83 FR 42340 - Order Granting Petition for Review and Scheduling Filing of Statements

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 83, Issue 162 (August 21, 2018)

Page Range		42340-42340
FR Document		2018-17958

Federal Register, Volume 83 Issue 162 (Tuesday, August 21, 2018)

[Federal Register Volume 83, Number 162 (Tuesday, August 21, 2018)]
[Notices]
[Page 42340]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-17958]


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SECURITIES AND EXCHANGE COMMISSION

[Securities Exchange Act of 1934; Release No. 34-83856/August 15, 2018]


Order Granting Petition for Review and Scheduling Filing of 
Statements

In the Matter of Financial Industry Regulatory Authority, Inc.
For an Order Granting the Approval of Proposed Rule Change to Adopt 
FINRA Rule 1113 (Restriction Pertaining to New Member Applications) 
and to Amend the FINRA Rule 9520 Series (Eligibility Proceedings) 
(File No. SR-FINRA-2010-056)

    This matter comes before the Securities and Exchange Commission 
(``Commission'') on petition to review the approval, pursuant to 
delegated authority, of the Financial Industry Regulatory Authority, 
Inc. (``FINRA'') proposed rule change to adopt FINRA Rule 1113 
(Restriction Pertaining to New Member Applications) and to amend the 
FINRA Rule 9520 Series (Eligibility Proceedings).
    On November 15, 2010, the Commission issued a notice of filing of 
the proposed rule change filed with the Commission pursuant to Section 
19(b)(1) of the Securities Exchange Act of 1934 (``Exchange Act'') \1\ 
and Rule 19b-4 \2\ thereunder.\3\ The proposed rule change was 
published for comment in the Federal Register on November 22, 2010.\4\ 
On February 18, 2011, after consideration of the record for the 
proposed rule change, the Division of Trading and Markets 
(``Division''), pursuant to delegated authority,\5\ approved the 
proposed rule change (``Approval Order'').\6\
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Exchange Act Release No. 63316 (Nov. 15, 2010), 75 FR 
71166 (Nov. 22, 2010) (File No. SR-FINRA-2010-056).
    \4\ See Id.
    \5\ 17 CFR 200.30 3(a)(12).
    \6\ See Exchange Act Release No. 63933 (Feb. 18, 2011), 76 FR 
10629 (Feb. 25, 2011).
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    On March 4, 2011, pursuant to Commission Rule of Practice 430,\7\ 
Manuel P. Asensio (``Asensio'') filed a petition for review of the 
Approval Order. Pursuant to Commission Rule of Practice 431(e), the 
Approval Order was stayed by the filing with the Commission of a notice 
of intention to petition for review.\8\ Pursuant to Rule 431 of the 
Rules of Practice,\9\ the petition for review of the Approval Order is 
granted. Further, the Commission hereby establishes that any party to 
the action or other person may file a written statement in support of 
or in opposition to the Approval Order on or before September 5.
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    \7\ 17 CFR 201.430.
    \8\ 17 CFR 201.431(e).
    \9\ 17 CFR 201.431.
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    For the reasons stated above, it is hereby:
    Ordered that Asensio's petition for review of the Division's action 
to approve the proposed rule change by delegated authority be Granted; 
and
    It is further Ordered that any party or other person may file a 
statement in support of or in opposition to the action made pursuant to 
delegated authority on or before September 5.
    It is further Ordered that the Approval Order shall remain stayed 
pending further order by the Commission.

    By the Commission.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-17958 Filed 8-20-18; 8:45 am]
BILLING CODE 8011-01-P

