83 FR 3797 - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Harmonize the Definition of Non-Professional User in Its Fee Schedule With That of Its Affiliates
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 83, Issue 18 (January 26, 2018)
Federal Register Volume 83, Issue 18 (January 26, 2018)
| Page Range | 3797-3799 | |
| FR Document | 2018-01361 |
[Federal Register Volume 83, Number 18 (Friday, January 26, 2018)] [Notices] [Pages 3797-3799] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2018-01361] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-82546; File No. SR-CboeBZX-2018-002] Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Harmonize the Definition of Non-Professional User in Its Fee Schedule With That of Its Affiliates January 19, 2018. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that on January 17, 2018, Cboe BZX Exchange, Inc. (the ``Exchange'' or ``BZX'') filed with the Securities and Exchange Commission (the ``Commission'') the proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. The Exchange has designated this proposal as a ``non-controversial'' proposed rule change pursuant to Section 19(b)(3)(A) of the Act \3\ and Rule 19b- 4(f)(6)(iii) thereunder,\4\ which renders it effective upon filing with the Commission. 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. \3\ 15 U.S.C. 78s(b)(3)(A). \4\ 17 CFR 240.19b-4(f)(6)(iii). --------------------------------------------------------------------------- I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange filed a proposal to amend the Market Data section of its fee schedule to harmonize the definition of ``Non-Professional User'' with that of its affiliates, Cboe Exchange, Inc. (``Cboe'') and Cboe C2 Exchange, Inc. (``C2''). The text of the proposed rule change is available at the Exchange's website at www.markets.cboe.com, at the principal office of the Exchange, and at the Commission's Public Reference Room. 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 Exchange 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 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 Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to amend the Market Data section of its fee schedule to harmonize the definition of ``Non-Professional User'' with that of its affiliates, Cboe and C2. In late 2016, the Exchange and its affiliates Cboe EDGA Exchange, Inc. (``EDGA''), Cboe BYX Exchange, Inc. (``BYX''), and Cboe EDGX Exchange, Inc. (``EDGX'') received approval to effect a merger (the ``Merger'') of the Exchange's parent company, Bats Global Markets, Inc., the parent of EDGA, EDGX, BYX, and BZX with CBOE Holding, Inc. (now known as Cboe Global Markets, Inc.) the parent company of Cboe and C2.\5\ In order to provide consistent rules and terminology amongst the Exchange, Cboe, and C2, the Exchange proposes to amend the definition of ``Non-Professional User'' to harmonize it with that of its affiliates, Cboe and C2. The [[Page 3798]] BZX Option's fee schedule currently defines ``Non-Professional User'' as: --------------------------------------------------------------------------- \5\ See Securities Exchange Act Release No. 79585 (December 16, 2016), 82 FR 6961 (December 22, 2016) (SR-BatsEDGX-2016-60; SR- BatsEDGA-2016-24; SR-BatsBYX-2017-29; and SR-BatsBYX-2016-68). a natural person who is not: (i) registered or qualified in any capacity with the Commission, the Commodity Futures Trading Commission, any state securities agency, any securities exchange or association, or any commodities or futures contract market or association; (ii) engaged as an ``investment adviser'' as that term is defined in Section 202(a)(11) of the Investment Advisers Act of 1940 (whether or not registered or qualified under that Act); or (iii) employed by a bank or other organization exempt from registration under federal or state securities laws to perform functions that would require registration or qualification if such --------------------------------------------------------------------------- functions were performed for an organization not so exempt. As amended, ``Non-Professional User'' would be defined as: a natural person or qualifying trust that uses Data only for personal purposes and not for any commercial purpose and, for a natural person who works in the United States, is not: (i) registered or qualified in any capacity with the Securities and Exchange Commission, the Commodities Futures Trading Commission, any state securities agency, any securities exchange or association, or any commodities or futures contract market or association; (ii) engaged as an ``investment adviser'' as that term is defined in Section 202(a)(11) of the Investment Advisors Act of 1940 (whether or not registered or qualified under that Act); or (iii) employed by a bank or other organization exempt from registration under federal or state securities laws to perform functions that would require registration or qualification if such functions were performed for an organization not so exempt; or, for a natural person who works outside of the United States, does not perform the same functions as would disqualify such person as a Non-Professional User if he or she worked in the United States. The revised definition is substantially identical to the definition of ``Non-Professional User' included within the Cboe and C2 fee schedules.