83 FR 51518 - Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend Exchange Rule 203, Qualification and Registration of Members and Associated Persons, Relating to Registration and Qualification Examinations Required for Members and Associated Persons of Members That Engage in Trading Activities on the Exchange
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 83, Issue 197 (October 11, 2018)
Federal Register Volume 83, Issue 197 (October 11, 2018)
| Page Range | 51518-51520 | |
| FR Document | 2018-22045 |
[Federal Register Volume 83, Number 197 (Thursday, October 11, 2018)] [Notices] [Pages 51518-51520] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2018-22045] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-84362; File No. SR-PEARL-2018-20] Self-Regulatory Organizations: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC To Amend Exchange Rule 203, Qualification and Registration of Members and Associated Persons, Relating to Registration and Qualification Examinations Required for Members and Associated Persons of Members That Engage in Trading Activities on the Exchange October 4, 2018. Pursuant to the provisions of 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 27, 2018, MIAX PEARL, LLC (``MIAX PEARL'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') a proposed rule change '') a 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. --------------------------------------------------------------------------- \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 is filing a proposal to amend Rule 203, Qualification and Registration of Members and Associated Persons, relating to registration and qualification examinations required for Members and Associated Persons of Members that engage in trading activities on the Exchange. The text of the proposed rule change is available on the Exchange's website at http://www.miaxoptions.com/rule-filings/pearl at MIAX PEARL's principal office, 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 Securities and Exchange Commission (the ``SEC'' or the ``Commission'') recently approved a proposed rule change to restructure the Financial Industry Regulatory Authority (``FINRA'') representative- level qualification examination program.\3\ The rule change, which will become effective on October 1, 2018, restructures the examination program into a more efficient format whereby all new representative- level applicants will be required to take a general knowledge examination (the Securities Industry Essentials Examination (``SIE'')) and a tailored, specialized knowledge examination (a revised representative-level qualification examination) for their particular registered role. Individuals are not required to be associated with the Exchange or any other self-regulatory organization (``SRO'') member to be eligible to take the SIE. However, passing the SIE alone will not qualify an individual for registration with the Exchange. To be eligible for registration, an individual must also be associated with a firm, pass an appropriate qualification examination for a representative or principal and satisfy the other requirements relating to the registration process. --------------------------------------------------------------------------- \3\ See Securities Exchange Act Release No. 81098 (July 7, 2017), 82 FR 32419 (July 13, 2017) (Order Approving File No. SR- FINRA-2017-007). --------------------------------------------------------------------------- The SIE will assess basic product knowledge; the structure and function of the securities industry markets, regulatory agencies and their functions; and regulated and prohibited practices. In particular, the SIE will cover four major areas. The first, ``Knowledge of Capital Markets,'' focuses on topics such as types of markets and offerings, broker-dealers and depositories, and economic cycles. The second, ``Understanding Products and Their Risks,'' covers securities products at a high level as well as associated investment risks. The third, ``Understanding Trading, Customer Accounts and Prohibited Activities,'' focuses on accounts, orders, settlement and prohibited activities. The final, ``Overview of the Regulatory Framework,'' encompasses topics such as SROs, registration requirements and specified conduct rules. It is anticipated that the SIE will include 75 scored questions plus an additional 10 unscored pretest questions. The passing score will be determined through methodologies compliant with testing industry standards used to develop examinations and set passing standards. The restructured program will eliminate duplicative testing of general securities knowledge on the current representative-level qualification examinations by moving such content into the SIE. The SIE will test fundamental securities related knowledge, including knowledge of basic products, the structure and function of the securities industry, the regulatory agencies and their functions and regulated and prohibited practices, whereas the revised representative-level qualification examinations will test knowledge relevant to day-to-day activities, responsibilities and job functions of representatives. The SIE was developed in consultation with a committee of