83 FR 51026 - Fixed Income Market Structure Advisory Committee

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 83, Issue 196 (October 10, 2018)

Page Range		51026-51027
FR Document		2018-21953

The Securities and Exchange Commission Fixed Income Market Structure Advisory Committee is providing notice that it will hold a public meeting on Monday, October 29, 2018 in Multi-Purpose Room LL-006 at the Commission's headquarters, 100 F Street NE, Washington, DC. The meeting will begin at 9:30 a.m. (EDT) and will be open to the public, except for the period during lunch when the Committee will meet in an administrative work session. The public portions of the meeting will be webcast on the Commission's website at www.sec.gov. Persons needing special accommodations to take part because of a disability should notify the contact persons listed below. The public is invited to submit written statements to the Committee. The meeting will include updates and presentations from the subcommittees.

Federal Register, Volume 83 Issue 196 (Wednesday, October 10, 2018)

[Federal Register Volume 83, Number 196 (Wednesday, October 10, 2018)]
[Notices]
[Pages 51026-51027]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-21953]


-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-84356; File No. 265-30]


Fixed Income Market Structure Advisory Committee

AGENCY: Securities and Exchange Commission.

ACTION: Notice of meeting.

-----------------------------------------------------------------------

SUMMARY: The Securities and Exchange Commission Fixed Income Market 
Structure Advisory Committee is providing notice that it will hold a 
public meeting on Monday, October 29, 2018 in Multi-Purpose Room LL-006 
at the Commission's headquarters, 100 F Street NE, Washington, DC. The 
meeting will begin at 9:30 a.m. (EDT) and will be open to the public, 
except for the period during lunch when the Committee will meet in an 
administrative work session. The public portions of the meeting will be 
webcast on the Commission's website at www.sec.gov. Persons needing 
special accommodations to take part because of a disability should 
notify the contact persons listed below. The public is invited to 
submit written statements to the Committee. The meeting will include 
updates and presentations from the subcommittees.

DATES: The public meeting will be held on Monday, October 29, 2018. 
Written statements should be received on or before October 24, 2018.

ADDRESSES: The meeting will be held at the Commission's headquarters, 
100 F Street NE, Washington, DC. Written statements may be submitted by 
any of the following methods:

Electronic Statements

     Use the Commission's internet submission form (http://www.sec.gov/rules/other.shtml); or
     Send an email message to rule-comments@sec.gov. Please 
include File Number 265-30 on the subject line; or

Paper Statements

     Send paper statements in triplicate to Brent J. Fields, 
Federal Advisory Committee Management Officer, Securities and Exchange 
Commission, 100 F Street NE, Washington, DC 20549-1090.

All submissions should refer to File No. 265-30. This file number 
should be included on the subject line if email is used. To help us 
process and review your statement more efficiently, please use only one 
method. The Commission will post all statements on the Commission's 
internet website at SEC website at (http://www.sec.gov/comments/265-30/265-30.shtml).
    Statements also will be available for website viewing and printing 
in the Commission's Public Reference Room, 100 F Street NE, Room 1580, 
Washington, DC 20549, on official business days between the hours of 
10:00 a.m. and 3:00 p.m. All statements received will be posted without 
change. Persons submitting comments are cautioned that we do not redact 
or edit personal identifying information from submissions. You should 
submit only information that you wish to make available publicly.

[[Page 51027]]


FOR FURTHER INFORMATION CONTACT: David Dimitrious, Senior Special 
Counsel, at (202) 551-5131, or Benjamin Bernstein, Special Counsel, at 
(202) 551-5354, Division of Trading and Markets, Securities and 
Exchange Commission, 100 F Street NE, Washington DC 20549-7010.

SUPPLEMENTARY INFORMATION: In accordance with Section 10(a) of the 
Federal Advisory Committee Act, 5 U.S.C.-App. 1, and the regulations 
thereunder, Brett Redfearn, Designated Federal Officer of the 
Committee, has ordered publication of this notice.