\6\ The Exchange's current definition of ``Non-Professional User'' does differ from that contained in the Cboe and C2 fee schedules in following minor, non-substantive ways. First, the harmonized definition will make clear that a Non-Professional User may be a natural person or qualifying trust that uses Data only for personal purposes and not for any commercial purpose. To date, the Exchange is not aware of any entity that receives an Exchange market data product would be deemed a qualifying trust and, therefore, has not had to determine whether such entity is a Professional or Non-Professional User under the prior definition. Second, the harmonized definition would specify that a natural person who works outside of the United States would not be deemed a Non-Professional User where that person does not perform the same functions as would disqualify such person as a Non-Professional User if he or she worked in the United States. The definition with regard to natural persons who work in the United States are substantively identical amongst the old and harmonized definition. --------------------------------------------------------------------------- \6\ See the Cboe fee schedule available at https://www.cboe.org/general-info/pdfframed?content=/publish/mdxfees/cboe-cds-fees-schedule-for-cboe-datafeeds.pdf§ion=SEC_MDX_CSM&title=Cboe%20CDS%20Fees%20Schedule and the C2 fee schedule available at https://www.cboe.org/general-info/pdfframed?content=/publish/mdxfees/c2-cds-fees-schedule.pdf§ion=SEC_MDX_CSM&title=C2%20CDS%20Fees%20Schedule. --------------------------------------------------------------------------- None of these differences impact the manner in which the Exchange would characterize a User and a Professional or Non-Professional. The harmonized definition would provide additional specificity while harmonizing the definition with that of its affiliates. Doing so would ensure consistent terms amongst the Exchange and its affiliates, thereby reducing the potential for confusion amongst market data subscribers regarding the type of User they may be considered by the Exchange. 2. Statutory Basis The Exchange believes that the proposed rule change is consistent with the objectives of Section 6 of the Act,\7\ in general, and furthers the objectives of Section 6(b)(5) of the Act \8\ in particular, in that it is designed to promote just and equitable principles of trade, to foster cooperation and coordination with persons engaged in facilitating transactions in securities, to remove impediments to and perfect the mechanism of a free and open market and a national market system and, in general, to protect investors and the public interest. The harmonized definition of Non-Professional User is equitable, reasonable, and removes impediments to and perfect the mechanism of a free and open market and a national market system it would provide additional specificity while harmonizing the definition with that of its affiliates. Doing so would ensure consistent terms amongst the Exchange and its affiliates, thereby reducing the potential for confusion amongst market data subscribers regarding the type of User they may be considered by the Exchange. --------------------------------------------------------------------------- \7\ 15 U.S.C. 78f. \8\ 15 U.S.C. 78f(b)(5). --------------------------------------------------------------------------- B. Self-Regulatory Organization's Statement on Burden on Competition The Exchange does not believe that the proposed rule change will result in any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act, as amended. The harmonized definition of Non-Professional User would have no impact on competition because it does not materially alter the definition. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others The Exchange has neither solicited nor received written comments on the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Because the foregoing proposed rule change does not: (i) Significantly affect the protection of investors or the public interest; (ii) impose any significant burden on competition; and (iii) become operative for 30 days from the date on which it was filed, or such shorter time as the Commission may designate, it has become effective pursuant to Section 19(b)(3)(A)(iii) of the Act \9\ and subparagraph (f)(6) of Rule 19b-4 thereunder.\10\ In addition, Rule 19b-4(f)(6) requires a self-regulatory organization to give the Commission written notice of its intent to file the proposed rule change, along with a brief description and text of the proposed rule change, at least five business days prior to the date of filing of the proposed rule change, or such shorter time as designated by the Commission. The Exchange has satisfied this requirement. --------------------------------------------------------------------------- \9\ 15 U.S.C. 78s(b)(3)(A)(iii). \10\ 17 CFR 240.19b-4(f)(6). --------------------------------------------------------------------------- In its filing, the Exchange requested that the Commission waive the 30-day operative delay in order to enable the Exchange to immediately ensure consistent use of terms amongst the Exchange and its affiliates, thereby reducing the potential for confusion amongst market data subscribers regarding the type of User they may be considered by the Exchange. The Commission believes that such waiver is consistent with the protection of investors and the public interest. Therefore, the Commission designates the proposed rule change to be operative upon filing. For purposes only of waiving the 30-day operative delay, the Commission has also considered the [[Page 3799]] proposed rule's impact on efficiency, competition, and capital formation.\11\ --------------------------------------------------------------------------- \11\ See 15 U.S.C. 78c(f). --------------------------------------------------------------------------- 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: (i) Necessary or appropriate in the public interest; (ii) for the protection of investors; or (iii) otherwise in furtherance of the purposes of the Act. If the Commission takes such action, the Commission shall institute proceedings to determine whether the proposed rule should be approved or disapproved. 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-CboeBZX-2018-002 on the subject line. Paper Comments Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-1090. All submissions should refer to File Number CboeBZX-2018-002. 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. 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 CboeBZX-2018-002 and should be submitted on or before February 16, 2018. --------------------------------------------------------------------------- \12\ 17 CFR 200.30-3(a)(12). For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.\12\ Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2018-01361 Filed 1-25-18; 8:45 am] BILLING CODE 8011-01-P
![Federal Register / Vol. 83, No. 18 / Friday, January 26, 2018 / Notices 3797
Significantly affect the protection of provisions of 5 U.S.C. 552, will be solicit comments on the proposed rule
investors or the public interest; (ii) available for website viewing and change from interested persons.
