83 FR 49440 - Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate the Exchange's Schedule of Fees

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 83, Issue 190 (October 1, 2018)

Page Range		49440-49442
FR Document		2018-21236
Federal Register, Volume 83 Issue 190 (Monday, October 1, 2018)
[Federal Register Volume 83, Number 190 (Monday, October 1, 2018)]
[Notices]
[Pages 49440-49442]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-21236]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-84283; File No. SR-GEMX-2018-29]


Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing 
and Immediate Effectiveness of Proposed Rule Change To Relocate the 
Exchange's Schedule of Fees

September 25, 2018.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that 
on September 12, 2018, Nasdaq GEMX, LLC (``GEMX'' or ``Exchange'') 
filed with the Securities and Exchange Commission (``Commission'') the 
proposed rule change as described in Items I and II 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.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance 
of the Proposed Rule Change

    The Exchange proposes to (a) relocate the GEMX Schedule of Fees and 
current Rule 209 to the Exchange's rulebook's (``Rulebook'') shell 
structure,\3\ and (b) make conforming cross-reference changes 
throughout the Rulebook.
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    \3\ In 2017, the Exchange added a shell structure to its 
Rulebook with the purpose of improving efficiency and readability 
and to align its rules closer to those of its five sister exchanges, 
The Nasdaq Stock Market LLC; Nasdaq BX, Inc.; Nasdaq PHLX LLC; 
Nasdaq ISE, LLC; and Nasdaq MRX, LLC (``Affiliated Exchanges''). See 
Securities Exchange Act Release No. 82171 (November 29, 2017), 82 FR 
57516 (December 5, 2017) (SR-GEMX-2017-54).
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    The text of the proposed rule change is available on the Exchange's 
website at http://nasdaqgemx.cchwallstreet.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 aspects of such 
statements.

A. Self-Regulatory Organization's Statement of the Purpose of, and 
Statutory Basis for, the Proposed Rule Change

1. Purpose
    The Exchange proposes to relocate the entire GEMX Schedule of Fees 
and Rule 209 to the Exchange's shell structure; specifically, the 
Exchange will relocate the aforementioned rules to the Options 7 
(``Pricing Schedule'') section of the shell. In addition, the Exchange 
will make conforming cross-reference changes throughout the Rulebook.
(a) Relocation of Rules
    As indicated, the Exchange, as part of its continued effort to 
promote

[[Page 49441]]

efficiency and the conformity of its processes with those of the 
Affiliated Exchanges, and the goal of harmonizing and uniformizing its 
rules, proposes to relocate the Schedule of Fees and GEMX Rule 209 to 
Options 7, Pricing Schedule, of the shell structure.
    To improve the readability of the relocated Pricing Schedule rules, 
the Exchange will update their current ``Preface'' section and rename 
it ``Section 1. General Provisions.'' Next, the Exchange will move 
current GEMX Rule 209, described in the paragraph below, and rename it 
``Section 2'' but keeping its current title, ``Collection of Exchange 
Fees and Other Claims.''
    GEMX Rule 209 was added to the Rulebook to permit the Exchange the 
collection of undisputed or final fees, fines, charges and/or other 
monetary sanctions or other monies due and owing to the Exchange or 
other charges related to Rules 205 and 206.\4\ The Exchange believes 
that, unlike other rules in Chapter 2 (``Administration'') of the 
Rulebook, which generally refer to the powers of the Board of Directors 
and the authority it delegates to Senior Management of the Exchange, 
the direct debit process established in Rule 209 will be better 
situated among the relocated rules of the Pricing Schedule.
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    \4\ See Securities Exchange Act Release No. 79013 (September 30, 
2016), 81 FR 69556 (October 6, 2016) (SR-ISEGemini-2016-12); see 
also, Securities Exchange Act Release No. 79562 (December 15, 2016), 
81 FR 93722 (December 21, 2016) (SR-ISEGemini-2016-20).
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    The Exchange is also proposing to move all the remaining sections, 
I through V, in the current Schedule of Fees, renumber them as provided 
in the table below, and add the word ``Section'' to each of their 
titles. Relatedly, the Exchange will update all references to the 
``Schedule of Fees'' or ``Fee Schedule'' in the proposed rule text and 
replace them with the term ``Pricing Schedule'' where appropriate.
    Finally, the Exchange will update all references to ``NASDAQ'' in 
proposed Section 6, H., of the Pricing Schedule with the word 
``Nasdaq,'' to keep the proposed rule text consistent with changes to 
the names of the Affiliated Exchanges.\5\
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    \5\ See Securities Exchange Act Releases No. 81917 (October 23, 
2017), 82 FR 49879 (October 27, 2017) (SR-NASDAQ-2017-111) and No. 
81948 (October 25, 2017), 82 FR 50468 (October 31, 2017) (SR-BX-
2017-046).
[GRAPHIC] [TIFF OMITTED] TN01OC18.003