industry representatives and representatives of several SROs. Each of the current representative-level examinations covers general securities knowledge, with the exception of the Research Analyst (Series 86 and 87) examinations. The Exchange proposes to require that effective October 1, 2018, new applicants seeking to register in a representative capacity with the Exchange must pass the SIE before their registrations can become effective. The Exchange proposes to make the requirement operative on October 1, 2018 to coincide with the effective date of FINRA's requirement. The Exchange notes that individuals who are registered as of October 1, 2018 will be eligible to maintain their registrations without being subject to any additional requirements. Individuals who have been registered within the last two years prior to October 1, 2018, will also be eligible to maintain those registrations without being subject to any additional requirements, provided they register within two years from the date of their last registration. However, with respect to an individual who is not registered [[Page 51519]] on the effective date of the proposed rule change but was registered within the last two years prior to the effective date of the proposed rule change, the individual's SIE status in the Central Registration Depository (``CRD'') system would be administratively terminated if such individual does not register with the Exchange within four years from the date of the individual's last registration. The Exchange also notes that consistent with Rule 203 Interpretations and Policies .05, the Exchange will consider waivers of the SIE alone or the SIE and the representative or principal-level examination(s) for applicants who are seeking registration in a representative-or principal-level registration category.\4\ --------------------------------------------------------------------------- \4\ Pursuant to a Regulatory Services Agreement between FINRA and MIAX PEARL, FINRA provides MIAX PEARL certain exam waiver services in responding to exam waiver requests from MIAX PEARL Members. --------------------------------------------------------------------------- The Exchange also proposes to add Interpretations and Policies .09 to Rule 203 ``Summary of Qualifications Requirements'' which summarizes the qualification requirements for each of the required registration categories described in the Exchange Rules. The Exchange notes that this filing is substantially similar to a companion Miami International Securities Exchange, LLC (``MIAX Options'') filing relating to registration and qualification examinations required for Members and Associated Persons of Members that engage in trading activities on the MIAX Options Exchange. 2. Statutory Basis The Exchange believes that its proposed rule change is consistent with Section 6(b) of the Act \5\ in general, and furthers the objectives of Section 6(b)(5) of the Act \6\ in particular, in that it is designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to foster cooperation and coordination with persons engaged in facilitating transactions in securities, to remove impediments to and perfect the mechanisms of a free and open market and a national market system and, in general, to protect investors and the public interest. Additionally, the Exchange believes the proposed rule change is consistent with the Section 6(b)(5) \7\ requirement that the rules of an exchange not be designed to permit unfair discrimination between customers, issuers, brokers, or dealers. --------------------------------------------------------------------------- \5\ 15 U.S.C. 78f(b). \6\ 15 U.S.C. 78f(b)(5). \7\ Id. --------------------------------------------------------------------------- The Exchange believes that the proposed rule change will improve the efficiency of the Exchange's examination requirements, without compromising the qualification standards, by eliminating duplicative testing of general securities knowledge on examinations. FINRA has indicated that the SIE was developed in an effort to adopt an examination that would assess basic product knowledge; the structure and function of the securities industry markets, regulatory agencies and their functions; and regulated and prohibited practices. The Exchange also notes that the introduction of the SIE and expansion of the pool of individuals who are eligible to take the SIE, has the potential of enhancing the pool of prospective securities industry professionals by introducing them to securities laws, rules and regulations and appropriate conduct before they join the industry in a registered capacity. Lastly, the Exchange notes adopting the SIE requirement is consistent with the requirement recently adopted by FINRA.\8\ --------------------------------------------------------------------------- \8\ See supra note 3. --------------------------------------------------------------------------- Furthermore, the Exchange believes that adding Interpretations and Policies .09 to Rule 203 will provide greater clarity regarding the Exchange's examination requirements as updated by, and those remaining in effect following, the proposed rule change, and consistency with the rules of other exchanges.