83 FR 43932 - Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Representations Relating to the Listing and Trading of Shares of the Innovator S&P 500 Buffer ETFs
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 83, Issue 167 (August 28, 2018)
Federal Register Volume 83, Issue 167 (August 28, 2018)
| Page Range | 43932-43934 | |
| FR Document | 2018-18573 |
[Federal Register Volume 83, Number 167 (Tuesday, August 28, 2018)] [Notices] [Pages 43932-43934] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2018-18573] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-83908; File No. SR-CboeBZX-2018-064] Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Representations Relating to the Listing and Trading of Shares of the Innovator S&P 500 Buffer ETFs August 22, 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 August 16, 2018, Cboe BZX Exchange, Inc. (the ``Exchange'' or ``BZX'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I and II [[Page 43933]] below, which Items have been prepared by the Exchange. 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. --------------------------------------------------------------------------- I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange filed a proposal to amend certain representations made in a proposed rule change previously filed with the Commission pursuant to Rule 19b-4 relating to the Innovator S&P 500 Buffer ETFs (the ``Buffer Funds''). 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 shares of the Buffer Funds (the ``Shares'') were approved to be listed and traded on the Exchange under Rule 14.11(i),\3\ which governs the listing and trading of Managed Fund Shares, but have not yet begun trading. The Buffer Funds are each a series of the Innovator ETFs Trust (the ``Trust''), which is organized as a Delaware statutory trust and is registered with the Commission as an open-end management investment company.\4\ --------------------------------------------------------------------------- \3\ See Securities Exchange Act Release No. 83679 (July 20, 2018), 83 FR 35505 (July 26, 2018) (SR-BatsBZX-2017-72) (the ``Prior Approval''). \4\ See Registration Statement on Form N-1A for the Trust, dated August 8, 2018 (File Nos. 333-146827 and 811-22135) (the ``Registration Statement''). The Commission has issued an order granting certain exemptive relief to the Trust under the Investment Company Act of 1940 (15 U.S.C 80a-1) (``1940 Act'') (the ``Exemptive Order''). See Investment Company Act Release No. 32854 (October 6, 2017) (File No. 812-14781). --------------------------------------------------------------------------- In this proposed rule change, the Exchange proposes to amend several representations made in the Prior Approval related to the investment strategy, as described below.\5\ Throughout the description of the Buffer Funds' investment strategy in the Prior Approval, there are representations such as ``(each Buffer Fund will) seek to provide investment returns during the outcome period that match the gains of the S&P 500 Index up to the Buffer Cap Level, while shielding investors from S&P 500 Index losses of up to 10%.'' The Exchange is proposing to amend all such representations related to the Buffer Funds such that the Buffer Funds will provide investment returns during the outcome period that match the gains of the S&P 500 Index up to the Buffer Cap Level, while shielding investors from S&P 500 Index losses of up to 9% instead of the previously stated 10%. --------------------------------------------------------------------------- \5\ The Exchange notes that while a change was made to the principal investment strategy, there were no changes to the Buffer Funds' investment objective, the method or methods used to select the Buffer Funds' portfolio investments, or the Buffer Funds' fees and expenses. --------------------------------------------------------------------------- The Exchange does not believe that this proposed change raises any substantive issues for the Commission because it represents only a small change to the investment strategy and all other statements and representations made in the Prior Approval regarding the description of the portfolio or reference assets, limitations on portfolio holdings or reference assets, dissemination and availability of reference assets and intraday indicative values, and the applicability of Exchange listing rules specified in the Prior Approval remain true and shall continue to constitute continued listing requirements for the Buffer Funds. Additionally, the change proposed above will constitute a continued listing requirement for the Buffer Funds. 2. Statutory Basis The Exchange believes that the proposal is consistent with Section 6(b) of the Act \6\ in general and Section 6(b)(5) of the Act \7\ in particular in that it is designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to remove impediments to, and perfect the mechanism of a free and open market and, in general, to protect investors and the public interest. Specifically, the Exchange believes that the proposal is designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to remove impediments to, and perfect the mechanism of a free and open market and, in general, to protect investors and the public interest. --------------------------------------------------------------------------- \6\ 15 U.S.C. 78f. \7\ 15 U.S.C. 78f(b)(5). --------------------------------------------------------------------------- As described above, all of the representations from the Prior Approval which formed the basis for the Prior Approval remain true and will continue to constitute continued listing requirements for the Buffer Funds with the exception of the one point (changing the downside protection from 10% to 9%) that the Exchange is