impose any significant burden on printing in the Commission’s Public
I. Self-Regulatory Organization’s
competition; and (iii) become operative Reference Room, 100 F Street NE,
Statement of the Terms of Substance of
for 30 days from the date on which it Washington, DC 20549 on official
the Proposed Rule Change
was filed, or such shorter time as the business days between the hours of
Commission may designate, it has 10:00 a.m. and 3:00 p.m. Copies of such The Exchange filed a proposal to
become effective pursuant to Section filing also will be available for amend the Market Data section of its fee
19(b)(3)(A) of the Act and Rule 19b– inspection and copying at the principal schedule to harmonize the definition of
4(f)(6) thereunder.23 office of the Exchange. All comments ‘‘Non-Professional User’’ with that of its
At any time within 60 days of the received will be posted without change. affiliates, Cboe Exchange, Inc. (‘‘Cboe’’)
filing of such proposed rule change, the Persons submitting comments are and Cboe C2 Exchange, Inc. (‘‘C2’’).
Commission summarily may cautioned that we do not redact or edit The text of the proposed rule change
temporarily suspend such rule change if personal identifying information from is available at the Exchange’s website at
it appears to the Commission that such comment submissions. You should www.markets.cboe.com, at the principal
action is necessary or appropriate in the submit only information that you wish office of the Exchange, and at the
public interest, for the protection of to make available publicly. All Commission’s Public Reference Room.
investors, or otherwise in furtherance of submissions should refer to File
the purposes of the Act. Number SR–NYSE–2018–04, and II. Self-Regulatory Organization’s
should be submitted on or before Statement of the Purpose of, and
IV. Solicitation of Comments Statutory Basis for, the Proposed Rule
February 16, 2018.
Interested persons are invited to Change
For the Commission, by the Division of
submit written data, views, and
Trading and Markets, pursuant to delegated In its filing with the Commission, the
arguments concerning the foregoing, authority.24
including whether the proposed rule Exchange included statements
Eduardo A. Aleman, concerning the purpose of and basis for
change is consistent with the Act.
Comments may be submitted by any of Assistant Secretary. the proposed rule change and discussed
the following methods: [FR Doc. 2018–01420 Filed 1–25–18; 8:45 am] any comments it received on the
BILLING CODE 8011–01–P proposed rule change. The text of these
Electronic Comments statements may be examined at the
• Use the Commission’s internet places specified in Item IV below. The
comment form (http://www.sec.gov/ SECURITIES AND EXCHANGE Exchange has prepared summaries, set
rules/sro.shtml); or COMMISSION forth in Sections A, B, and C below, of
• Send an email to rule-comments@ the most significant parts of such
sec.gov. Please include File Number SR– [Release No. 34–82546; File No. SR– statements.
CboeBZX–2018–002]
NYSE–2018–04 on the subject line. A. Self-Regulatory Organization’s
Paper Comments Self-Regulatory Organizations; Cboe Statement of the Purpose of, and
BZX Exchange, Inc.; Notice of Filing Statutory Basis for, the Proposed Rule
• Send paper comments in triplicate
and Immediate Effectiveness of a Change
to Secretary, Securities and Exchange
Proposed Rule Change To Harmonize
Commission, 100 F Street NE, 1. Purpose
the Definition of Non-Professional User
Washington, DC 20549–1090.
in Its Fee Schedule With That of Its The Exchange proposes to amend the
All submissions should refer to File Affiliates Market Data section of its fee schedule
Number SR–NYSE–2018–04. This file to harmonize the definition of ‘‘Non-
number should be included on the January 19, 2018.