42340 Federal Register / Vol. 83, No. 162 / Tuesday, August 21, 2018 / Notices

the Commission will: (a) By order should be submitted on or before petition for review of the Approval
approve or disapprove such proposed September 11, 2018. Order. Pursuant to Commission Rule of
rule change, or (b) institute proceedings For the Commission, by the Division of Practice 431(e), the Approval Order was
to determine whether the proposed rule Trading and Markets, pursuant to delegated stayed by the filing with the
change should be disapproved. authority.69 Commission of a notice of intention to
Eduardo A. Aleman, petition for review.8 Pursuant to Rule
IV. Solicitation of Comments
Assistant Secretary. 431 of the Rules of Practice,9 the
Interested persons are invited to [FR Doc. 2018–17957 Filed 8–20–18; 8:45 am]
petition for review of the Approval
submit written data, views, and Order is granted. Further, the
BILLING CODE 8011–01–P
arguments concerning the foregoing, Commission hereby establishes that any
including whether the proposed rule party to the action or other person may
change is consistent with the Act. SECURITIES AND EXCHANGE file a written statement in support of or
Comments may be submitted by any of COMMISSION in opposition to the Approval Order on
the following methods: or before September 5.
[Securities Exchange Act of 1934; Release For the reasons stated above, it is
Electronic Comments No. 34–83856/August 15, 2018] hereby:
• Use the Commission’s internet Order Granting Petition for Review and Ordered that Asensio’s petition for
comment form (http://www.sec.gov/ Scheduling Filing of Statements review of the Division’s action to
rules/sro.shtml); or approve the proposed rule change by
• Send an email to rule-comments@ In the Matter of Financial Industry delegated authority be Granted; and
Regulatory Authority, Inc. It is further Ordered that any party or
sec.gov. Please include File Number SR– For an Order Granting the Approval of
CboeBZX–2018–058 on the subject line. other person may file a statement in
Proposed Rule Change to Adopt FINRA support of or in opposition to the action
Paper Comments Rule 1113 (Restriction Pertaining to New
Member Applications) and to Amend the
made pursuant to delegated authority on
• Send paper comments in triplicate FINRA Rule 9520 Series (Eligibility or before September 5.
to Secretary, Securities and Exchange Proceedings) (File No. SR–FINRA–2010– It is further Ordered that the Approval
Commission, 100 F Street NE, 056) Order shall remain stayed pending
Washington, DC 20549–1090. This matter comes before the further order by the Commission.
Securities and Exchange Commission By the Commission.
All submissions should refer to File
Number SR–CboeBZX–2018–058. This (‘‘Commission’’) on petition to review Eduardo A. Aleman,
file number should be included on the the approval, pursuant to delegated Assistant Secretary.
subject line if email is used. To help the authority, of the Financial Industry [FR Doc. 2018–17958 Filed 8–20–18; 8:45 am]
Commission process and review your Regulatory Authority, Inc. (‘‘FINRA’’) BILLING CODE 8011–01–P
comments more efficiently, please use proposed rule change to adopt FINRA
only one method. The Commission will Rule 1113 (Restriction Pertaining to
post all comments on the Commission’s New Member Applications) and to SECURITIES AND EXCHANGE
internet website (http://www.sec.gov/ amend the FINRA Rule 9520 Series COMMISSION
rules/sro.shtml). Copies of the (Eligibility Proceedings).
submission, all subsequent On November 15, 2010, the [Release No. 34–83850; File No. SR–FICC–
amendments, all written statements Commission issued a notice of filing of 2018–008]
with respect to the proposed rule the proposed rule change filed with the
change that are filed with the Commission pursuant to Section Self-Regulatory Organizations; Fixed
Commission, and all written 19(b)(1) of the Securities Exchange Act Income Clearing Corporation; Notice of
communications relating to the of 1934 (‘‘Exchange Act’’) 1 and Rule Filing of Proposed Rule Change To
proposed rule change between the 19b–4 2 thereunder.3 The proposed rule Apply Government Securities Division
Commission and any person, other than change was published for comment in Corporation Default Rule to Sponsored
those that may be withheld from the the Federal Register on November 22, Members and Make Other Changes
public in accordance with the 2010.4 On February 18, 2011, after
consideration of the record for the August 15, 2018.
provisions of 5 U.S.C. 552, will be Pursuant to Section 19(b)(1) of the
available for website viewing and proposed rule change, the Division of
Trading and Markets (‘‘Division’’), Securities Exchange Act of 1934
printing in the Commission’s Public (‘‘Act’’) 1 and Rule 19b–4 thereunder,2
Reference Room, 100 F Street NE, pursuant to delegated authority,5
approved the proposed rule change notice is hereby given that on August 6,
Washington, DC 20549, on official 2018, Fixed Income Clearing
business days between the hours of (‘‘Approval Order’’).6
On March 4, 2011, pursuant to Corporation (‘‘FICC’’) filed with the
10:00 a.m. and 3:00 p.m. Copies of the Securities and Exchange Commission
filing also will be available for Commission Rule of Practice 430,7
Manuel P. Asensio (‘‘Asensio’’) filed a (‘‘Commission’’) the proposed rule
inspection and copying at the principal change as described in Items I, II and III
office of the Exchange. All comments 69 17 below, which Items have been prepared
CFR 200.30–3(a)(12).
received will be posted without change. 1 15 U.S.C. 78s(b)(1). by the clearing agency. The Commission
Persons submitting comments are
sradovich on DSK3GMQ082PROD with NOTICES

2 17 CFR 240.19b–4.
is publishing this notice to solicit
cautioned that we do not redact or edit 3 See Exchange Act Release No. 63316 (Nov. 15,
comments on the proposed rule change
personal identifying information from 2010), 75 FR 71166 (Nov. 22, 2010) (File No. SR–
from interested persons.
comment submissions. You should FINRA–2010–056).
4 See Id.
submit only information that you wish 8 17
5 17 CFR 200.30 3(a)(12). CFR 201.431(e).
to make available publicly. All 6 See Exchange Act Release No. 63933 (Feb. 18, 9 17 CFR 201.431.
submissions should refer to File 2011), 76 FR 10629 (Feb. 25, 2011). 1 15 U.S.C. 78s(b)(1).
Number SR–CboeBZX–2018–058, and 7 17 CFR 201.430. 2 17 CFR 240.19b–4.

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Document Created: 2018-08-21 00:07:36
Document Modified: 2018-08-21 00:07:36

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 42340