\9\ --------------------------------------------------------------------------- \9\ See e.g. Cboe Exchange, Inc. Rule 3.6A Interpretations and Policies .08(b) and Nasdaq ISE, LLC Rule 313 Registration Requirements Supplementary Material .08 (b). --------------------------------------------------------------------------- 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 purposes of the Act. The Exchange believes that the proposed rule change, which harmonizes its rules with recent rule changes adopted by FINRA and which is being filed in conjunction with similar filings by the other national securities exchanges, will reduce the regulatory burden placed on market participants engaged in trading activities across different markets. The Exchange believes that the harmonization of these registration requirements across the various markets will reduce burdens on competition by removing impediments to participation in the national market system and promoting competition among participants across the multiple national securities exchanges. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others Written comments were neither solicited nor 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 \10\ and Rule 19b- 4(f)(6) thereunder. --------------------------------------------------------------------------- \10\ 15 U.S.C. 78s(b)(3)(A). --------------------------------------------------------------------------- A proposed rule change filed under Rule 19b-4(f)(6) normally does not become operative for 30 days from the date of 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 proposal may become operative on October 1, 2018 to coincide with the effective date of FINRA's proposed rule change on which the proposal is based.\12\ The waiver of the operative delay would make the Exchange's qualification requirements consistent with those of FINRA, as of October 1, 2018. Therefore, the Commission believes that the waiver of the 30-day operative delay is consistent with the protection of investors and the public interest and hereby waives the 30-day operative delay and designates the proposal operative on October 1, 2018.\13\ --------------------------------------------------------------------------- \11\ 17 CFR 240.19b-4(f)(6)(iii). \12\ See supra note 3. \13\ For purposes only of waiving the 30-day operative delay, the Commission has also 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. IV. Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule [[Page 51520]] 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 rule-comments@sec.gov. Please include File Number SR-PEARL-2018-20 on the subject line. Paper Comments Send paper comments in triplicate to Brent J. Fields, Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-1090. All submissions should refer to File Number SR-PEARL-2018-20. 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 the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR-PEARL-2018-20 and should be submitted on or before November 1, 2018. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.\14\ --------------------------------------------------------------------------- \14\ 17 CFR 200.30-3(a)(12). --------------------------------------------------------------------------- Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2018-22045 Filed 10-10-18; 8:45 am] BILLING CODE 8011-01-P
![51518 Federal Register / Vol. 83, No. 197 / Thursday, October 11, 2018 / Notices
For the Commission, by the Division of II. Self-Regulatory Organization’s economic cycles. The second,
Trading and Markets, pursuant to delegated Statement of the Purpose of, and ‘‘Understanding Products and Their
authority.21 Statutory Basis for, the Proposed Rule Risks,’’ covers securities products at a
Eduardo A. Aleman, Change high level as well as associated
Assistant Secretary. In its filing with the Commission, the investment risks. The third,
[FR Doc. 2018–22043 Filed 10–10–18; 8:45 am] Exchange included statements ‘‘Understanding Trading, Customer
concerning the purpose of and basis for Accounts and Prohibited Activities,’’
BILLING CODE 8011–01–P
the proposed rule change and discussed focuses on accounts, orders, settlement
any comments it received on the and prohibited activities. The final,
‘‘Overview of the Regulatory
SECURITIES AND EXCHANGE proposed rule change. The text of these
Framework,’’ encompasses topics such
COMMISSION statements may be examined at the
as SROs, registration requirements and
places specified in Item IV below. The
specified conduct rules. It is anticipated
[Release No. 34–84362; File No. SR– Exchange has prepared summaries, set
that the SIE will include 75 scored
PEARL–2018–20] forth in sections A, B, and C below, of
questions plus an additional 10
the most significant aspects of such
unscored pretest questions. The passing
Self-Regulatory Organizations: Notice statements.
score will be determined through
of Filing and Immediate Effectiveness A. Self-Regulatory Organization’s methodologies compliant with testing
of a Proposed Rule Change by MIAX Statement of the Purpose of, and industry standards used to develop
PEARL, LLC To Amend Exchange Rule Statutory Basis for, the Proposed Rule examinations and set passing standards.
