83_FR_56476 83 FR 56257 - Regulation of NMS Stock Alternative Trading Systems

83 FR 56257 - Regulation of NMS Stock Alternative Trading Systems

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 83, Issue 219 (November 13, 2018)

Page Range56257-56258
FR Document2018-24549

This document makes technical corrections to a rule that was published in the Federal Register on August 7, 2018. The Commission adopted amendments to the regulatory requirements in Regulation ATS under the Securities Exchange Act of 1934 applicable to alternative trading systems (``ATSs'') that trade National Market System (``NMS'') stocks (hereinafter referred to as ``NMS Stock ATSs''), which included, among other items, Form ATS-N. This document is being published to correct a citation contained in the adopted language of Part III, Item 15.a of Form ATS-N.

Federal Register, Volume 83 Issue 219 (Tuesday, November 13, 2018) 
[Federal Register Volume 83, Number 219 (Tuesday, November 13, 2018)]
[Rules and Regulations]
[Pages 56257-56258]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-24549]


=======================================================================
-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

17 CFR Part 249

[Release No. 34-84541; File No. S7-23-15]
RIN 3235-AL66


Regulation of NMS Stock Alternative Trading Systems

AGENCY: Securities and Exchange Commission.

ACTION: Final rule; technical correction.

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

SUMMARY: This document makes technical corrections to a rule that was 
published in the Federal Register on August 7, 2018. The Commission 
adopted amendments to the regulatory requirements in Regulation ATS 
under the Securities Exchange Act of 1934 applicable to alternative 
trading systems (``ATSs'') that trade National Market System (``NMS'') 
stocks (hereinafter referred to as ``NMS Stock ATSs''), which included, 
among other items, Form ATS-N. This document is being published to 
correct a citation contained in the adopted language of Part III, Item 
15.a of Form ATS-N.

DATES: Effective November 13, 2018.

FOR FURTHER INFORMATION CONTACT: Tyler Raimo, Senior Special Counsel, 
at (202) 551-6227; Matthew Cursio, Special Counsel, at (202) 551-5748; 
Marsha Dixon, Special Counsel, at (202) 551-5782; Jennifer Dodd, 
Special Counsel, at (202) 551-5653; David Garcia, Special Counsel, at 
(202) 551-5681; or Megan Mitchell, Special Counsel, at (202) 551-4887; 
Office of Market Supervision, Division of Trading and Markets, 
Securities and Exchange Commission, 100 F Street NE, Washington, DC 
20549-7010.

SUPPLEMENTARY INFORMATION: We are making a technical amendment to Part 
III, Item 15.a of Form ATS-N under 17 CFR 249.640.

List of Subjects in 17 CFR Part 249

    Brokers, Reporting and recordkeeping requirements, Securities.

Statutory Authority and Text of Amendments

    For the reasons set out above, title 17, chapter II of the Code of 
Federal Regulations is amended as follows:

PART 249--FORMS, SECURITIES EXCHANGE ACT OF 1934

0
1. The authority citation for part 249 continues to read in part as 
follows:

    Authority: 15 U.S.C. 78a et seq. and 7201 et seq.; 12 U.S.C. 
5461 et seq.; 18 U.S.C. 1350; Sec. 953(b), Pub. L. 111-203, 124 
Stat. 1904; Sec. 102(a)(3), Pub. L. 112-106, 126 Stat. 309 (2012); 
Sec. 107, Pub. L. 112-106, 126 Stat. 313 (2012), and Sec. 72001, 
Pub. L. 114-94, 129 Stat. 1312 (2015), unless otherwise noted.
* * * * *

0
2. Amend Form ATS-N (referenced in Sec.  249.640) by revising Part III, 
Item 15.a to read as follows:

    Note: The text of Form ATS-N does not, and this amendment will 
not, appear in the Code of Federal Regulations.