    The relocation of the Pricing Schedule rules will facilitate the 
use of the Rulebook by Members \6\ of the Exchange, including those who 
are members of other Affiliated Exchanges, and other market 
participants. Moreover, the proposed changes are of a non-substantive 
nature and will not amend the relocated rules, other than make the 
updates previously explained.
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    \6\ Exchange Rule 100(a)(31).
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(b) Cross-Reference Updates
    In connection with the changes described above, the Exchange 
proposes to update all cross-references in the Rulebook that direct the 
reader to the current location of the Pricing Schedule rules and/or any 
of their subsections.
2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section 
6(b) of the Act,\7\ in general, and furthers the objectives of Section 
6(b)(5) of the Act,\8\ in particular, in that it is designed to promote 
just and equitable principles of trade, to remove impediments to and 
perfect the mechanism of a free and open market and a national market 
system, and, in general to protect investors and the public interest, 
by promoting efficiency and structural conformity of the Exchange's 
processes with those of the Affiliated Exchanges and to make the 
Exchange's Rulebook easier to read and more accessible to its Members 
and market participants. The Exchange believes that the relocation of 
the Pricing Schedule rules, updating the name ``NASDAQ'' to ``Nasdaq,'' 
and related cross-reference updates are of a non-substantive nature.
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    \7\ 15 U.S.C. 78f(b).
    \8\ 15 U.S.C. 78f(b)(5).

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[[Page 49442]]

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 not necessary or appropriate in 
furtherance of the purposes of the Act. The proposed changes do not 
impose a burden on competition because, as previously stated, they (i) 
are of a non-substantive nature, (ii) are intended to harmonize the 
structure of the Exchange's rules with those of its Affiliated 
Exchanges, and (iii) are intended to organize the Rulebook in a way 
that it will ease the Members' and market participants' navigation and 
reading of the rules.

C. Self-Regulatory Organization's Statement on Comments on the Proposed 
Rule Change Received From Members, Participants, or Others

    No written comments were either solicited or received.

III. Date of Effectiveness of the Proposed Rule Change and Timing for 
Commission Action

    Because the foregoing 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 \9\ and Rule 19b-
4(f)(6) thereunder.\10\
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    \9\ 15 U.S.C. 78s(b)(3)(A).
    \10\ 17 CFR 240.19b-4(f)(6). As required under Rule 19b-
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 the 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.
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    A proposed rule change filed pursuant to Rule 19b-4(f)(6) under the 
Act \11\ normally does not become operative for 30 days after the date 
of its filing. However, Rule 19b-4(f)(6)(iii) \12\ 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 requested that the Commission waive the 30-day operative delay so 
that the proposed rule change may become operative upon filing. Waiver 
of the operative delay would allow the Exchange to promptly relocate 
the Pricing Schedule rules and continue to reorganize its Rulebook to 
promote efficiency and structural consistency between the Exchange's 
rules and those of the Affiliated Exchanges. 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.\13\
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    \11\ 17 CFR 240.19b-4(f)(6).
    \12\ 17 CFR 240.19b-4(f)(6)(iii).
    \13\ 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).
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    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 Comments

     Use 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-GEMX-2018-29 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-GEMX-2018-29. 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 a.m. and 3 
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-GEMX-2018-29 and should be submitted on 
or before October 22, 2018.

