83 FR 38748 - Order Granting Applications by Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, and Nasdaq PHLX LLC for Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain CAT Rules Incorporated by Reference
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 83, Issue 152 (August 7, 2018)
Federal Register Volume 83, Issue 152 (August 7, 2018)
| Page Range | 38748-38750 | |
| FR Document | 2018-16799 |
[Federal Register Volume 83, Number 152 (Tuesday, August 7, 2018)] [Notices] [Pages 38748-38750] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2018-16799] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-83757] Order Granting Applications by Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, and Nasdaq PHLX LLC for Exemption Pursuant to Section 36(a) of the Exchange Act From the Rule Filing Requirements of Section 19(b) of the Exchange Act With Respect to Certain CAT Rules Incorporated by Reference August 1, 2018. Nasdaq BX, Inc. (``BX''), Nasdaq GEMX, LLC (``GEMX''), Nasdaq ISE, LLC (``ISE''), Nasdaq MRX, LLC (``MRX''), and Nasdaq PHLX LLC (``Phlx'') (each the ``Exchange'' and collectively, the ``Exchanges'') have filed with the Securities and Exchange Commission (the ``Commission'') an application for an exemption from the rule filing requirements of Section 19(b) of the Securities Exchange Act of 1934 (the ``Exchange Act'') \1\ with respect to certain rules of The Nasdaq Stock Market LLC (the ``Nasdaq Market'') that the Exchanges seek to incorporate by reference. Section 36(a)(1) of the Exchange Act,\2\ subject to certain limitations, authorizes the Commission to conditionally or unconditionally exempt any person, security, or transaction, or any class thereof, from any provision of the Exchange Act or rule thereunder, if necessary or appropriate in the public interest and consistent with the protection of investors. --------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b). \2\ 15 U.S.C. 78mm(a)(1). --------------------------------------------------------------------------- [[Page 38749]] The Nasdaq Market and the Exchanges are Participants in the National Market System Plan Governing the Consolidated Audit Trail (``CAT NMS Plan'' or ``Plan'').\3\ Each Participant in the CAT NMS Plan is required to enforce compliance by its members with the provisions of the Plan by adopting a Compliance Rule applicable to its members.\4\ In 2017, pursuant to the CAT NMS Plan, the Nasdaq Market and the Exchanges each adopted a Compliance Rule.\5\ On April 10, 2018, the Exchanges filed proposed rule changes with the Commission to delete each Exchange's Compliance Rule from the rulebook and instead incorporate by reference, in each respective Exchange's rulebook, the Nasdaq Market's Compliance Rule (``Nasdaq Market Compliance Rule'').\6\ --------------------------------------------------------------------------- \3\ See Securities Exchange Act Release No. 79318 (November 15, 2016), 81 FR 84696 (November 23, 2016) (``CAT NMS Plan Approval Order''). All capitalized terms not otherwise defined herein have the meaning ascribed to them in the CAT NMS Plan or CAT NMS Plan Approval Order. \4\ Id. at 84945, 84950. \5\ See Securities Exchange Act Release No. 80256, 82 FR 14526 (March 21, 2017) (order approving the Compliance Rules for the Nasdaq Market and the Exchanges). On January 29, 2018, the Nasdaq Market filed a proposed rule change with the Commission to relocate the Nasdaq Market Compliance Rule to a new section General 7 in its rulebook. See Securities Exchange Act Release No. 82604 (January 30, 2018), 83 FR 5154 (February 5, 2018) (SR-NASDAQ-2018-007). \6\ See Securities Exchange Act Release Nos. 83077 (April 20, 2018), 83 FR 18358 (April 26, 2018) (SR-Phlx-2018-30); 83081 (April 20, 2018), 83 FR 18371 (April 26, 2018) (SR-BX-2018-015); 83079 (April 20, 2018), 83 FR 18362 (April 26, 2018) (SR-ISE-2018-35); 83083 (April 20, 2018), 83 FR 18384 (April 26, 2018) (SR-GEMX-2018- 13); and 83085 (April 20, 2018), 83 FR 18364 (April 26, 2018) (SR- MRX-2018-12). Although the proposed rule changes were filed pursuant to Section 19(b)(3)(A)(iii) of the Exchange Act, and thereby became effective upon filing with the Commission, the Exchanges stipulated in their filings that the incorporation by reference would not be operative until such time as the Commission grants this exemptive request. --------------------------------------------------------------------------- The Exchanges request, pursuant to Rule 0-12 under the Exchange Act,\7\ that the Commission grant the Exchanges an exemption from the rule filing requirements of Section 19(b) of the Exchange Act for changes to each Exchange's rules that are effected solely by virtue of a change to the Nasdaq Market Compliance Rule. Specifically, the Exchanges request that they be permitted to incorporate by reference changes made to the Nasdaq Market Compliance Rule that would be incorporated by reference in the Exchanges' rulebooks, without the need for each Exchange to file separately the same proposed rule changes pursuant to Section 19(b) of the Exchange Act.