    Dated: October 3, 2018.
Brent J. Fields,
Committee Management Officer.
[FR Doc. 2018-21953 Filed 10-9-18; 8:45 am]
 BILLING CODE 8011-01-P

51026 Federal Register / Vol. 83, No. 196 / Wednesday, October 10, 2018 / Notices

interest, and not be unfairly amendments, all written statements public meeting on Monday, October 29,
discriminatory; or not impose an with respect to the proposed rule 2018 in Multi-Purpose Room LL–006 at
unnecessary or inappropriate burden on change that are filed with the the Commission’s headquarters, 100 F
competition.45 Commission, and all written Street NE, Washington, DC. The meeting
communications relating to the will begin at 9:30 a.m. (EDT) and will
V. Commission’s Solicitation of
proposed rule change between the be open to the public, except for the
Comments
Commission and any person, other than period during lunch when the
The Commission requests written those that may be withheld from the Committee will meet in an
views, data, and arguments with respect public in accordance with the administrative work session. The public
to the concerns identified above as well provisions of 5 U.S.C. 552, will be portions of the meeting will be webcast
as any other relevant concerns. Such available for website viewing and on the Commission’s website at
comments should be submitted by printing in the Commission’s Public www.sec.gov. Persons needing special
October 31, 2018. Rebuttal comments Reference Room, 100 F Street NE, accommodations to take part because of
should be submitted by November 14, Washington, DC 20549 on official a disability should notify the contact
2018. Although there do not appear to business days between the hours of persons listed below. The public is
be any issues relevant to approval or 10:00 a.m. and 3:00 p.m. Copies of the invited to submit written statements to
disapproval which would be facilitated filing also will be available for the Committee. The meeting will
by an oral presentation of views, data, inspection and copying at the principal include updates and presentations from
and arguments, the Commission will office of the Exchange. All comments the subcommittees.
consider, pursuant to Rule 19b–4, any received will be posted without change. DATES: The public meeting will be held
request for an opportunity to make an Persons submitting comments are on Monday, October 29, 2018. Written
oral presentation.46 cautioned that we do not redact or edit
The Commission asks that statements should be received on or
personal identifying information from before October 24, 2018.
commenters address the sufficiency and comment submissions. You should
merit of the Exchange’s statements in ADDRESSES: The meeting will be held at
submit only information that you wish
support of the proposal, in addition to the Commission’s headquarters, 100 F
to make available publicly. All
any other comments they may wish to Street NE, Washington, DC. Written
submissions should refer to File
submit about the proposed rule change. statements may be submitted by any of
Number SR–PEARL–2018–19 and
Interested persons are invited to submit the following methods:
should be submitted on or before
written data, views, and arguments October 31, 2018. Rebuttal comments Electronic Statements
concerning the proposed rule change, should be submitted by November 14,
including whether the proposed rule • Use the Commission’s internet
2018. submission form (http://www.sec.gov/
change is consistent with the Act.
Comments may be submitted by any of VI. Conclusion rules/other.shtml); or
the following methods: • Send an email message to rule-
It is therefore ordered, pursuant to
comments@sec.gov. Please include File
Electronic Comments Section 19(b)(3)(C) of the Act,47 that File
Number 265–30 on the subject line; or
Number SR–PEARL–2018–19 be and
• Use the Commission’s internet
hereby is, temporarily suspended. In Paper Statements
comment form (http://www.sec.gov/
addition, the Commission is instituting • Send paper statements in triplicate
rules/sro.shtml); or
• Send an email to rule-comments@ proceedings to determine whether the to Brent J. Fields, Federal Advisory
sec.gov. Please include File Number SR– proposed rule change should be Committee Management Officer,
PEARL–2018–19 on the subject line. approved or disapproved. Securities and Exchange Commission,
For the Commission, by the Division of 100 F Street NE, Washington, DC
Paper Comments Trading and Markets, pursuant to delegated 20549–1090.
• Send paper comments in triplicate authority.48
All submissions should refer to File No.
to Brent J. Fields, Secretary, Securities Eduardo A. Aleman,
265–30. This file number should be
and Exchange Commission, 100 F Street Assistant Secretary. included on the subject line if email is
NE, Washington, DC 20549–1090. [FR Doc. 2018–21922 Filed 10–9–18; 8:45 am] used. To help us process and review
All submissions should refer to File BILLING CODE 8011–01–P your statement more efficiently, please
Number SR–PEARL–2018–19. This file use only one method. The Commission
number should be included on the will post all statements on the
subject line if email is used. To help the SECURITIES AND EXCHANGE Commission’s internet website at SEC
Commission process and review your COMMISSION website at (http://www.sec.gov/
comments more efficiently, please use [Release No. 34–84356; File No. 265–30] comments/265-30/265-30.shtml).
only one method. The Commission will Statements also will be available for
post all comments on the Commission’s Fixed Income Market Structure website viewing and printing in the
internet website (http://www.sec.gov/ Advisory Committee Commission’s Public Reference Room,
rules/sro.shtml). Copies of the 100 F Street NE, Room 1580,
submission, all subsequent AGENCY: Securities and Exchange
Commission. Washington, DC 20549, on official
business days between the hours of
45 See 15 U.S.C. 78f(b)(4), (5), and (8). ACTION: Notice of meeting.
10:00 a.m. and 3:00 p.m. All statements
amozie on DSK3GDR082PROD with NOTICES1