203, Qualification and Registration of Change The restructured program will
Members and Associated Persons, eliminate duplicative testing of general
Relating to Registration and 1. Purpose securities knowledge on the current
Qualification Examinations Required The Securities and Exchange representative-level qualification
for Members and Associated Persons Commission (the ‘‘SEC’’ or the examinations by moving such content
of Members That Engage in Trading ‘‘Commission’’) recently approved a into the SIE. The SIE will test
Activities on the Exchange proposed rule change to restructure the fundamental securities related
Financial Industry Regulatory Authority knowledge, including knowledge of
October 4, 2018. (‘‘FINRA’’) representative-level basic products, the structure and
Pursuant to the provisions of Section qualification examination program.3 function of the securities industry, the
The rule change, which will become regulatory agencies and their functions
19(b)(1) of the Securities Exchange Act
effective on October 1, 2018, and regulated and prohibited practices,
of 1934 (‘‘Act’’) 1 and Rule 19b–4
restructures the examination program whereas the revised representative-level
thereunder,2 notice is hereby given that qualification examinations will test
into a more efficient format whereby all
on September 27, 2018, MIAX PEARL, knowledge relevant to day-to-day
new representative-level applicants will
LLC (‘‘MIAX PEARL’’ or ‘‘Exchange’’) be required to take a general knowledge activities, responsibilities and job
filed with the Securities and Exchange examination (the Securities Industry functions of representatives. The SIE
Commission (‘‘Commission’’) a Essentials Examination (‘‘SIE’’)) and a was developed in consultation with a
proposed rule change ’’) a proposed rule tailored, specialized knowledge committee of industry representatives
change as described in Items I and II examination (a revised representative- and representatives of several SROs.
below, which Items have been prepared level qualification examination) for their Each of the current representative-level
by the Exchange. The Commission is particular registered role. Individuals examinations covers general securities
publishing this notice to solicit are not required to be associated with knowledge, with the exception of the
comments on the proposed rule change the Exchange or any other self- Research Analyst (Series 86 and 87)
from interested persons. regulatory organization (‘‘SRO’’) examinations.
member to be eligible to take the SIE. The Exchange proposes to require that
I. Self-Regulatory Organization’s effective October 1, 2018, new
However, passing the SIE alone will not
Statement of the Terms of Substance of applicants seeking to register in a
qualify an individual for registration
the Proposed Rule Change with the Exchange. To be eligible for representative capacity with the
registration, an individual must also be Exchange must pass the SIE before their
The Exchange is filing a proposal to registrations can become effective. The
amend Rule 203, Qualification and associated with a firm, pass an
appropriate qualification examination Exchange proposes to make the
Registration of Members and Associated requirement operative on October 1,
Persons, relating to registration and for a representative or principal and
satisfy the other requirements relating to 2018 to coincide with the effective date
qualification examinations required for of FINRA’s requirement.
the registration process.
Members and Associated Persons of The Exchange notes that individuals
The SIE will assess basic product
Members that engage in trading knowledge; the structure and function who are registered as of October 1, 2018
activities on the Exchange. of the securities industry markets, will be eligible to maintain their
The text of the proposed rule change regulatory agencies and their functions; registrations without being subject to
is available on the Exchange’s website at any additional requirements.
and regulated and prohibited practices.