\8\ By virtue of incorporating the Nasdaq Market Compliance Rule by reference, members of each Exchange will be required to comply with the Nasdaq Market Compliance Rule as though it is fully set forth within each of the Exchanges' rulebooks.\9\ --------------------------------------------------------------------------- \7\ 17 CFR 240.0-12. \8\ See Letter from Angela S. Dunn, Principal Associate General Counsel, Nasdaq Inc., to Brent J. Fields, Secretary, Commission, dated April 10, 2018, at 2-3. \9\ Id. at 2. --------------------------------------------------------------------------- The Exchanges do not intend to incorporate by reference any trading rules. Instead, they represent that the Nasdaq Market Compliance Rule is regulatory in nature. Further, the Exchanges represent that they will, as a condition of this exemption, provide written notice to their members whenever the Nasdaq Market proposes a change to the Nasdaq Market Compliance Rule.\10\ Such notice will alert the members of each Exchange to the proposed rule change and give them an opportunity to comment on the proposal. The Exchanges state that they will also inform members in writing when the Commission approves any such proposed rule change.\11\ --------------------------------------------------------------------------- \10\ The Exchanges also state that they will provide such notice on their websites in the same section they use to post their own proposed rule change pursuant to Rule 19b-4(l) of the Exchange Act. In addition, the Exchanges state that their website will include a link to the Nasdaq Market website where the proposed rule change would be located. Id. \11\ Id. --------------------------------------------------------------------------- The Exchanges believe this exemption is appropriate because it will result in the Exchanges' rules pertaining to CAT NMS Plan compliance to remain consistent at all times, thus ensuring consistent regulation of joint members of the Nasdaq Market and Exchanges with respect to the incorporated rules.\12\ --------------------------------------------------------------------------- \12\ Id. --------------------------------------------------------------------------- The Commission has issued exemptions similar to the Exchanges' request.\13\ In granting one such exemption in 2010, the Commission repeated a prior, 2004 Commission statement that it would consider similar future exemption requests from other self-regulatory organizations (``SROs''), provided that: --------------------------------------------------------------------------- \13\ See, e.g., Securities Exchange Act Release Nos. 80338 (March 29, 2017), 82 FR 16464 (April 4, 2017) (order granting exemptive request from MIAX PEARL, LLC relating to rules of Miami International Securities Exchange, LLC incorporated by reference); 72650 (July 22, 2014), 79 FR 44075 (July 29, 2014) (order granting exemptive requests from NASDAQ OMX BX, Inc. and the NASDAQ Stock Market LLC relating to rules of NASDAQ OMX PHLX LLC incorporated by reference); 67256 (June 26, 2012), 77 FR 39277, 39286 (July 2, 2012) (order approving SR-BX-2012-030 and granting exemptive request relating to rules incorporated by reference by the BX Options rules); 61534 (February 18, 2010), 75 FR 8760 (February 25, 2010) (order granting BATS Exchange, Inc.'s exemptive request relating to rules incorporated by reference by the BATS Exchange Options Market rules) (``BATS Options Market Order''); and 57478 (March 12, 2008), 73 FR 14521, 14539-40 (March 18, 2008) (order approving SR-NASDAQ- 2007-004 and SR-NASDAQ-2007-080, and granting exemptive request relating to rules incorporated by reference by The NASDAQ Options Market). ---------------------------------------------------------------------------An SRO wishing to incorporate rules of another SRO by reference has submitted a written request for an order exempting it from the requirement in Section 19(b) of the Exchange Act to file proposed rule changes relating to the rules incorporated by reference, has identified the applicable originating SRO(s), together with the rules it wants to incorporate by reference, and otherwise has complied with the procedural requirements set forth in the Commission's release governing procedures for requesting exemptive orders pursuant to Rule 0-12 under the Exchange Act; \14\ --------------------------------------------------------------------------- \14\ See 17 CFR 240.0-12 and Securities Exchange Act Release No. 39624 (February 5, 1998), 63 FR 8101 (February 18, 1998) (``Commission Procedures for Filing Applications for Orders for Exemptive Relief Pursuant to Section 36 of the Exchange Act; Final Rule''). --------------------------------------------------------------------------- The incorporating SRO has requested incorporation of categories of rules (rather than individual rules within a category) that are not trading rules (e.g., the SRO has requested incorporation of rules such as margin, suitability, or arbitration); and The incorporating SRO has reasonable procedures in place to provide written notice to its members each time a change is proposed to the incorporated rules of another SRO.