83 FR 48482 - Sunshine Act Meetings
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 83, Issue 186 (September 25, 2018)
Federal Register Volume 83, Issue 186 (September 25, 2018)
| Page Range | 48482-48483 | |
| FR Document | 2018-20899 |
[Federal Register Volume 83, Number 186 (Tuesday, September 25, 2018)] [Notices] [Pages 48482-48483] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2018-20899] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meetings TIME AND DATE: 2:00 p.m. on Thursday, September 27, 2018. PLACE: Closed Commission Hearing Room 10800. STATUS: This meeting will be closed to the public. MATTERS TO BE CONSIDERED: Commissioners, Counsel to the Commissioners, the Secretary to the Commission, and recording secretaries will attend the closed meeting. Certain staff members who have an interest in the matters also may be present. The General Counsel of the Commission, or his designee, has [[Page 48483]] certified that, in his opinion, one or more of the exemptions set forth in 5 U.S.C. 552b(c)(3), (5), (6), (7), (8), 9(B) and (10) and 17 CFR 200.402(a)(3), (a)(5), (a)(6), (a)(7), (a)(8), (a)(9)(ii) and (a)(10), permit consideration of the scheduled matters at the closed meeting. Commissioner Peirce, as duty officer, voted to consider the items listed for the closed meeting in closed session. The subject matters of the closed meeting will be: Institution and settlement of injunctive actions; Institution and settlement of administrative proceedings; Resolution of litigation claims; and Other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. CONTACT PERSON FOR MORE INFORMATION: For further information and to ascertain what, if any, matters have been added, deleted or postponed; please contact Brent J. Fields from the Office of the Secretary at (202) 551-5400. Dated: September 20, 2018. Brent J. Fields, Secretary. [FR Doc. 2018-20899 Filed 9-21-18; 11:15 am] BILLING CODE 8011-01-P
![48482 Federal Register / Vol. 83, No. 186 / Tuesday, September 25, 2018 / Notices
creating equivalent standards among the Commission to designate a shorter time subject line if email is used. To help the
affiliated exchanges owned by Nasdaq, if such action is consistent with the Commission process and review your
Inc. (‘‘HoldCo’’).11 As such, the protection of investors and the public comments more efficiently, please use
Exchange believes that its proposal will interest. The Exchange has asked the only one method. The Commission will
bring greater consistency to its rules, Commission to waive the 30-day post all comments on the Commission’s
which is beneficial to both investors and operative delay so that the proposed internet website (http://www.sec.gov/
the public interest. rule change may become operative rules/sro.shtml). Copies of the
immediately upon filing. The Exchange submission, all subsequent
B. Self-Regulatory Organization’s notes that waiver of the operative delay amendments, all written statements
Statement on Burden on Competition will allow it to amend its By-Laws by with respect to the proposed rule
The Exchange does not believe that September 26, 2018. The Exchange change that are filed with the
the proposed rule change will impose states that the boards of the Affiliated Commission, and all written
any burden on competition not Exchanges will collectively meet on that communications relating to the
necessary or appropriate in furtherance date to address, among other matters, proposed rule change between the
of the purposes of the Act. The certain annual corporate ‘‘housekeeping Commission and any person, other than
proposed rule change does not address items,’’ which the Exchange states has those that may be withheld from the
competitive issues but relates to the historically included Exchange officer public in accordance with the
administration and functioning of the appointments. As such, the Commission provisions of 5 U.S.C. 552, will be
Exchange by allowing the Exchange believes that waiver of the operative available for website viewing and
greater flexibility in attracting and delay is consistent with the protection printing in the Commission’s Public
retaining well qualified officers to the of investors and the public interest. Reference Room, 100 F Street NE,
role of CRO that are not designated as Therefore, the Commission hereby Washington, DC 20549, on official
an Executive Vice President or Senior waives the 30-day operative delay and business days between the hours of 10
Vice President. designates the proposed rule change as a.m. and 3 p.m. Copies of the filing also
operative upon filing.16 will be available for inspection and
C. Self-Regulatory Organization’s At any time within 60 days of the
Statement on Comments on the copying at the principal office of the
filing of the proposed rule change, the Exchange. All comments received will
Proposed Rule Change Received From Commission summarily may
Members, Participants, or Others be posted without change. Persons
temporarily suspend such rule change if submitting comments are cautioned that
No written comments were either it appears to the Commission that such we do not redact or edit personal
solicited or received. action is: (i) Necessary or appropriate in identifying information from comment
the public interest; (ii) for the protection submissions. You should submit only
III. Date of Effectiveness of the of investors; or (iii) otherwise in
Proposed Rule Change and Timing for information that you wish to make
furtherance of the purposes of the Act. available publicly. All submissions
Commission Action If the Commission takes such action, the should refer to File Number SR–MRX–
Because the foregoing proposed rule Commission shall institute proceedings 2018–29 and should be submitted on or
change does not: (i) Significantly affect to determine whether the proposed rule before October 16, 2018.
the protection of investors or the public should be approved or disapproved.