Individuals who have been registered
http://www.miaxoptions.com/rule- In particular, the SIE will cover four
within the last two years prior to
khammond on DSK30JT082PROD with NOTICES
filings/pearl at MIAX PEARL’s principal major areas. The first, ‘‘Knowledge of
October 1, 2018, will also be eligible to
office, and at the Commission’s Public Capital Markets,’’ focuses on topics such
maintain those registrations without
Reference Room. as types of markets and offerings,
being subject to any additional
broker-dealers and depositories, and
requirements, provided they register
21 17 CFR 200.30–3(a)(12). 3 See Securities Exchange Act Release No. 81098 within two years from the date of their
1 15 U.S.C. 78s(b)(1). (July 7, 2017), 82 FR 32419 (July 13, 2017) (Order last registration. However, with respect
2 17 CFR 240.19b–4. Approving File No. SR–FINRA–2017–007). to an individual who is not registered
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![51520 Federal Register / Vol. 83, No. 197 / Thursday, October 11, 2018 / Notices
change is consistent with the Act. SECURITIES AND EXCHANGE Commission Rule of Practice 431,11 the
Comments may be submitted by any of COMMISSION Commission would review the
the following methods: Division’s action pursuant to delegated
[Release No. 34–84369]
authority and that the Division’s action
Electronic Comments
Securities Exchange Act of 1934 pursuant to delegated authority had
• Use the Commission’s internet been automatically stayed.12
comment form (http://www.sec.gov/ October 4, 2018. Accordingly, it is ordered, pursuant to
rules/sro.shtml); or In the Matter of the NYSE Arca, Inc.; Commission Rule of Practice 431, that
• Send an email to rule-comments@ Order Scheduling Filing of Statements by November 5, 2018, any party or other
sec.gov. Please include File Number SR– on Review for an Order of Disapproval person may file a statement in support
PEARL–2018–20 on the subject line. of Proposed Rule Change To List and of, or in opposition to, the action made
Trade the Shares of the ProShares pursuant to delegated authority.
Paper Comments Bitcoin ETF and the ProShares Short It is further ordered that the order
• Send paper comments in triplicate Bitcoin ETF (File No. SR–NYSEArca– disapproving proposed rule change SR–
to Brent J. Fields, Secretary, Securities 2017–139). NYSEArca–2017–139 shall remain in
On December 4, 2017, NYSE Arca Inc. effect pending the Commission’s review.
and Exchange Commission, 100 F Street
(‘‘NYSE Arca’’) filed with the Securities
NE, Washington, DC 20549–1090. By the Commission.
and Exchange Commission
All submissions should refer to File (‘‘Commission’’), pursuant to Section Eduardo A. Aleman,
Number SR–PEARL–2018–20. This file 19(b)(1) of the Securities Exchange Act Assistant Secretary.
number should be included on the (‘‘Exchange Act’’) 1 and Rule 19b–4 [FR Doc. 2018–22094 Filed 10–10–18; 8:45 am]
subject line if email is used. To help the thereunder,2 a proposed rule change to BILLING CODE 8011–01–P
Commission process and review your list and trade shares of the ProShares
comments more efficiently, please use Bitcoin ETF and the ProShares Short
only one method. The Commission will Bitcoin ETF issued by the ProShares SECURITIES AND EXCHANGE
post all comments on the Commission’s Trust II under NYSE Arca Rule 8.200– COMMISSION
internet website (http://www.sec.gov/ E, Commentary .02. The proposed rule [Securities Exchange Act of 1934; Release
rules/sro.shtml). Copies of the change was published for comment in No. 34–84368/October 4, 2018]
submission, all subsequent the Federal Register on December 26,
amendments, all written statements 2017.3 In the Matter of the Cboe BZX
with respect to the proposed rule On January 30, 2018, pursuant to Exchange, Inc.; For an Order of
change that are filed with the Section 19(b)(2) of the Exchange Act,4 Disapproval of Proposed Rule Change
Commission, and all written the Commission designated a longer To List and Trade the Shares of the
