83 FR 40099 - Sunshine Act Meetings

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 83, Issue 156 (August 13, 2018)

Page Range		40099-40099
FR Document		2018-17390

Federal Register, Volume 83 Issue 156 (Monday, August 13, 2018)

[Federal Register Volume 83, Number 156 (Monday, August 13, 2018)]
[Notices]
[Page 40099]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-17390]


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SECURITIES AND EXCHANGE COMMISSION


Sunshine Act Meetings

FEDERAL REGISTER CITATION OF PREVIOUS ANNOUNCEMENT:  83 FR 25496, June 
1, 2018.

PREVIOUSLY ANNOUNCED TIME AND DATE OF THE MEETING:  Tuesday, June 5, 
2018 at 10:00 a.m.

CHANGES IN THE MEETING:  The Open Meeting scheduled for Tuesday, June 
5, 2018 at 10:00 a.m. has been changed to Tuesday, June 5, 2018 at 
11:30 a.m. The following items will not be considered during the 
Commission's Open Meeting:
     Whether to adopt a new rule as well as amendments to rules 
and forms to provide certain registered investment companies 
(``funds'') with an optional method to transmit shareholder reports.
     whether to issue a release requesting comment about 
processing fees for delivering shareholder reports and other materials 
to fund investors.
     whether to issue a release requesting comment from 
individual investors and other interested parties on how to enhance the 
delivery, design, and content of fund disclosures, including 
shareholder reports and prospectuses.

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 4, 2018.
Brent J. Fields,
Secretary.
[FR Doc. 2018-17390 Filed 8-9-18; 11:15 am]
 BILLING CODE 8011-01-P