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\14\
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    \14\ 17 CFR 200.30-3(a)(12).
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Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-21236 Filed 9-28-18; 8:45 am]
 BILLING CODE 8011-01-P
49440 Federal Register / Vol. 83, No. 190 / Monday, October 1, 2018 / Notices

B. Self-Regulatory Organization’s number should be included on the with the Securities and Exchange
Statement on Burden on Competition subject line if email is used. To help the Commission (‘‘Commission’’) the
In accordance with Section 6(b)(8) of Commission process and review your proposed rule change as described in
the Act,27 the Exchange does not believe comments more efficiently, please use Items I and II below, which Items have
that the proposed rule change will only one method. The Commission will been prepared by the Exchange. The
impose any burden on competition that post all comments on the Commission’s Commission is publishing this notice to
is not necessary or appropriate in internet website (http://www.sec.gov/ solicit comments on the proposed rule
furtherance of the purposes of the Act. rules/sro.shtml). Copies of the change from interested persons.
Instead, the Exchange believes that the submission, all subsequent
I. Self-Regulatory Organization’s
proposed change will encourage amendments, all written statements
Statement of the Terms of Substance of
competition by accommodating listing with respect to the proposed rule
the Proposed Rule Change
and trading of additional issues of change that are filed with the
Commission, and all written The Exchange proposes to (a) relocate
Equity Index-Linked Securities and will
communications relating to the the GEMX Schedule of Fees and current
permit ETN issuers to better compete
proposed rule change between the Rule 209 to the Exchange’s rulebook’s
with issuers of Investment Company
Commission and any person, other than (‘‘Rulebook’’) shell structure,3 and (b)
Units and Managed Fund Shares.
those that may be withheld from the make conforming cross-reference
C. Self-Regulatory Organization’s public in accordance with the changes throughout the Rulebook.
Statement on Comments on the provisions of 5 U.S.C. 552, will be The text of the proposed rule change
Proposed Rule Change Received From available for website viewing and is available on the Exchange’s website at
Members, Participants, or Others printing in the Commission’s Public http://nasdaqgemx.cchwallstreet.com/,
No written comments were solicited Reference Room, 100 F Street NE, at the principal office of the Exchange,
or received with respect to the proposed Washington, DC 20549, on official and at the Commission’s Public
rule change. business days between the hours of 10 Reference Room.
a.m. and 3 p.m. Copies of the filing also II. Self-Regulatory Organization’s
III. Date of Effectiveness of the will be available for inspection and
Proposed Rule Change and Timing for Statement of the Purpose of, and
copying at the principal office of the Statutory Basis for, the Proposed Rule
Commission Action Exchange. All comments received will Change
Within 45 days of the date of be posted without change. Persons
submitting comments are cautioned that In its filing with the Commission, the
publication of this notice in the Federal
we do not redact or edit personal Exchange included statements
Register or up to 90 days (i) as the
identifying information from comment concerning the purpose of and basis for
Commission may designate if it finds
submissions. You should submit only the proposed rule change and discussed
such longer period to be appropriate
information that you wish to make any comments it received on the
and publishes its reasons for so finding
available publicly. All submissions proposed rule change. The text of these
or (ii) as to which the self-regulatory
should refer to File Number NYSEArca– statements may be examined at the
organization consents, the Commission
2018–67, and should be submitted on or places specified in Item IV below. The
will:
before October 22, 2018. Exchange has prepared summaries, set
(A) By order approve or disapprove
forth in sections A, B, and C below, of
the proposed rule change, or For the Commission, by the Division of
(B) institute proceedings to determine the most significant aspects of such
Trading and Markets, pursuant to delegated statements.
whether the proposed rule change authority.28
should be disapproved. Eduardo A. Aleman, A. Self-Regulatory Organization’s
IV. Solicitation of Comments Assistant Secretary. Statement of the Purpose of, and
[FR Doc. 2018–21234 Filed 9–28–18; 8:45 am] Statutory Basis for, the Proposed Rule
Interested persons are invited to Change
BILLING CODE 8011–01–P
submit written data, views, and
arguments concerning the foregoing, 1. Purpose
including whether the proposed rule SECURITIES AND EXCHANGE The Exchange proposes to relocate the
change is consistent with the Act. COMMISSION entire GEMX Schedule of Fees and Rule
Comments may be submitted by any of 209 to the Exchange’s shell structure;
the following methods: [Release No. 34–84283; File No. SR–GEMX– specifically, the Exchange will relocate
2018–29] the aforementioned rules to the Options
Electronic Comments
7 (‘‘Pricing Schedule’’) section of the
• Use the Commission’s internet Self-Regulatory Organizations; Nasdaq
shell. In addition, the Exchange will
comment form (http://www.sec.gov/ GEMX, LLC; Notice of Filing and
make conforming cross-reference
rules/sro.shtml); or Immediate Effectiveness of Proposed
changes throughout the Rulebook.
• Send an email to rule-comments@ Rule Change To Relocate the
sec.gov. Please include File Number Exchange’s Schedule of Fees (a) Relocation of Rules
NYSEArca–2018–67 on the subject line. September 25, 2018. As indicated, the Exchange, as part of
Pursuant to Section 19(b)(1) of the its continued effort to promote
Paper Comments
Securities Exchange Act of 1934
• Send paper comments in triplicate 3 In 2017, the Exchange added a shell structure to
(‘‘Act’’),1 and Rule 19b–4 thereunder,2
amozie on DSK3GDR082PROD with NOTICES