proposing to amend. This proposed change will not make any changes to the types of instruments that the Buffer Funds can hold, but will only make a small change to the investment strategy. As such, the Exchange believes that the proposal does not raise any substantive issues that were not previously addressed in the Prior Approval. B. Self-Regulatory Organization's Statement on Burden on Competition The Exchange does not believe that the proposed rule change will impose any burden on competition that is not necessary or appropriate in furtherance of the purpose of the Act. The Exchange believes that the proposal to allow the Buffer Funds to amend their investment strategy will enhance competition among both market participants and listing venues by allowing additional series of Managed Fund Shares to come to list on the Exchange, to the benefit of investors and the marketplace. 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 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)of the Act \8\ and subparagraph (f)(6) of Rule 19b-4 thereunder.\9\ --------------------------------------------------------------------------- \8\ 15 U.S.C. 78s(b)(3)(A). \9\ 17 CFR 240.19b-4(f)(6). As required under Rule19b- 4(f)(6)(iii), the Exchange provided the Commission with 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. --------------------------------------------------------------------------- A proposed rule change filed pursuant to Rule 19b-4(f)(6) under the [[Page 43934]] Act \10\ normally does not become operative for 30 days after the date of its filing. However, Rule 19b-4(f)(6)(iii) \11\ permits the Commission to designate a shorter time if such action is consistent with the protection of investors and the public interest. The Exchange has asked the Commission to waive the 30-day operative delay so that the proposed rule change may become operative upon filing. The Exchange states that waiver of the 30-day operative delay would allow the Buffer Funds to immediately begin listing and trading on the Exchange and employ its amended investment strategy. The Commission does not believe that any new or novel issues are raised by the proposal. Moreover, as noted above, apart from modifying the downside protection from 10% to 9%, all other statements and representations made in the Prior Approval would remain true and will apply on a continuous basis. For these reasons, the Commission believes that waiver of the 30-day operative delay is consistent with the protection of investors and the public interest. Accordingly, the Commission hereby waives the operative delay and designates the proposed rule change operative upon filing.\12\ --------------------------------------------------------------------------- \10\ 17 CFR 240.19b-4(f)(6). \11\ 17 CFR 240.19b-4(f)(6)(iii). \12\ For purposes only of waiving the 30-day operative delay, the Commission also has considered the proposed rule's impact on efficiency, competition, and capital formation. 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 necessary or appropriate in the public interest, for the protection of investors, or 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 change 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-2018-064 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 SR-CboeBZX-2018-064. 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 SR-CboeBZX-2018-064, and should be submitted on or before September 18, 2018. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.\13\ --------------------------------------------------------------------------- \13\ 17 CFR 200.30-3(a)(12). --------------------------------------------------------------------------- Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2018-18573 Filed 8-27-18; 8:45 am] BILLING CODE 8011-01-P
![43932 Federal Register / Vol. 83, No. 167 / Tuesday, August 28, 2018 / Notices
D. Other Comments unnecessary, as they do not bear on the F. Basis for Disapproval
Comment letters also addressed the basis for the Commission’s decision to The record before the Commission
following topics: disapprove the proposal. does not provide a basis for the
• The desire of investors to gain E. The Exchange’s Untimely Commission to conclude that the
access to bitcoin through an ETP; 107 Amendments to the Proposal Exchange has met its burden under the
• investor understanding about Exchange Act and the Commission’s
bitcoin; 108 As noted above, the deadline for
rebuttal comments in response to the Rules of Practice to demonstrate that its
• the valuation of bitcoin and price proposed rule change is consistent with
differentials across bitcoin trading Order Instituting Proceedings was May
15, 2018.123 On August 21, 2018, Exchange Act Section 6(b)(5).127
venues; 109
• the intrinsic value of bitcoin; 110 however, the Exchange filed IV. Conclusion
• the reliability of bitcoin as a store Amendment No. 1 with the For the reasons set forth above, the
of value; 111 Commission, stating that the Commission does not find, pursuant to
• the volatility of bitcoin prices; 112 amendment ‘‘amends and replaces in its Section 19(b)(2) of the Exchange Act,
• the regulation of bitcoin spot entirety the proposal as originally that the proposed rule change is
markets; 113 submitted on January 5, 2018.’’ Then, on
consistent with the requirements of the
• the operation and valuation of the August 22, 2018, the Exchange filed
Exchange Act and the rules and
proposed ETPs; 114 Amendment No. 2 with the
regulations thereunder applicable to a
• arbitrage between the price of the Commission, stating that the
national securities exchange, and in
Shares and the underlying portfolio amendment ‘‘amends and replaces in its
particular, with Section 6(b)(5) of the
instruments; 115 entirety Amendment No. 1 as submitted
Exchange Act.