Federal Register / Vol. 83, No. 156 / Monday, August 13, 2018 / Notices 40099

Reference Room, 100 F Street NE, Dated: June 4, 2018. forth in sections A, B, and C below, of
Washington, DC 20549, on official Brent J. Fields, the most significant aspects of such
business days between the hours of Secretary. statements.
10:00 a.m. and 3:00 p.m. Copies of the [FR Doc. 2018–17390 Filed 8–9–18; 11:15 am] A. Self-Regulatory Organization’s
filing also will be available for BILLING CODE 8011–01–P Statement of the Purpose of, and the
inspection and copying at the principal Statutory Basis for, the Proposed Rule
office of the Exchange. All comments Change
received will be posted without change. SECURITIES AND EXCHANGE
Persons submitting comments are COMMISSION 1. Purpose
cautioned that we do not redact or edit Currently, Nasdaq assesses an ORF of
[Release No. 34–83794; File No. SR–
personal identifying information from $0.0027 per contract side. The Exchange
NASDAQ–2018–062]
comment submissions. You should proposes to decrease this ORF to
submit only information that you wish Self-Regulatory Organizations; The $0.0008 per contract side. In light of
to make available publicly. All Nasdaq Stock Market LLC; Notice of recent market volumes on NOM, the
submissions should refer to File Filing and Immediate Effectiveness of Exchange is proposing to change the
Number SR–ISE–2018–69 and should be Proposed Rule Change To Amend the amount of ORF that will be collected by
submitted on or before September 4, Nasdaq Options Regulatory Fee the Exchange. The Exchange’s proposed
2018. change to the ORF should balance the
August 7, 2018. Exchange’s regulatory revenue against
For the Commission, by the Division of
Trading and Markets, pursuant to delegated Pursuant to Section 19(b)(1) of the the anticipated costs.
authority.21 Securities Exchange Act of 1934
(‘‘Act’’),1 and Rule 19b–4 thereunder,2 Collection of ORF
Eduardo A. Aleman,
Assistant Secretary.
notice is hereby given that on July 27, Currently, NOM assesses its ORF for
2018, The Nasdaq Stock Market LLC each customer option transaction that is
[FR Doc. 2018–17255 Filed 8–10–18; 8:45 am]
(‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the either: (1) executed by a Participant on
BILLING CODE 8011–01–P
Securities and Exchange Commission NOM; or (2) cleared by a NOM
(the ‘‘Commission’’) the proposed rule Participant at The Options Clearing
change as described in Items I, II, and Corporation (‘‘OCC’’) in the customer
SECURITIES AND EXCHANGE
III below, which Items have been range,3 even if the transaction was
COMMISSION
prepared by the Exchange. The executed by a non-member of NOM,
Sunshine Act Meetings Commission is publishing this notice to regardless of the exchange on which the
solicit comments on the proposed rule transaction occurs.4 If the OCC clearing
FEDERAL REGISTER CITATION OF PREVIOUS change from interested persons. member is a NOM Participant, ORF is
ANNOUNCEMENT: 83 FR 25496, June 1, assessed and collected on all cleared
I. Self-Regulatory Organization’s
2018. customer contracts (after adjustment for
Statement of the Terms of Substance of
PREVIOUSLY ANNOUNCED TIME AND DATE OF the Proposed Rule Change CMTA5); and (2) if the OCC clearing
THE MEETING: Tuesday, June 5, 2018 at member is not a NOM Participant, ORF
10:00 a.m. The Exchange proposes to revise The is collected only on the cleared
Nasdaq Options Market LLC’s Rules customer contracts executed at NOM,
CHANGES IN THE MEETING: The Open
(‘‘NOM’’) at Chapter XV, Section 5 to taking into account any CMTA
Meeting scheduled for Tuesday, June 5,
amend the Nasdaq Options Regulatory instructions which may result in
2018 at 10:00 a.m. has been changed to
Fee or ‘‘ORF.’’ collecting the ORF from a non-member.
Tuesday, June 5, 2018 at 11:30 a.m. The While the changes proposed herein
following items will not be considered By way of example, if Broker A, a
are effective upon filing, the Exchange NOM Participant, routes a customer
during the Commission’s Open Meeting: has designated the amendments become
• Whether to adopt a new rule as well order to CBOE and the transaction
operative on August 1, 2018. executes on CBOE and clears in Broker
as amendments to rules and forms to The text of the proposed rule change
provide certain registered investment A’s OCC Clearing account, ORF will be
is available on the Exchange’s website at collected by NOM from Broker A’s
companies (‘‘funds’’) with an optional http://nasdaq.cchwallstreet.com/, at the
method to transmit shareholder reports. clearing account at OCC via direct debit.
principal office of the Exchange, and at While this transaction was executed on
• whether to issue a release the Commission’s Public Reference
requesting comment about processing a market other than NOM, it was cleared
Room. by a NOM Participant in the member’s
fees for delivering shareholder reports
and other materials to fund investors. II. Self-Regulatory Organization’s OCC clearing account in the customer
• whether to issue a release Statement of the Purpose of, and range, therefore there is a regulatory
requesting comment from individual Statutory Basis for, the Proposed Rule nexus between NOM and the
investors and other interested parties on Change transaction. If Broker A was not a NOM
how to enhance the delivery, design, Participant, then no ORF should be
In its filing with the Commission, the
and content of fund disclosures, assessed and collected because there is
Exchange included statements
including shareholder reports and no nexus; the transaction did not
concerning the purpose of and basis for
prospectuses. the proposed rule change and discussed 3 Participants must record the appropriate
sradovich on DSK3GMQ082PROD with NOTICES

CONTACT PERSON FOR MORE INFORMATION: any comments it received on the account origin code on all orders at the time of
For further information and to ascertain proposed rule change. The text of these entry in order. The Exchange represents that it has
what, if any, matters have been added, statements may be examined at the surveillances in place to verify that members mark
deleted or postponed, please contact the orders with the correct account origin code.
places specified in Item IV below. The 4 The Exchange uses reports from OCC when
Office of the Secretary at (202) 551– Exchange has prepared summaries, set assessing and collecting the ORF.
5400. 5 CMTA or Clearing Member Trade Assignment is
1 15 U.S.C. 78s(b)(1). a form of ‘‘give-up’’ whereby the position will be
21 17 CFR 200.30–3(a)(12). 2 17 CFR 240.19b–4. assigned to a specific clearing firm at OCC.

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Document Created: 2018-08-11 00:26:54
Document Modified: 2018-08-11 00:26:54

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 40099