to Secretary, Securities and Exchange its Rulebook with the purpose of improving
notice is hereby given that on efficiency and readability and to align its rules
Commission, 100 F Street NE,
September 12, 2018, Nasdaq GEMX, closer to those of its five sister exchanges, The
Washington, DC 20549–1090. Nasdaq Stock Market LLC; Nasdaq BX, Inc.; Nasdaq
LLC (‘‘GEMX’’ or ‘‘Exchange’’) filed
All submissions should refer to File PHLX LLC; Nasdaq ISE, LLC; and Nasdaq MRX,
LLC (‘‘Affiliated Exchanges’’). See Securities
Number NYSEArca–2018–67. This file 28 17 CFR 200.30–3(a)(12). Exchange Act Release No. 82171 (November 29,
1 15 U.S.C. 78s(b)(1). 2017), 82 FR 57516 (December 5, 2017) (SR–GEMX–
27 15 U.S.C. 78f(b)(8). 2 17 CFR 240.19b–4. 2017–54).

VerDate Sep<11>2014 17:50 Sep 28, 2018 Jkt 247001 PO 00000 Frm 00088 Fmt 4703 Sfmt 4703 E:\FR\FM\01OCN1.SGM 01OCN1
49442 Federal Register / Vol. 83, No. 190 / Monday, October 1, 2018 / Notices