• the ability of the Funds to meet on August 21, 2018, which amended It is therefore ordered, pursuant to
redemption orders; 116 and replaced in its entirety the proposal Section 19(b)(2) of the Exchange Act,
• the custody of the assets of the as originally submitted on January 5, that proposed rule change SR–
Funds; 117 2018.’’ Because these amendments were
CboeBZX–2018–001 is disapproved.
• the effect on the Funds of a fork in filed months after the deadline for
the bitcoin blockchain; 118 comments on the proposed rule change, For the Commission, by the Division of
• the potential impact of Commission the Commission deems Amendment No. Trading and Markets, pursuant to delegated
authority.128
approval of the proposed ETP on the 1 and Amendment No. 2 to have been
price of bitcoin and on the U.S. untimely filed. Brent J. Fields,
economy; 119 Even if these amendments had been Secretary.
• the leadership role that the United timely filed, however, the Commission [FR Doc. 2018–18578 Filed 8–27–18; 8:45 am]
States might play in the cryptocurrency would still conclude that the Exchange BILLING CODE 8011–01–P
space if the Commission were to had not met its burden to demonstrate
approve the proposed ETP; 120 that its proposal is consistent with
• the utility of a bitcoin ETP as a Exchange Act Section 6(b)(5). The SECURITIES AND EXCHANGE
global tool for wealth distribution; 121 change that the amendments made to COMMISSION
and the proposal was to limit the [Release No. 34–83908; File No. SR–
• the legitimacy that Commission investments of the Funds to Bitcoin CboeBZX–2018–064]
approval of the proposed ETP might Futures Contracts, which trade on CFE
confer upon bitcoin as a digital asset.122 and CME, eliminating the Funds’ ability Self-Regulatory Organizations; Cboe
Ultimately, however, additional to invest in listed or unlisted swaps on BZX Exchange, Inc.; Notice of Filing
discussion of these tangential topics is bitcoin or on the Benchmark Futures and Immediate Effectiveness of a
Contracts.124 Although CFE and CME Proposed Rule Change To Amend
107 See Kaleda Letter, supra note 12; Santos
are ‘‘regulated markets,’’ the record, as Certain Representations Relating to
Letter, supra note 12; Netto Letter, supra note 12. discussed above, does not provide a the Listing and Trading of Shares of
108 See Desai Letter, supra note 12, at 1; Kumar
Letter, supra note 12.
basis for the Commission to conclude the Innovator S&P 500 Buffer ETFs
109 See Kumar Letter, supra note 12; Malkin that CFE and CME are regulated markets
‘‘of significant size’’ in Bitcoin Futures August 22, 2018.
Letter, supra note 12; Bhat Letter, supra note 12;
GraniteShares Letter, supra note 12, at 6–7, 10–11. Contracts.125 Therefore, even if the Pursuant to Section 19(b)(1) of the
110 See Ahn Letter, supra note 12.
Exchange’s amendments were timely Securities Exchange Act of 1934 (the
111 See Otenyi Letter, supra note 12; Desai Letter,
filed, the Commission would be unable ‘‘Act’’),1 and Rule 19b–4 thereunder,2
supra note 12, at 1. notice is hereby given that on August
112 See Desai Letter, supra note 12, at 1; Malkin to find, based on the record, that the
Exchange had entered into a 16, 2018, Cboe BZX Exchange, Inc. (the
Letter, supra note 12, at 1; Bhat Letter, supra note
12. surveillance-sharing agreement with a ‘‘Exchange’’ or ‘‘BZX’’) filed with the
113 See Barnwell Letter, supra note 12, at 2; Desai
regulated market of significant size Securities and Exchange Commission
Letter, supra note 12, at 1; Fitzgerald Letter, supra related to bitcoin.126 (‘‘Commission’’) the proposed rule
note 12, at 1; Kumar Letter, supra note 12; Malkin change as described in Items I and II
Letter, supra note 12, at 1.