46 15 U.S.C. 78s(b)(2). Section 19(b)(2) of the Act
grants the Commission flexibility to determine what SUMMARY: The Securities and Exchange received will be posted without change.
type of proceeding—either oral or notice and Commission Fixed Income Market Persons submitting comments are
opportunity for written comments—is appropriate Structure Advisory Committee is cautioned that we do not redact or edit
for consideration of a particular proposal by an personal identifying information from
SRO. See Securities Acts Amendments of 1975,
providing notice that it will hold a
Report of the Senate Committee on Banking,
submissions. You should submit only
Housing and Urban Affairs to Accompany S. 249, 47 15 U.S.C. 78s(b)(3)(C). information that you wish to make
S. Rep. No. 75, 94th Cong., 1st Sess. 30 (1975). 48 17 CFR 200.30–3(a)(57) and (58). available publicly.

VerDate Sep<11>2014 21:20 Oct 09, 2018 Jkt 247001 PO 00000 Frm 00143 Fmt 4703 Sfmt 4703 E:\FR\FM\10OCN1.SGM 10OCN1

Federal Register / Vol. 83, No. 196 / Wednesday, October 10, 2018 / Notices 51027

FOR FURTHER INFORMATION CONTACT: Exchange filed Amendment No. 3 to the registration statement on Form N–1A
David Dimitrious, Senior Special proposed rule change. On September 28, (‘‘Registration Statement’’) with the
Counsel, at (202) 551–5131, or Benjamin 2018, the Exchange filed Amendment Commission on behalf of the Fund.7
Bernstein, Special Counsel, at (202) No. 4 to the proposed rule change, Amplify Investments LLC will be the
551–5354, Division of Trading and which replaced and superseded the Fund’s investment adviser (‘‘Adviser’’).
Markets, Securities and Exchange proposed rule change, as modified by CSAT Investment Advisory, L.P., d/b/a
Commission, 100 F Street NE, Amendment Nos. 1, 2, and 3, in its Exponential ETFs and ARGI Investment
Washington DC 20549–7010. entirety.4 On October 1, 2018, the Services LLC will be the Fund’s sub-
SUPPLEMENTARY INFORMATION: In Exchange submitted and withdrew advisers (‘‘Sub-Advisers’’).8 U.S.
accordance with Section 10(a) of the Amendment No. 5 to the proposed rule Bancorp Fund Services, LLC will be the
Federal Advisory Committee Act, 5 change. On October 1, 2018, the administrator, custodian, and fund
U.S.C.-App. 1, and the regulations Exchange also filed Amendment No. 6 accounting and transfer agent for the
thereunder, Brett Redfearn, Designated to the proposed rule change.5 The Fund. Quasar Distributors LLC will
Federal Officer of the Committee, has Commission received no comments on serve as the distributor for the Fund.
ordered publication of this notice. the proposed rule change. This order A. The Fund’s Underlying Index
Dated: October 3, 2018.
grants approval of the proposed rule
change, as modified by Amendment According to the Exchange, the Fund
Brent J. Fields, will seek investment results that
Nos. 4 and 6.
Committee Management Officer. generally correspond (before fees and
[FR Doc. 2018–21953 Filed 10–9–18; 8:45 am] II. Description of the Proposed Rule expenses) to the price and yield of the
BILLING CODE 8011–01–P
Change, as Modified by Amendment S-Network BlackSwan Core Total
Nos. 4 and 6 6 Return Index (‘‘Index’’). The Index was
The Exchange proposes to list and created and is maintained by S-Network
SECURITIES AND EXCHANGE trade the Shares under Commentary .02 Global Networks, Inc. (‘‘Index
COMMISSION to NYSE Arca Rule 5.2–E(j)(3), which Provider’’).9 The Index is also compiled
[Release No. 34–84348; File No. SR– governs the listing and trading of and calculated by the Index Provider.
NYSEArca–2018–57] Investment Company Units on the According to the Exchange, the Index
Exchange. The Fund will be an index- is a rules-based, quantitative index that
Self-Regulatory Organizations; NYSE based exchange traded fund (‘‘ETF’’). seeks to provide capital protection
Arca, Inc.; Order Granting Approval of The Shares will be offered by the against the unpredictable, rare, and
Proposed Rule Change, as Modified by Amplify ETF Trust (‘‘Trust’’), which is highly disruptive events that have come
Amendment Nos. 4 and 6, To List and registered with the Commission as an to be referred to as ‘‘Black Swans.’’ The
Trade Shares of the Amplify investment company and has filed a Index endeavors to provide investment
BlackSwan Growth & Treasury Core returns that correspond to those of the
ETF Under Commentary .02 to NYSE 4 In Amendment No. 4, the Exchange: (i)

Arca Rule 5.2–E(j)(3) Amended the description of the Fund’s sub- 7 The Exchange states that, on June 26, 2018, the

