‘Rules’’) in order to in order to floor broker firms that are Commission
(a)(5), (a)(6), (a)(7), (a)(8), (a)(9)(ii) and terminate the Commission Billing
(a)(10), permit consideration of the Billing Members may submit these
service and the Commission Billing type charges to NSCC. Commission charges
scheduled matters at the closed meeting. of limited membership, as described in
Commissioner Jackson, as duty are submitted to NSCC in one of two
greater detail below.3 ways. In most cases, where the
officer, voted to consider the items
listed for the closed meeting in closed II. Clearing Agency’s Statement of the Commission Billing Member is a
session. Purpose of, and Statutory Basis for, the member of NYSE, NYSE may act as a
The subject matters of the closed Proposed Rule Change payment-data aggregator and creates and
meeting will be: submits payment files to NSCC.
In its filing with the Commission, the Alternatively, Commission Billing
Institution and settlement of
clearing agency included statements Members may submit payments directly
injunctive actions;
concerning the purpose of and basis for to NSCC through a web-based system.
Institution and settlement of
the proposed rule change and discussed NSCC tabulates all payment records
administrative proceedings; and
any comments it received on the
jstallworth on DSKBBY8HB2PROD with NOTICES

Other matters relating to enforcement received on a monthly basis, and either
proceedings. proposed rule change. The text of these sends amounts to The Depository Trust
At times, changes in Commission Company (‘‘DTC’’) for payment (for
1 15
U.S.C. 78s(b)(1).
priorities require alterations in the 2 17
billed Members that are also
CFR 240.19b–4.
scheduling of meeting items. 3 Available at http://www.dtcc.com/legal/rules-
Participants of DTC) or processes
and-procedures. Capitalized terms used herein and
10 Id. 4 Id.
not otherwise defined shall have the meaning
11 17 CFR 200.30–3(a)(57). assigned to such terms in the Rules. 5 Id.

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Document Created: 2018-07-24 00:10:13
Document Modified: 2018-07-24 00:10:13

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
Dates		2:00 p.m. on Thursday, July 26, 2018.
FR Citation		83 FR 35041