interest; (ii) impose any significant For the Commission, by the Division of
burden on competition; and (iii) become IV. Solicitation of Comments Trading and Markets, pursuant to delegated
Interested persons are invited to authority.17
operative for 30 days from the date on
which it was filed, or such shorter time submit written data, views, and Eduardo A. Aleman,
as the Commission may designate, it has arguments concerning the foregoing, Assistant Secretary.
become effective pursuant to Section including whether the proposed rule [FR Doc. 2018–20760 Filed 9–24–18; 8:45 am]
19(b)(3)(A)(iii) of the Act 12 and change is consistent with the Act. BILLING CODE 8011–01–P
subparagraph (f)(6) of Rule 19b–4 Comments may be submitted by any of
thereunder.13 the following methods:
A proposed rule change filed under SECURITIES AND EXCHANGE
Electronic Comments COMMISSION
Rule 19b–4(f)(6) 14 normally does not
become operative prior to 30 days after • Use the Commission’s internet
the date of the filing. However, Rule comment form (http://www.sec.gov/ Sunshine Act Meetings
19b–4(f)(6)(iii) 15 permits the rules/sro.shtml); or
• Send an email to rule-comments@ TIME AND DATE: 2:00 p.m. on Thursday,
11 The Nasdaq Stock Market LLC (‘‘NSM’’), sec.gov. Please include File Number SR– September 27, 2018.
Nasdaq BX, Inc. (‘‘BX’’), Nasdaq ISE, LLC (‘‘ISE’’), MRX–2018–29 on the subject line. PLACE: Closed Commission Hearing
and Nasdaq GEMX, LLC (‘‘GEMX’’) will file similar Room 10800.
proposals to conform their By-Laws with Phlx’s By- Paper Comments
STATUS: This meeting will be closed to
Laws. ISE, GEMX, MRX, NSM, BX, and Phlx will • Send paper comments in triplicate the public.
hereinafter be referred to collectively as ‘‘Affiliated
Exchanges.’’ to Secretary, Securities and Exchange MATTERS TO BE CONSIDERED:
12 15 U.S.C. 78s(b)(3)(A)(iii). Commission, 100 F Street NE, Commissioners, Counsel to the
13 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– Washington, DC 20549–1090. Commissioners, the Secretary to the
4(f)(6)(iii) requires a self-regulatory organization to All submissions should refer to File Commission, and recording secretaries
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give the Commission written notice of its intent to
file the proposed rule change, along with a brief Number SR–MRX–2018–29. This file will attend the closed meeting. Certain
description and text of the proposed rule change, number should be included on the staff members who have an interest in
at least five business days prior to the date of filing the matters also may be present.
of the proposed rule change, or such shorter time 16 For purposes only of waiving the 30-day
as designated by the Commission. The Exchange The General Counsel of the
operative delay, the Commission has also
has satisfied this requirement. considered the proposed rule’s impact on Commission, or his designee, has
14 17 CFR 240.19b–4(f)(6).
efficiency, competition, and capital formation. See
15 17 CFR 240.19b–4(f)(6)(iii). 15 U.S.C. 78c(f). 17 17 CFR 200.30–3(a)(12).
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![Federal Register / Vol. 83, No. 186 / Tuesday, September 25, 2018 / Notices 48483
certified that, in his opinion, one or publishing this notice to solicit respect to orders originated, received,
more of the exemptions set forth in 5 comments on the proposed rule change transmitted, modified, canceled, or
U.S.C. 552b(c)(3), (5), (6), (7), (8), 9(B) from interested persons. executed by members in Nasdaq- and
and (10) and 17 CFR 200.402(a)(3), Exchange-listed stocks. FINRA’s Order
I. Self-Regulatory Organization’s
(a)(5), (a)(6), (a)(7), (a)(8), (a)(9)(ii) and Audit Trail System (‘‘OATS’’) captures
Statement of the Terms of Substance of
(a)(10), permit consideration of the this order information and integrates it
the Proposed Rule Change
scheduled matters at the closed meeting. with quote and transaction information
Commissioner Peirce, as duty officer, The Exchange proposes to the [sic] to create a time-sequenced record of
voted to consider the items listed for the Rule 6950 Series concerning the Order orders, quotes, and transactions. This
closed meeting in closed session. Audit Trail System to make conforming information is used by FINRA staff to
The subject matters of the closed and technical changes. conduct surveillance and investigations
meeting will be: The text of the proposed rule change of members for potential violation of
Institution and settlement of is available on the Exchange’s website at Exchange rules and federal securities
injunctive actions; http://nasdaqbx.cchwallstreet.com/, at laws.
Institution and settlement of the principal office of the Exchange, and The Exchange adopted the Equity
administrative proceedings; at the Commission’s Public Reference Rule 6950 Series to copy Nasdaq and
Resolution of litigation claims; and Room. FINRA OATS rules, where appropriate.