Professional User’’ with that of its
subject line if email is used. To help the Pursuant to Section 19(b)(1) of the affiliates, Cboe and C2. In late 2016, the
Commission process and review your Securities Exchange Act of 1934 (the Exchange and its affiliates Cboe EDGA
comments more efficiently, please use ‘‘Act’’),1 and Rule 19b–4 thereunder,2 Exchange, Inc. (‘‘EDGA’’), Cboe BYX
only one method. The Commission will notice is hereby given that on January Exchange, Inc. (‘‘BYX’’), and Cboe
post all comments on the Commission’s 17, 2018, Cboe BZX Exchange, Inc. (the EDGX Exchange, Inc. (‘‘EDGX’’)
internet website (http://www.sec.gov/ ‘‘Exchange’’ or ‘‘BZX’’) filed with the received approval to effect a merger (the
rules/sro.shtml). Copies of the Securities and Exchange Commission ‘‘Merger’’) of the Exchange’s parent
submission, all subsequent (the ‘‘Commission’’) the proposed rule company, Bats Global Markets, Inc., the
amendments, all written statements change as described in Items I and II parent of EDGA, EDGX, BYX, and BZX
with respect to the proposed rule below, which Items have been prepared with CBOE Holding, Inc. (now known as
change that are filed with the by the Exchange. The Exchange has Cboe Global Markets, Inc.) the parent
Commission, and all written designated this proposal as a ‘‘non- company of Cboe and C2.5 In order to
communications relating to the controversial’’ proposed rule change provide consistent rules and
proposed rule change between the pursuant to Section 19(b)(3)(A) of the terminology amongst the Exchange,
Commission and any person, other than Act 3 and Rule 19b–4(f)(6)(iii) Cboe, and C2, the Exchange proposes to
those that may be withheld from the thereunder,4 which renders it effective amend the definition of ‘‘Non-
public in accordance with the upon filing with the Commission. The
daltland on DSKBBV9HB2PROD with NOTICES
Professional User’’ to harmonize it with
Commission is publishing this notice to that of its affiliates, Cboe and C2. The
23 In addition, Rule 19b–4(f)(6)(iii) requires a self-
regulatory organization to give the Commission 24 17 CFR 200.30–3(a)(12).
written notice of its intent to file the proposed rule 1 15
5 See Securities Exchange Act Release No. 79585
change at least five business days prior to the date U.S.C. 78s(b)(1). (December 16, 2016), 82 FR 6961 (December 22,
2 17 CFR 240.19b–4.
of filing of the proposed rule change, or such 2016) (SR–BatsEDGX–2016–60; SR–BatsEDGA–
3 15 U.S.C. 78s(b)(3)(A).
shorter time as designated by the Commission. The 2016–24; SR–BatsBYX–2017–29; and SR–BatsBYX–
Exchange has satisfied this requirement. 4 17 CFR 240.19b–4(f)(6)(iii). 2016–68).
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![Federal Register / Vol. 83, No. 18 / Friday, January 26, 2018 / Notices 3799
proposed rule’s impact on efficiency, office of the Exchange. All comments excluding verbal interest above the first
competition, and capital formation.11 received will be posted without change. 750,000 average daily volume (‘‘ADV’’)
At any time within 60 days of the Persons submitting comments are of aggregate executions at the close; (4)
filing of the proposed rule change, the cautioned that we do not redact or edit introduce a Tier 4 Adding Credit; (5)
Commission summarily may personal identifying information from introduce tiered trading license fees;
temporarily suspend such rule change if comment submissions. You should and (6) make certain non-substantive
it appears to the Commission that such submit only information that you wish organizational and clarifying changes,
action is: (i) Necessary or appropriate in to make available publicly. All including grouping fees for all
the public interest; (ii) for the protection submissions should refer to File executions at the close together. The
of investors; or (iii) otherwise in Number CboeBZX–2018–002 and Exchange proposes to implement these
furtherance of the purposes of the Act. should be submitted on or before changes to its Price List effective
If the Commission takes such action, the February 16, 2018. January 8, 2018.4 The proposed rule
Commission shall institute proceedings For the Commission, by the Division of change is available on the Exchange’s
to determine whether the proposed rule Trading and Markets, pursuant to delegated website at www.nyse.com, at the
should be approved or disapproved. authority.12 principal office of the Exchange, and at
IV. Solicitation of Comments Eduardo A. Aleman, the Commission’s Public Reference
Assistant Secretary. Room.