B. Self-Regulatory Organization’s between the Exchange’s rules and those Commission and any person, other than
Statement on Burden on Competition of the Affiliated Exchanges. The those that may be withheld from the
The Exchange does not believe that Commission believes that waiver of the public in accordance with the
the proposed rule change will impose 30-day operative delay is consistent provisions of 5 U.S.C. 552, will be
any burden on competition not with the protection of investors and the available for website viewing and
necessary or appropriate in furtherance public interest. Accordingly, the printing in the Commission’s Public
of the purposes of the Act. The Commission hereby waives the Reference Room, 100 F Street NE,
proposed changes do not impose a operative delay and designates the Washington, DC 20549, on official
burden on competition because, as proposed rule change operative upon business days between the hours of 10
previously stated, they (i) are of a non- filing.13 a.m. and 3 p.m. Copies of the filing also
At any time within 60 days of the will be available for inspection and
substantive nature, (ii) are intended to
filing of the proposed rule change, the copying at the principal office of the
harmonize the structure of the
Commission summarily may Exchange. All comments received will
Exchange’s rules with those of its
temporarily suspend such rule change if be posted without change. Persons
Affiliated Exchanges, and (iii) are
it appears to the Commission that such submitting comments are cautioned that
intended to organize the Rulebook in a
action is necessary or appropriate in the we do not redact or edit personal
way that it will ease the Members’ and public interest, for the protection of
market participants’ navigation and identifying information from comment
investors, or otherwise in furtherance of submissions. You should submit only
reading of the rules. the purposes of the Act. If the information that you wish to make
C. Self-Regulatory Organization’s Commission takes such action, the available publicly. All submissions
Statement on Comments on the Commission shall institute proceedings should refer to File Number SR–GEMX–
Proposed Rule Change Received From to determine whether the proposed rule 2018–29 and should be submitted on or
Members, Participants, or Others change should be approved or before October 22, 2018.
disapproved.
No written comments were either For the Commission, by the Division of
solicited or received. IV. Solicitation of Comments Trading and Markets, pursuant to delegated
Interested persons are invited to authority.14
III. Date of Effectiveness of the
submit written data, views, and Eduardo A. Aleman,
Proposed Rule Change and Timing for
Commission Action arguments concerning the foregoing, Assistant Secretary.
including whether the proposed rule [FR Doc. 2018–21236 Filed 9–28–18; 8:45 am]
Because the foregoing proposed rule
change is consistent with the Act. BILLING CODE 8011–01–P
change does not: (i) Significantly affect Comments may be submitted by any of
the protection of investors or the public the following methods:
interest; (ii) impose any significant SECURITIES AND EXCHANGE
burden on competition; and (iii) become Electronic Comments
COMMISSION
operative for 30 days from the date on • Use the Commission’s internet
which it was filed, or such shorter time comment form (http://www.sec.gov/
as the Commission may designate, it has [Release No. 34–84282; File No. SR–
rules/sro.shtml); or NYSEArca–2018–69]
become effective pursuant to Section • Send an email to rule-comments@
19(b)(3)(A) of the Act 9 and Rule 19b– sec.gov. Please include File Number SR– Self-Regulatory Organizations; NYSE
4(f)(6) thereunder.10 GEMX–2018–29 on the subject line. Arca, Inc.; Notice of Filing and
A proposed rule change filed Immediate Effectiveness of Proposed
pursuant to Rule 19b–4(f)(6) under the Paper Comments
Rule Change To Amend a
Act 11 normally does not become • Send paper comments in triplicate Representation Relating to the
operative for 30 days after the date of its to Secretary, Securities and Exchange Redemption Procedures Applicable to
filing. However, Rule 19b–4(f)(6)(iii) 12 Commission, 100 F Street NE, the Sprott Physical Gold and Silver
permits the Commission to designate a Washington, DC 20549–1090. Trust
shorter time if such action is consistent All submissions should refer to File
with the protection of investors and the Number SR–GEMX–2018–29. This file September 25, 2018.
public interest. The Exchange has number should be included on the Pursuant to Section 19(b)(1) 1 of the
requested that the Commission waive subject line if email is used. To help the Securities Exchange Act of 1934 (the
the 30-day operative delay so that the Commission process and review your ‘‘Act’’) 2 and Rule 19b–4 thereunder,3
proposed rule change may become comments more efficiently, please use notice is hereby given that, on
operative upon filing. Waiver of the only one method. The Commission will September 14, 2018, NYSE Arca, Inc.
operative delay would allow the post all comments on the Commission’s (the ‘‘Exchange’’ or ‘‘NYSE Arca’’) filed
Exchange to promptly relocate the internet website (http://www.sec.gov/ with the Securities and Exchange
Pricing Schedule rules and continue to rules/sro.shtml). Copies of the Commission (the ‘‘Commission’’) the
reorganize its Rulebook to promote submission, all subsequent proposed rule change as described in
efficiency and structural consistency amendments, all written statements Items I and II below, which Items have
with respect to the proposed rule been prepared by the self-regulatory
9 15 U.S.C. 78s(b)(3)(A). change that are filed with the organization. The Commission is
10 17 CFR 240.19b–4(f)(6). As required under Rule Commission, and all written publishing this notice to solicit
19b–4(f)(6)(iii), the Exchange provided the
amozie on DSK3GDR082PROD with NOTICES

Commission with written notice of its intent to file communications relating to the comments on the proposed rule change
the proposed rule change, along with a brief proposed rule change between the from interested persons.
description and the text of the proposed rule
change, at least five business days prior to the date 13 For purposes only of waiving the 30-day
14 17 CFR 200.30–3(a)(12).
of filing of the proposed rule change, or such operative delay, the Commission also has
shorter time as designated by the Commission. considered the proposed rule’s impact on
1 15 U.S.C. 78s(b)(1).
11 17 CFR 240.19b–4(f)(6). 2 15 U.S.C. 78a.
efficiency, competition, and capital formation. See
12 17 CFR 240.19b–4(f)(6)(iii). 15 U.S.C. 78c(f). 3 17 CFR 240.19b–4.

VerDate Sep<11>2014 17:50 Sep 28, 2018 Jkt 247001 PO 00000 Frm 00090 Fmt 4703 Sfmt 4703 E:\FR\FM\01OCN1.SGM 01OCN1
Document Created: 2018-09-29 04:26:56
Document Modified: 2018-09-29 04:26:56
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 49440