communications relating to the period within which to approve the GraniteShares Bitcoin ETF and the
proposed rule change between the proposed rule change, disapprove the GraniteShares Short Bitcoin ETF (File
Commission and any person, other than proposed rule change, or institute No. SR–CboeBZX–2018–001); Order
those that may be withheld from the proceedings to determine whether to Scheduling Filing of Statements on
public in accordance with the approve or disapprove the proposed Review
provisions of 5 U.S.C. 552, will be rule change.5 On March 23, 2018, the
available for website viewing and Commission instituted proceedings On January 5, 2018, Cboe BZX
printing in the Commission’s Public under Section 19(b)(2)(B) of the Exchange, Inc. (‘‘BZX’’) filed with the
Reference Room, 100 F Street NE, Exchange Act 6 to determine whether to Securities and Exchange Commission
Washington, DC 20549, on official approve or disapprove the proposed (‘‘Commission’’), pursuant to Section
business days between the hours of rule change.7 On June 15, 2018, the 19(b)(1) of the Securities Exchange Act
10:00 a.m. and 3:00 p.m. Copies of the Commission extended the period for of 1934 (‘‘Exchange Act’’) 1 and Rule
filing also will be available for consideration of the proposed rule 19b–4 thereunder,2 a proposed rule
inspection and copying at the principal change to August 23, 2018.8 change to list and trade shares of the
office of the Exchange. All comments On August 22, 2018, the Division of GraniteShares Bitcoin ETF and the
received will be posted without change. Trading and Markets, pursuant to GraniteShares Short Bitcoin ETF issued
Persons submitting comments are delegated authority,9 issued an order by the GraniteShares ETP Trust under
cautioned that the Commission does not disapproving the proposed rule BZX Rule 14.11(f)(4).3 The proposed
edit personal identifying information change.10 On August 23, 2018, the rule change was published for comment
from submissions. You should submit Secretary of the Commission notified in the Federal Register on January 18,
only information that you wish to make NYSEArca that, pursuant to 2018.4
available publicly. All submissions On February 22, 2018, pursuant to
should refer to File Number SR–
1 15 U.S.C. 78s(b)(1). Section 19(b)(2) of the Exchange Act,
PEARL–2018–20 and should be
2 17 CFR 240.19b–4. the Commission designated a longer
3 See Securities Exchange Act Release No. 82350
submitted on or before November 1, (Dec. 19, 2017), 82 FR 61100 (Dec. 26, 2017). 11 See 17 CFR 201.431(c).
2018. 4 15 U.S.C. 78s(b)(2). 12 See Letter from Secretary of the Commission to
5 See Securities Exchange Act Release No. 82602
For the Commission, by the Division of David De Gregorio, Senior Counsel, NYSE Group,
Trading and Markets, pursuant to delegated (Jan. 30, 2018), 83 FR 4941 (Feb. 2, 2018). Inc. (Aug. 23, 2018), available at https://
khammond on DSK30JT082PROD with NOTICES
6 15 U.S.C. 78s(b)(2)(B). www.sec.gov/rules/sro/nysearca/2018/34-83904-
authority.14
7 See Securities Exchange Act Release No. 82939 letter-from-secretary.pdf.
Eduardo A. Aleman, (Mar. 23, 2018), 83 FR 13537 (Mar. 29, 2018). 1 15 U.S.C. 78s(b)(1).
Assistant Secretary. 8 See Securities Exchange Act Release No. 83452 2 17 CFR 240.19b–4.
[FR Doc. 2018–22045 Filed 10–10–18; 8:45 am] (June 15, 2018), 83 FR 28894 (June 21, 2018). 3 On August 21, 2018, BZX filed Amendment No.
9 17 CFR 200.30–3(a)(12). 1 to the proposal, and on August 22, 2018, BZX
BILLING CODE 8011–01–P
10 See Securities Exchange Act Release No. 83904 filed Amendment No. 2 to the proposal.
(Aug. 22, 2018), 83 FR 43934 (Aug. 28, 2018) (SR– 4 See Securities Exchange Act Release No. 82484
14 17 CFR 200.30–3(a)(12). NYSEArca-2017–139) (‘‘Disapproval Order’’). (Jan. 11, 2018), 83 FR 2704 (Jan. 18, 2018).
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Document Created: 2018-10-11 15:36:14
Document Modified: 2018-10-11 15:36:14
| 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 51518 |
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