Other matters relating to enforcement As a general principle, the Exchange
proceedings. II. Self-Regulatory Organization’s
Statement of the Purpose of, and endeavors to keep its rules worded and
At times, changes in Commission structured as closely as possible to the
priorities require alterations in the Statutory Basis for, the Proposed Rule
Change FINRA rules on which they are based,
scheduling of meeting items. including FINRA’s OATS rules under its
CONTACT PERSON FOR MORE INFORMATION: In its filing with the Commission, the Rule 7000 Series. In instances where the
For further information and to ascertain Exchange included statements FINRA rules are inapplicable to the
what, if any, matters have been added, concerning the purpose of and basis for Exchange, such as FINRA Rule
deleted or postponed; please contact the proposed rule change and discussed 7410(o)(2), which concerns an exception
Brent J. Fields from the Office of the any comments it received on the to the definition of a Reporting Member
Secretary at (202) 551–5400. proposed rule change. The text of these relating to members operating on
Dated: September 20, 2018. statements may be examined at the equities floors, the Exchange has not
Brent J. Fields, places specified in Item IV below. The copied those FINRA rules. Generally,
Secretary.
Exchange has prepared summaries, set the Exchange also seeks to keep the
forth in sections A, B, and C below, of Equity Rule 6950 Series consistent with
[FR Doc. 2018–20899 Filed 9–21–18; 11:15 am]
the most significant aspects of such Nasdaq’s Rule 7400A Series, which
BILLING CODE 8011–01–P
statements. should also be materially identical to
A. Self-Regulatory Organization’s the related rules of the Exchange. The
SECURITIES AND EXCHANGE Statement of the Purpose of, and proposed changes will harmonize
COMMISSION Statutory Basis for, the Proposed Rule Exchange rules with analogous Nasdaq
Change and FINRA rules, which have been
[Release No. 34–84227; File No. SR–BX– amended since the Exchange first
2018–045] 1. Purpose adopted its rules.
Self-Regulatory Organizations; Nasdaq The Exchange is proposing to amend First Change
BX, Inc.; Notice of Filing and the Equity Rule 6950 Series 5 concerning
the Order Audit Trail System to: (1) The Exchange is proposing to
Immediate Effectiveness of Proposed renumber the Equity Rule 6950 Series to
Rule Change To Amend the Equity Renumber the whole Equity Rule 6950
Series to conform it to the numbering a new Equity Rule 7000A Series, which
Rule 6950 Series Concerning the Order is identical to how Nasdaq presents its
Audit Trail System To Make convention used by the Nasdaq Stock
Market LLC (‘‘Nasdaq’’) and FINRA; (2) OATS rules. This will allow the
Conforming and Technical Changes Exchange’s OATS rules to follow the
amend Equity Rule 7410A to expand
September 20, 2018. numbering convention used by Nasdaq
two exemptions and to make technical
Pursuant to Section 19(b)(1) of the and FINRA. Like Nasdaq, the Exchange
changes to text under the Rule; (3)
Securities Exchange Act of 1934 is proposing to add an ‘‘A’’ to each of
delete inapplicable text from Equity
(‘‘Act’’),1 and Rule 19b–4 thereunder,2 the rules so that they do not conflict
Rules 7430A, 7440A and 7450A and
notice is hereby given that on with the existing Equity Rule 7000
make other conforming changes to these
September 12, 2018, Nasdaq BX, Inc. Series within the Exchange’s rule book
Rules; (4) reorganize rule text under
(‘‘BX’’ or ‘‘Exchange’’) filed with the yet also follow FINRA’s numbering
Equity Rule 7450A; (5) delete current
Securities and Exchange Commission convention. FINRA’s OATS rules are
Equity Rules 6957and 6958.
(‘‘Commission’’) the proposed rule under the FINRA Rule 7400 Series and
The Exchange’s Equity Rule 6950
change as described in Items I and II individual rule numbers align with
Series imposes an obligation on
below, which Items have been prepared those of Nasdaq’s OATS rules and those
Exchange members to record in
by the Exchange. The Exchange filed the proposed by the Exchange. As part of
electronic form and report to FINRA on
proposal as a ‘‘non-controversial’’ rule this change, the Exchange is also
a daily basis certain information with
change pursuant to Section 19(b)(3)(A) updating references to rules in the
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of the Act 3 and Rule 19b–4(f)(6) 5 The term ‘‘Equity Rules’’ means the numbered Equity Rule 6950 Series to the
thereunder.4 The Commission is rules set forth in the Exchange Manual renumbered rules in the Equity Rule
denominated as the 0100, 1000, 2000, 3000, 4000, 7000A Series. Relatedly, the Exchange is
1 15
5000, 6000, 7000, 8000, 9000, 10000, and 11000 correcting citations in Equity Rules
U.S.C. 78s(b)(1). Series Rules. See Equity Rule 0120(p). The
2 17 CFR 240.19b–4. Exchange is proposing to make it clear in the
7430A, 7440A, and 7450A that currently
3 15 U.S.C. 78s(b)(3)(A).
proposed rules that references to rules of the reference NASD rule [sic] that have been
4 17 CFR 240.19b–4(f)(6). Exchange are ‘‘Equity Rules.’’ renumbered as FINRA rules.
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Document Created: 2018-09-25 00:21:40
Document Modified: 2018-09-25 00:21:40
| 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 | |
| Dates | 2:00 p.m. on Thursday, September 27, 2018. | |
| FR Citation | 83 FR 48482 |
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