\15\ --------------------------------------------------------------------------- \15\ See BATS Options Market Order, supra note 13 (citing Securities Exchange Act Release No. 49260 (February 17, 2004), 69 FR 8500 (February 24, 2004) (order granting exemptive request relating to rules incorporated by reference by several SROs) (``2004 Order'')). --------------------------------------------------------------------------- The Commission believes that the Exchanges have satisfied each of these conditions. Further, the Commission also believes that granting the Exchanges an exemption from the rule filing requirements under Section 19(b) of the Exchange Act will promote efficient use of the Commission's and the Exchanges' resources by avoiding duplicative rule filings based on simultaneous changes to identical rule text sought by more than one SRO.\16\ The Commission therefore finds it appropriate in the public interest and consistent with the protection of investors to exempt the Exchanges from the rule filing requirements under Section 19(b) of the Exchange Act with respect to the above-described rules they incorporate by reference. This exemption is conditioned upon the Exchanges promptly providing written notice to their members whenever the [[Page 38750]] Nasdaq Market changes a rule that the Exchanges have incorporated by reference. --------------------------------------------------------------------------- \16\ See BATS Options Market Order, supra note 13, 75 FR at 8761; see also 2004 Order, supra note 15, 69 FR at 8502. --------------------------------------------------------------------------- Accordingly, it is ordered, pursuant to Section 36 of the Exchange Act,\17\ that the Exchanges are exempt from the rule filing requirements of Section 19(b) of the Exchange Act solely with respect to changes to the rules identified in its request that incorporate by reference certain Nasdaq Market rules that are the result of changes to such Nasdaq Market rules, provided that the Exchanges promptly provide written notice to their members whenever the Nasdaq Market proposes to change a rule that the Exchanges have incorporated by reference. --------------------------------------------------------------------------- \17\ 15 U.S.C. 78mm. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.\18\ --------------------------------------------------------------------------- \18\ 17 CFR 200.30-3(a)(76). --------------------------------------------------------------------------- Brent J. Fields, Secretary. [FR Doc. 2018-16799 Filed 8-6-18; 8:45 am] BILLING CODE 8011-01-P
![38748 Federal Register / Vol. 83, No. 152 / Tuesday, August 7, 2018 / Notices
inspection and copying at the principal exemption are scheduled to expire on increments of $0.001, in connection
office of OCC and on OCC’s website at July 31, 2018. with the operation of its RPI Program.
https://www.theocc.com/about/ The Exchange now seeks to extend The limited and temporary exemption
publications/bylaws.jsp. the exemption until December 31, extended by this Order is subject to
All comments received will be posted 2018.4 The Exchange’s request was modification or revocation if at any time
without change. Persons submitting made in conjunction with an the Commission determines that such
comments are cautioned that we do not immediately effective filing that extends action is necessary or appropriate in
redact or edit personal or identifying the operation of the Program until furtherance of the purposes of the
information from comment submissions. December 31, 2018.5 In its request to Securities Exchange Act of 1934.
You should submit only information extend the exemption, the Exchange Responsibility for compliance with any
that you wish to make available notes that the Program was applicable provisions of the federal
publicly. implemented gradually over time. securities laws must rest with the
All submissions should refer to File Accordingly, the Exchange has asked for persons relying on the exemptions that
Number SR–OCC–2017–809 and should additional time to allow itself and the are the subject of this Order.
be submitted on or before August 22, Commission to analyze data concerning
For the Commission, by the Division of
2018. the Program, which the Exchange Trading and Markets, pursuant to delegated
committed to provide to the authority.7
By the Commission.