Form ATS-N

* * * * *

[[Page 56258]]

Item 15: Display

a. Does the NMS Stock ATS operate as an Electronic Communication 
Network as defined in Rule 600(b)(23) of Regulation NMS?
Yes [ballot] No [ballot]
* * * * *

    Dated: November 6, 2018.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-24549 Filed 11-9-18; 8:45 am]
BILLING CODE 8011-01-P

Federal Register / Vol. 83, No. 219 / Tuesday, November 13, 2018 / Rules and Regulations 56257 and uniform on all handlers. Some of Any questions about the compliance SUMMARY: This document makes the additional costs may be passed on guide should be sent to Richard Lower technical corrections to a rule that was to growers. However, these costs are at the previously mentioned address in published in the Federal Register on offset by the benefits derived by the the FOR FURTHER INFORMATION CONTACT August 7, 2018. The Commission operation of the Order. In addition, the section. adopted amendments to the regulatory Committee’s meeting was widely After consideration of all relevant requirements in Regulation ATS under publicized throughout the Oregon and material presented, including the the Securities Exchange Act of 1934 Washington fresh pear industry. All information and recommendation applicable to alternative trading systems interested persons were invited to submitted by the Committee and other (‘‘ATSs’’) that trade National Market attend the meeting and participate in available information, it is hereby found System (‘‘NMS’’) stocks (hereinafter Committee deliberations on all issues. that this rule, will tend to effectuate the referred to as ‘‘NMS Stock ATSs’’), Like all Committee meetings, the May declared policy of the Act. which included, among other items, 31, 2018, meeting was a public meeting Form ATS–N. This document is being and all entities, both large and small, List of Subjects in 7 CFR Part 927 published to correct a citation contained were able to express views on this issue. Marketing agreements, Pears, in the adopted language of Part III, Item In accordance with the Paperwork Reporting and recordkeeping 15.a of Form ATS–N. Reduction Act of 1995 (44 U.S.C. requirements. DATES: Effective November 13, 2018. Chapter 35), the Order’s information For the reasons set forth in the FOR FURTHER INFORMATION CONTACT: collection requirements have been preamble, 7 CFR part 927 is amended as Tyler Raimo, Senior Special Counsel, at previously approved by the OMB and (202) 551–6227; Matthew Cursio, follows: assigned OMB No. 0581–0189 Fruit Special Counsel, at (202) 551–5748; Crops. No changes in those PART 927—PEARS GROWN IN Marsha Dixon, Special Counsel, at (202) requirements are necessary as a result of OREGON AND WASHINGTON 551–5782; Jennifer Dodd, Special this action. Should any changes become Counsel, at (202) 551–5653; David necessary, they would be submitted to ■ 1. The authority citation for 7 CFR Garcia, Special Counsel, at (202) 551– OMB for approval. part 927 continues to read as follows: 5681; or Megan Mitchell, Special This rule imposes no additional Counsel, at (202) 551–4887; Office of reporting or recordkeeping requirements Authority: 7 U.S.C. 601–674. Market Supervision, Division of Trading on either small or large Oregon and ■ 2. In § 927.236, the introductory text and Markets, Securities and Exchange Washington fresh pear handlers. As and paragraphs (a) and (b) are revised to Commission, 100 F Street NE, with all Federal marketing order read as follows: Washington, DC 20549–7010. programs, reports and forms are § 927.236 Assessment rate. SUPPLEMENTARY INFORMATION: We are periodically reviewed to reduce On and after July 1, 2018, the making a technical amendment to Part information requirements and following base rates of assessment for III, Item 15.a of Form ATS–N under 17 duplication by industry and public sector agencies. USDA has not fresh pears are established for the Fresh CFR 249.640. identified any relevant Federal rules Pear Committee: List of Subjects in 17 CFR Part 249 that duplicate, overlap, or conflict with (a) $0.463 per 44-pound net weight standard box or container equivalent for Brokers, Reporting and recordkeeping this final rule. requirements, Securities. AMS is committed to complying with any or all varieties or subvarieties of the E-Government Act, to promote the fresh pears classified as ‘‘summer/fall’’; Statutory Authority and Text of use of the internet and other (b) $0.463 per 44-pound net weight Amendments information technologies to provide standard box or container equivalent for For the reasons set out above, title 17, increased opportunities for citizen any or all varieties or subvarieties of chapter II of the Code of Federal access to Government information and fresh pears classified as ‘‘winter’’; and Regulations is amended as follows: services, and for other purposes. * * * * * A proposed rule concerning this PART 249—FORMS, SECURITIES Dated: November 7, 2018. action was published in the Federal EXCHANGE ACT OF 1934 Register on August 28, 2018 (83 FR Bruce Summers, 43799). Copies of the proposed rule Administrator, Agricultural Marketing ■ 1. The authority citation for part 249 were also mailed or sent via facsimile to Service. continues to read in part as follows: all Oregon and Washington fresh pear [FR Doc. 2018–24728 Filed 11–9–18; 8:45 am] Authority: 15 U.S.C. 78a et seq. and 7201 handlers. The proposal was made BILLING CODE 3410–02–P et seq.; 12 U.S.C. 5461 et seq.; 18 U.S.C. 1350; available through the internet by USDA Sec. 953(b), Pub. L. 111–203, 124 Stat. 1904; and the Office of the Federal Register. A Sec. 102(a)(3), Pub. L. 112–106, 126 Stat. 309 30-day comment period ending SECURITIES AND EXCHANGE (2012); Sec. 107, Pub. L. 112–106, 126 Stat. 313 (2012), and Sec. 72001, Pub. L. 114–94, September 27, 2018, was provided for COMMISSION 129 Stat. 1312 (2015), unless otherwise interested persons to respond to the noted. proposal. One comment was received 17 CFR Part 249 * * * * * during the comment period. The [Release No. 34–84541; File No. S7–23–15] commenter was in favor of the ■ 2. Amend Form ATS–N (referenced in regulation. Accordingly, no changes will RIN 3235–AL66 § 249.640) by revising Part III, Item 15.a be made to the rule as proposed, based to read as follows: amozie on DSK3GDR082PROD with RULES on the comment received. Regulation of NMS Stock Alternative Note: The text of Form ATS–N does not, A small business guide on complying Trading Systems and this amendment will not, appear in the with fruit, vegetable, and specialty crop Code of Federal Regulations. AGENCY: Securities and Exchange marketing agreements and orders may Commission. be viewed at: http://www.ams.usda.gov/ Form ATS–N ACTION: Final rule; technical correction. rules-regulations/moa/small-businesses. * * * * * VerDate Sep<11>2014 16:36 Nov 09, 2018 Jkt 247001 PO 00000 Frm 00003 Fmt 4700 Sfmt 4700 E:\FR\FM\13NOR1.SGM 13NOR1