Interested persons are invited to
[FR Doc. 2018–01361 Filed 1–25–18; 8:45 am] II. Self-Regulatory Organization’s
submit written data, views, and
arguments concerning the foregoing, BILLING CODE 8011–01–P Statement of the Purpose of, and
including whether the proposed rule Statutory Basis for, the Proposed Rule
change is consistent with the Act. Change
SECURITIES AND EXCHANGE
Comments may be submitted by any of In its filing with the Commission, the
COMMISSION
the following methods: self-regulatory organization included
[Release No. 34–82563; File No. SR–NYSE–
Electronic Comments 2018–03] statements concerning the purpose of,
• Use the Commission’s internet and basis for, the proposed rule change
comment form (http://www.sec.gov/ Self-Regulatory Organizations; New and discussed any comments it received
rules/sro.shtml); or York Stock Exchange LLC; Notice of on the proposed rule change. The text
• Send an email to rule-comments@ Filing and Immediate Effectiveness of of those statements may be examined at
sec.gov. Please include File Number SR– Proposed Rule Change To Amend Its the places specified in Item IV below.
CboeBZX–2018–002 on the subject line. Price List The Exchange has prepared summaries,
set forth in sections A, B, and C below,
Paper Comments January 22, 2018. of the most significant parts of such
• Send paper comments in triplicate Pursuant to Section 19(b)(1) 1 of the statements.
to Secretary, Securities and Exchange Securities Exchange Act of 1934 (the
‘‘Act’’) 2 and Rule 19b–4 thereunder,3 A. Self-Regulatory Organization’s
Commission, 100 F Street NE, Statement of the Purpose of, and the
Washington, DC 20549–1090. notice is hereby given that, on January
8, 2018, New York Stock Exchange LLC Statutory Basis for, the Proposed Rule
All submissions should refer to File Change
(‘‘NYSE’’ or the ‘‘Exchange’’) filed with
Number CboeBZX–2018–002. This file
the Securities and Exchange 1. Purpose
number should be included on the
Commission (‘‘SEC’’ or ‘‘Commission’’)
subject line if email is used. To help the The Exchange proposes to amend its
the proposed rule change as described
Commission process and review your Price List to (1) revise the Non-Tier
in Items I, II, and III below, which Items
comments more efficiently, please use Adding Credit; (2) modify the MOC and
have been prepared by the Exchange.
only one method. The Commission will LOC tier and non-tier rates and add a
The Commission is publishing this
post all comments on the Commission’s Floor broker MOC fee; (3) modify the fee
notice to solicit comments on the
internet website (http://www.sec.gov/ for executions at the close (except MOC,
proposed rule change from interested
rules/sro.shtml). Copies of the LOC and CO Orders), and Floor broker
persons.
submission, all subsequent executions swept into the close,
amendments, all written statements I. Self-Regulatory Organization’s excluding verbal interest above the first
with respect to the proposed rule Statement of the Terms of Substance of 750,000 average daily volume (‘‘ADV’’)
change that are filed with the the Proposed Rule Change of aggregate executions at the close; (4)
Commission, and all written The Exchange proposes to amend its introduce a Tier 4 Adding Credit; (5)
communications relating to the Price List for equity transactions in introduce tiered trading license fees;
proposed rule change between the stocks with a per share stock price of and (6) make certain non-substantive
Commission and any person, other than $1.00 or more to (1) revise the Non-Tier organizational and clarifying changes,
those that may be withheld from the Adding Credit; (2) modify the market at- including grouping fees for all
public in accordance with the the-close (‘‘MOC’’) and limit at-the-close executions at the close together.
provisions of 5 U.S.C. 552, will be (‘‘LOC’’) tier and non-tier rates and add The proposed changes would only
available for website viewing and a new Floor broker MOC fee; (3) modify apply to fees and credits in transactions
printing in the Commission’s Public the fee for executions at the close in securities priced $1.00 or more.
Reference Room, 100 F Street NE, (except MOC, LOC and Closing Offset
daltland on DSKBBV9HB2PROD with NOTICES
The Exchange proposes to implement
Washington, DC 20549 on official (‘‘CO’’) Orders), and Floor broker these changes to its Price List effective
business days between the hours of executions swept into the close, January 8, 2018.
10:00 a.m. and 3:00 p.m. Copies of the
filing also will be available for 12 17 CFR 200.30–3(a)(12). 4 The Exchange originally filed to amend the
inspection and copying at the principal 1 15 U.S.C. 78s(b)(1). Price List on December 28, 2017 (SR–NYSE–2017–
2 15 U.S.C. 78a.
73). SR–NYSE–2017–73 was subsequently
11 See 15 U.S.C. 78c(f). 3 17 CFR 240.19b–4. withdrawn and replaced by this filing.
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Document Created: 2018-10-26 10:04:13
Document Modified: 2018-10-26 10:04:13
| Category | Regulatory Information | |
| Collection | Federal Register | |
| sudoc Class | AE 2.7: GS 4.107: AE 2.106: | |
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| Section | Notices | |
| FR Citation | 83 FR 3797 |
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