Commission, as well as to allow Brent J. Fields,
Brent J. Fields,
additional opportunities for greater
Secretary. Secretary.
participation in the Program.6 For this
[FR Doc. 2018–16824 Filed 8–6–18; 8:45 am] [FR Doc. 2018–16798 Filed 8–6–18; 8:45 am]
reason and the reasons stated in the
BILLING CODE 8011–01–P
BILLING CODE 8011–01–P Order originally granting the limited
exemption, the Commission finds that
extending the exemption, pursuant to its
SECURITIES AND EXCHANGE SECURITIES AND EXCHANGE
authority under Rule 612(c) of
COMMISSION COMMISSION
Regulation NMS, is appropriate in the
[Release No. 34–83756; File No. SR–BYX– public interest and consistent with the [Release No. 34–83757]
2012–019] protection of investors.
THEREFORE, IT IS HEREBY Order Granting Applications by
Self-Regulatory Organization; Cboe ORDERED, that, pursuant to Rule 612(c) Nasdaq BX, Inc., Nasdaq GEMX, LLC,
BYX Exchange, Inc.; Order Granting an of Regulation NMS, the Exchange is Nasdaq ISE, LLC, Nasdaq MRX, LLC,
Extension to Limited Exemption From granted a limited exemption from Rule and Nasdaq PHLX LLC for Exemption
Rule 612(c) of Regulation NMS in 612(c) of Regulation NMS that allows it Pursuant to Section 36(a) of the
Connection With the Exchange’s Retail to accept and rank orders priced equal Exchange Act From the Rule Filing
Price Improvement Program to or greater than $1.00 per share in Requirements of Section 19(b) of the
Exchange Act With Respect to Certain
August 1, 2018. Program); 74111 (January 22, 2015), 80 FR 4598 CAT Rules Incorporated by Reference
On November 27, 2012, the Securities (January 28, 2015) (SR–BYX–2015–05) (Notice of
and Exchange Commission Filing and Immediate Effectiveness of a Proposed August 1, 2018.
Rule Change to Extend the Pilot Period for the RPI); Nasdaq BX, Inc. (‘‘BX’’), Nasdaq
(‘‘Commission’’) issued an order and 74115 (January 22, 2015), 80 FR 4324 (January
pursuant to its authority under Rule 27, 2015) (Order Granting an Extension to Limited GEMX, LLC (‘‘GEMX’’), Nasdaq ISE,
612(c) of Regulation NMS (‘‘Sub-Penny Exemption From Rule 612(c) of Regulation NMS in LLC (‘‘ISE’’), Nasdaq MRX, LLC
Rule) 1 that granted the BATS BYX- Connection With the Exchange’s Retail Price (‘‘MRX’’), and Nasdaq PHLX LLC
Improvement Program); 76965 (January 22, 2016), (‘‘Phlx’’) (each the ‘‘Exchange’’ and
Exchange, Inc. (nka ‘‘Cboe BYX’’ or the 81 FR 4682 (January 27, 2016) (SR–BYX–2016–01)
‘‘Exchange’’) a limited exemption from (Notice of Filing and Immediate Effectiveness of a collectively, the ‘‘Exchanges’’) have
the Sub-Penny Rule in connection with Proposed Rule Change to Extend the Pilot Period for filed with the Securities and Exchange
the operation of the Exchange’s Retail the RPI); 76953 (January 21, 2016), 81 FR 4728 Commission (the ‘‘Commission’’) an
(January 27, 2016) (Order Granting an Extension to application for an exemption from the
Price Improvement (‘‘RPI’’) Program (the Limited Exemption From Rule 612(c) of Regulation
‘‘Program’’). The limited exemption was NMS in Connection With the Exchange’s Retail rule filing requirements of Section 19(b)
granted concurrently with the Price Improvement Program); 78180 (June 28, 2016), of the Securities Exchange Act of 1934
Commission’s approval of the 81 FR 43306 (July 1, 2016) (SR–BYX–2016–15) (the ‘‘Exchange Act’’) 1 with respect to
(Notice of Filing and Immediate Effectiveness of a certain rules of The Nasdaq Stock
Exchange’s proposal to adopt the Proposed Rule Change to Extend the Pilot Period for