123 See supra note 10 and accompanying text.
114 See NERA Letter, supra note 12, at 1–3, 5;
124 The Sponsor also represents in its August 20, 23 & 82 and accompanying text, the elimination of
GraniteShares Letter, supra note 12, at 3, 5–6.
115 See GraniteShares Letter, supra note 12, at 8. 2018, comment letter that the Funds would invest this representation would not alter the
only in Bitcoin Futures Contracts. See Commission’s conclusion that the Exchange has not
116 See id. at 7.
met its burden to demonstrate that CFE and CME
daltland on DSKBBV9HB2PROD with NOTICES
117 See id. at 3.
GraniteShares Letter, supra note 12, at 5.
125 See supra notes 78–91 and accompanying text. are markets ‘‘of significant size.’’
118 See id. at 6. 127 In disapproving the proposed rule change, the
126 Additionally, even though the Exchange’s
119 See Krohn Letter, supra note 12; Hales Letter, Commission has considered its impact on
amendments would have removed the
supra note 12; Santos Letter, supra note 12. representation in the Notice that the Exchange efficiency, competition, and capital formation. See
120 See Hales Letter, supra note 12.
expects significant liquidity to exist in the market 15 U.S.C. 78c(f).
121 See Otenyi Letter, supra note 12. 128 17 CFR 200.30–3(a)(12).
for Bitcoin Futures Contracts, based on numerous
122 See Desai Letter, supra note 12, at 1, 2; Kumar 1 15 U.S.C. 78s(b)(1).
conversations with market participants, issuers, and
Letter, supra note 12; Santos Letter, supra note 12. discussions with personnel of CFE, see supra notes 2 17 CFR 240.19b–4.
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![43934 Federal Register / Vol. 83, No. 167 / Tuesday, August 28, 2018 / Notices
Act 10 normally does not become • Send an email to rule-comments@ SECURITIES AND EXCHANGE
operative for 30 days after the date of its sec.gov. Please include File Number SR– COMMISSION
filing. However, Rule 19b–4(f)(6)(iii) 11 CboeBZX–2018–064 on the subject line.
[Release No. 34–83904; File No. SR–
permits the Commission to designate a NYSEArca–2017–139]
shorter time if such action is consistent Paper Comments
with the protection of investors and the • Send paper comments in triplicate Self-Regulatory Organizations; NYSE
public interest. The Exchange has asked to Secretary, Securities and Exchange Arca, Inc.; Order Disapproving a
the Commission to waive the 30-day Commission, 100 F Street NE, Proposed Rule Change To List and
operative delay so that the proposed Washington, DC 20549–1090. Trade the Shares of the ProShares
rule change may become operative upon Bitcoin ETF and the ProShares Short
filing. The Exchange states that waiver All submissions should refer to File Bitcoin ETF
of the 30-day operative delay would Number SR–CboeBZX–2018–064. This
allow the Buffer Funds to immediately file number should be included on the August 22, 2018.
begin listing and trading on the subject line if email is used. To help the I. Introduction
Exchange and employ its amended Commission process and review your On December 4, 2017, NYSE Arca,
investment strategy. The Commission comments more efficiently, please use Inc. (‘‘NYSE Arca’’ or ‘‘Exchange’’) filed
does not believe that any new or novel only one method. The Commission will with the Securities and Exchange
issues are raised by the proposal. post all comments on the Commission’s Commission (‘‘Commission’’), pursuant
Moreover, as noted above, apart from internet website (http://www.sec.gov/ to Section 19(b)(1) of the Securities
modifying the downside protection from rules/sro.shtml). Copies of the Exchange Act of 1934 (‘‘Exchange
10% to 9%, all other statements and submission, all subsequent Act’’) 1 and Rule 19b–4 thereunder,2 a
representations made in the Prior amendments, all written statements proposed rule change to list and trade
Approval would remain true and will with respect to the proposed rule the shares (‘‘Shares’’) of the ProShares
apply on a continuous basis. For these change that are filed with the Bitcoin ETF and the ProShares Short
reasons, the Commission believes that Commission, and all written Bitcoin ETF (each a ‘‘Fund’’ and,
waiver of the 30-day operative delay is collectively, the ‘‘Funds’’) issued by the
communications relating to the
consistent with the protection of ProShares Trust II (‘‘Trust’’) under
proposed rule change between the
investors and the public interest. NYSE Arca Rule 8.200–E, Commentary
Commission and any person, other than
Accordingly, the Commission hereby .02. The proposed rule change was
waives the operative delay and those that may be withheld from the
public in accordance with the published for comment in the Federal
designates the proposed rule change Register on December 26, 2017.3 The
operative upon filing.12 provisions of 5 U.S.C. 552, will be
comment period for the Notice of
available for website viewing and
At any time within 60 days of the Proposed Rule Change closed on
printing in the Commission’s Public January 16, 2018.