advisers, the Index Provider (as defined below), and Trust filed a Registration Statement on Form N–1A
October 3, 2018. the Index Committee (as defined below); (ii) on behalf of the Fund (File Nos. 333–207937 and
represented that the Index Provider has 811–23108). In addition, the Exchange states that
I. Introduction implemented and will maintain procedures the Commission has issued an order granting
designed to prevent the use and dissemination of certain exemptive relief to the Trust under the
On July 31, 2018, NYSE Arca, Inc. material non-public information regarding the Investment Company Act of 1940 Act. See
(‘‘NYSE Arca’’ or ‘‘Exchange’’) filed Index (as defined below); (iii) amended the name Investment Company Act Release No. 31822
with the Securities and Exchange of the Index; (iv) stated that the Exchange believes (September 14, 2015) (File No. 812–14424).
that surveillances by other exchanges on which SPY 8 The Exchange represents that the Adviser is not
Commission (‘‘Commission’’), pursuant LEAPS trade should help to protect against market registered as a broker-dealer but is affiliated with
to Section 19(b)(1) of the Securities manipulation of the Fund’s Shares and SPY LEAPS; a broker-dealer and has implemented and will
Exchange Act of 1934 (‘‘Act’’) 1 and Rule (v) clarified that statements and representations in maintain a fire wall with respect to its broker-dealer
19b–4 thereunder,2 a proposed rule the filing regarding the description of, or limitations affiliate regarding access to information concerning
on, the Index shall constitute continued listing the composition of and/or changes to the Fund’s
change to list and trade shares requirements for listing the Shares of the Fund on portfolio. The Exchange represents that the Sub-
(‘‘Shares’’) of the Amplify BlackSwan the Exchange; (vi) stated that the value of the Index Advisers are not registered as a broker-dealer or
Growth & Treasury Core ETF (‘‘Fund’’) will be widely disseminated by one or more major affiliated with a broker-dealer. The Exchange
under Commentary .02 to NYSE Arca market data vendors at least once per day; (vii) further represents that, in the event (a) the Adviser
Rule 5.2–E(j)(3). On August 10, 2018, clarified the availability of certain information on or a Sub-Adviser becomes registered as a broker-
the Fund’s website; and (viii) made certain dealer or newly affiliated with a broker-dealer, or
the Exchange filed Amendment No. 1 to technical and conforming changes. Amendment No. (b) any new adviser or sub-adviser is a registered
the proposed rule change, which 4 to the proposed rule change is available at: broker-dealer or becomes affiliated with a broker-
replaced and superseded the original https://www.sec.gov/comments/sr-nysearca-2018- dealer, it will implement and maintain a fire wall