Program for a one-year pilot term.2 The the RPI); 78178 (July 5, 2016), 81 FR 43689 (July Market LLC (the ‘‘Nasdaq Market’’) that
exemption was granted coterminous 5, 2016) (Order Granting an Extension to Limited the Exchanges seek to incorporate by
with the effectiveness of the pilot Exemption From Rule 612(c) of Regulation NMS in reference. Section 36(a)(1) of the
Connection With the Exchange’s Retail Price Exchange Act,2 subject to certain
Program and has been extended five Improvement Program); 81368 (August 10, 2017), 82
times; 3 both the pilot Program and FR 38960 (August 16, 2017) (SR–BatsBYX–2017–18) limitations, authorizes the Commission
(Notice of Filing and Immediate Effectiveness of a to conditionally or unconditionally
1 17 CFR 242.612(c). Proposed Rule Change to Extend the Pilot Period for exempt any person, security, or
2 See Securities Exchange Act Release No. 68303 the RPI); 81364 (August 8, 2018), 82 FR 38733 transaction, or any class thereof, from
(November 27, 2012), 77 FR 71652 (December 3, (August 15, 2017) (Order Granting an Extension to
Limited Exemption From Rule 612(c) of Regulation any provision of the Exchange Act or
2012) (‘‘RPI Approval Order’’) (SR–BXY–2012–019).
NMS in Connection With the Exchange’s Retail rule thereunder, if necessary or
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3 See Securities Exchange Act Release Nos. 71249
(January 7, 2014), 79 FR 2229 (January 13, 2012) Price Improvement Program). appropriate in the public interest and
4 See letter from Anders Franzon, Senior Vice
(SR–BYX–2014–001) (Notice of Filing and consistent with the protection of
Immediate Effectiveness of a Proposed Rule Change President and Associate General Counsel, Cboe
BYX, to Brent J. Fields, Secretary, Commission,
investors.
to Extend the Pilot Period for the RPI); 71250
(January 7, 2014), 79 FR 2234 (January 13, 2012) dated July 30, 2018.
5 See SR–CboeBYX–2018–015. 7 17 CFR 200.30–3(a)(83).
(Order Granting an Extension to Limited Exemption
1 15 U.S.C. 78s(b).
From Rule 612(c) of Regulation NMS in Connection 6 See RPI Approval Order, supra note 2, at 77 FR
With the Exchange’s Retail Price Improvement at 71657. 2 15 U.S.C. 78mm(a)(1).
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![38750 Federal Register / Vol. 83, No. 152 / Tuesday, August 7, 2018 / Notices
Nasdaq Market changes a rule that the 19b–4(n)(1)(i) 2 under the Securities together with Partial Amendment No. 3
Exchanges have incorporated by Exchange Act of 1934 (‘‘Act’’),3 The reflects the changes being proposed.
reference. Options Clearing Corporation (‘‘OCC’’) The Advance Notice, as amended by
Accordingly, it is ordered, pursuant to filed with the Securities and Exchange Partial Amendment No. 3 is described
Section 36 of the Exchange Act,17 that Commission (‘‘Commission’’) an in Item II below, which Item has been
the Exchanges are exempt from the rule advance notice pursuant to which OCC prepared by OCC. The Commission is
filing requirements of Section 19(b) of would formalize and update its publishing this notice to solicit
the Exchange Act solely with respect to Recovery and Orderly Wind-Down Plan comments on the Advance Notice, as
changes to the rules identified in its (‘‘RWD Plan’’ or ‘‘Plan’’), consistent amended by Partial Amendments No. 1,
request that incorporate by reference with the applicable requirement in Rule
certain Nasdaq Market rules that are the 2 and 3, from interested persons.