filing of the proposed rule change, the
Reference Room, 100 F Street NE, On January 30, 2018, pursuant to
Commission summarily may
Washington, DC 20549 on official Section 19(b)(2) of the Exchange Act,4
temporarily suspend such rule change if
business days between the hours of the Commission designated a longer
it appears to the Commission that such
action is necessary or appropriate in the 10:00 a.m. and 3:00 p.m. Copies of the period within which to approve the
public interest, for the protection of filing also will be available for proposed rule change, disapprove the
investors, or otherwise in furtherance of inspection and copying at the principal proposed rule change, or institute
the purposes of the Act. If the office of the Exchange. All comments proceedings to determine whether to
Commission takes such action, the received will be posted without change. approve or disapprove the proposed
Commission shall institute proceedings Persons submitting comments are rule change.5 On March 23, 2018, the
to determine whether the proposed rule cautioned that we do not redact or edit Commission instituted proceedings
change should be approved or personal identifying information from under Section 19(b)(2)(B) of the
disapproved. comment submissions. You should Exchange Act 6 to determine whether to
submit only information that you wish approve or disapprove the proposed
IV. Solicitation of Comments to make available publicly. All rule change.7 The comment period and
submissions should refer to File rebuttal comment period for the Order
Interested persons are invited to Instituting Proceedings closed on April
submit written data, views, and Number SR–CboeBZX–2018–064, and
should be submitted on or before 19, 2018, and May 3, 2018, respectively.
arguments concerning the foregoing, Finally, on June 15, 2018, the
including whether the proposed rule September 18, 2018.
Commission extended the period for
change is consistent with the Act. For the Commission, by the Division of consideration of the proposed rule
Comments may be submitted by any of Trading and Markets, pursuant to delegated change to August 23, 2018.8 As of
the following methods: authority.13
Electronic Comments Eduardo A. Aleman, 1 15 U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.
Assistant Secretary.
• Use the Commission’s internet [FR Doc. 2018–18573 Filed 8–27–18; 8:45 am]
3 See Securities Exchange Act Release No. 82350
(Dec. 19, 2017), 82 FR 61100 (Dec. 26, 2017)
comment form (http://www.sec.gov/ (‘‘Notice’’).
BILLING CODE 8011–01–P
rules/sro.shtml); or 4 15 U.S.C. 78s(b)(2).
daltland on DSKBBV9HB2PROD with NOTICES
5 See Securities Exchange Act Release No. 82602
10 17 CFR 240.19b–4(f)(6). (Jan. 30, 2018), 83 FR 4941 (Feb. 2, 2018).
11 17 6 15 U.S.C. 78s(b)(2)(B).
CFR 240.19b–4(f)(6)(iii).
12 For purposes only of waiving the 30-day 7 See Securities Exchange Act Release No. 82939
operative delay, the Commission also has (Mar. 23, 2018), 83 FR 13537 (Mar. 29, 2018)
considered the proposed rule’s impact on (‘‘Order Instituting Proceedings’’).
efficiency, competition, and capital formation. See 8 See Securities Exchange Act Release No. 83452
15 U.S.C. 78c(f). 13 17 CFR 200.30–3(a)(12). (June 15, 2018), 83 FR 28894 (June 21, 2018).
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Document Created: 2018-08-28 00:22:33
Document Modified: 2018-08-28 00:22:33
| 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 43932 |
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