filing in its entirety. The proposed rule 57/nysearca201857.htm. Amendment No. 4 is not with respect to its relevant personnel or its broker-
subject to notice and comment because it does not dealer affiliate regarding access to information
change, as modified by Amendment No. materially alter the substance of the proposed rule concerning the composition of and/or changes to
1, was published for comment in the change or raise unique or novel regulatory issues. the portfolio, and will be subject to procedures
Federal Register on August 20, 2018.3 5 In Amendment No. 6, the Exchange: (i) Clarified designed to prevent the use and dissemination of
On September 10, 2018, the Exchange that the Index Provider is not registered as an material non-public information regarding the
investment adviser and is not affiliated with an portfolio.
filed Amendment No. 2 to the proposed investment adviser; and (ii) made certain technical 9 According to the Exchange, the Index Provider
rule change, which replaced and and conforming changes. Amendment No. 6 to the is not registered as an investment adviser or broker-
amozie on DSK3GDR082PROD with NOTICES1

superseded the proposed rule change, as proposed rule change is available at: https:// dealer and is not affiliated with an investment
modified by Amendment No. 1, in its www.sec.gov/comments/sr-nysearca-2018-57/ adviser or broker-dealer. The Exchange states that
nysearca201857.htm. Amendment No. 6 is not the Index Provider has implemented and will
entirety. On September 24, 2018, the subject to notice and comment because it does not maintain procedures designed to prevent the use
materially alter the substance of the proposed rule and dissemination of material non-public
1 15 U.S.C. 78s(b)(1). change or raise unique or novel regulatory issues. information regarding the Index. In addition, the
2 17 CFR 240.19b–4. 6 For more information regarding the Fund and Exchange states that the Index Provider is not
3 See Securities Exchange Act Release No. 83845 the Shares, see Amendment No. 4, supra note 4 and affiliated with the Fund, the Adviser, or the Sub-
(August 14, 2018), 83 FR 42188 (‘‘Notice’’). Amendment No. 6, supra note 5. Advisers.

VerDate Sep<11>2014 21:20 Oct 09, 2018 Jkt 247001 PO 00000 Frm 00144 Fmt 4703 Sfmt 4703 E:\FR\FM\10OCN1.SGM 10OCN1

Document Created: 2018-10-10 17:36:26
Document Modified: 2018-10-10 17:36:26

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
Action		Notice of meeting.
Dates		The public meeting will be held on Monday, October 29, 2018. Written statements should be received on or before October 24, 2018.
Contact		David Dimitrious, Senior Special Counsel, at (202) 551-5131, or Benjamin Bernstein, Special Counsel, at (202) 551-5354, Division of Trading and Markets, Securities and Exchange Commission, 100 F Street NE, Washington DC 20549-7010.
FR Citation		83 FR 51026