17Ad–22(e)(3)(ii) 4 (‘‘Advance Notice’’).
result of changes to such Nasdaq Market The Advance Notice was published for II. Clearing Agency’s Statement of the
rules, provided that the Exchanges public comment in the Federal Register Terms of Substance of Partial
promptly provide written notice to their on January 23, 2018.5 On January 23, Amendment No. 3 to the Advance
members whenever the Nasdaq Market 2018, the Commission requested OCC Notice
proposes to change a rule that the provide it with additional information
Exchanges have incorporated by regarding the Advance Notice.6 OCC This Partial Amendment No. 3 would
reference. responded to this request for make the following three amendments
For the Commission, by the Division of information, and the information was to the Initial Filing: (1) Removal of
Trading and Markets, pursuant to delegated received on July 13, 2018.7 On July 11 sections of the RWD Plan concerning
authority.18 and 12, 2018, OCC filed Partial OCC’s proposed authority to require
Brent J. Fields, Amendment No. 1 and Partial cash settlement of certain physically
Secretary. Amendment No. 2 to the Initial Filing. delivered options and single stock
[FR Doc. 2018–16799 Filed 8–6–18; 8:45 am] On July 12, 2018, OCC also filed a futures; (2) updating the list of OCC’s
BILLING CODE 8011–01–P partial amendment (‘‘Partial Critical Support Functions; 9 and (3)
Amendment No. 3’’) to the Initial Filing. making three changes to Chapter 5 of
This Partial Amendment No. 3 is the RWD Plan in order to conform to a
SECURITIES AND EXCHANGE intended to supersede and replace change contemporaneously proposed in
COMMISSION Amendments No. 1 and 2 in their Amendment No. 2 to OCC advance
entirety.8 Therefore, the Initial Filing notice filing SR–OCC–2017–809
[Release No. 34–83762; File No. SR–OCC–
2017–810] concerning enhanced and new tools for
2 17 CFR 240.19b–4(n)(1)(i). recovery scenarios.10
3 15 U.S.C. 78a et seq.
Self-Regulatory Organizations; The With regard to the removal of sections
4 17 CFR 240.17Ad–22(e)(3)(ii).
Options Clearing Corporation; Notice 5 See Securities Exchange Act Release No. 82514
of the RWD Plan concerning OCC’s
of Filing of Partial Amendments No. 1, (January 17, 2018), 83 FR 3224 (January 23, 2018) proposed authority to require cash
2, and 3 to Advance Notice Concerning (SR–OCC–2017–810) (hereinafter referred to as the settlement of certain physically
Updates to and Formalization of OCC’s ‘‘Initial Filing’’). Initial Filing, 83 FR 3224. delivered options and single stock
Recovery and Orderly Wind-Down Plan 6 See Memorandum from Office of Clearance and
futures, OCC proposes to amend the
Settlement, Division of Trading and Markets, dated
August 1, 2018. January 23, 2018, available at https://www.sec.gov/ following text on pages 16–17 and 55 of
comments/sr-occ-2017-810/occ2017810-2948228- the Initial Filing (new text is underlined
I. Introduction 161854.pdf. and proposed deletions are marked in
7 See Memorandum from Office of Clearance and
Pursuant to Section 806(e)(1) of Title strikethrough text).
Settlement, Division of Trading and Markets, dated
VIII of the Dodd-Frank Wall Street July 17, 2018, available at https://www.sec.gov/
Reform and Consumer Protection Act, comments/sr-occ-2017-810/occ2017810-4062513- Initial Filing, as reflected in Partial Amendment No.
3, are described in Item II below.
entitled Payment, Clearing, and 169149.pdf.
9 The amendment to the list of Critical Support
8 This Partial Amendment No. 3 is substantially
Settlement Supervision Act of 2010 Functions would be made to the confidential and
the same as Partial Amendments No. 1 and 2 but
(‘‘Clearing Supervision Act’’) 1 and Rule would correct certain technical errors in the redacted portions of the RWD Plan.
10 See Amendment No. 2 to SR–OCC–2017–809.
previous amendments (e.g., update a cross-reference
17 15 U.S.C. 78mm. to OCC filing SR–OCC–2017–809, as now amended The three amendments to Chapter 5 also would be
18 17 CFR 200.30–3(a)(76). by Amendment No. 2, and correct a pagination error made to the confidential and redacted portions of
1 12 U.S.C. 5465(e)(1). in Exhibits 4 and 5). Substantive changes to the the RWD Plan.
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Document Created: 2018-11-06 10:38:31
Document Modified: 2018-11-06 10:38:31
| 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 38748 |
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