56258 Federal Register / Vol. 83, No. 219 / Tuesday, November 13, 2018 / Rules and Regulations Item 15: Display proposes to amend the color additive enforcement period, entry into, regulations in part 73 (21 CFR part 73), transiting, or anchoring in the safety a. Does the NMS Stock ATS operate as ‘‘Listing of Color Additives Exempt zone is prohibited to all vessels not an Electronic Communication Network From Certification,’’ to provide for the registered with the sponsor as as defined in Rule 600(b)(23) of safe use of an aqueous extract of participants or official patrol vessels, Regulation NMS? butterfly pea flower (Clitoria ternatea) unless specifically authorized by the Yes b No b as a color additive in: (1) Alcoholic Captain of the Port Marine Safety Unit * * * * * beverages (liquor, liqueurs, and flavored Pittsburgh (COTP) or a designated Dated: November 6, 2018. alcoholic beverages); (2) ready-to-drink representative. non-alcoholic beverages; (3) liquid DATES: The regulations in 33 CFR Eduardo A. Aleman, coffee creamers (dairy and non-dairy); 165.801 Table 1, line 37 will be Assistant Secretary. (4) ice cream and frozen dairy desserts; enforced from 9 p.m. through 11:30 p.m. [FR Doc. 2018–24549 Filed 11–9–18; 8:45 am] (5) fruit preparation in yogurt; (6) on November 16, 2018. BILLING CODE 8011–01–P chewing gum; (7) coated nuts; (8) hard FOR FURTHER INFORMATION CONTACT: If candy; and (9) soft candy, at levels you have questions about this notice of consistent with good manufacturing DEPARTMENT OF HEALTH AND enforcement, call or email Petty Officer practice. HUMAN SERVICES Jennifer Haggins, Marine Safety Unit The petitioner has claimed that this Pittsburgh, U.S. Coast Guard; telephone action is categorically excluded under Food and Drug Administration 412–221–0807, email 21 CFR 25.32(k) because the substance Jennifer.L.Haggins@uscg.mil. is intended to remain in food through 21 CFR Part 73 ingestion by consumers and is not SUPPLEMENTARY INFORMATION: The Coast intended to replace macronutrients in Guard will enforce a temporary safety [Docket No. FDA–2018–C–4117] food. In addition, the petitioner has Zone for the Pittsburgh Downtown Sensient Colors, LLC; Filing of Color stated that, to their knowledge, no Partnership/Light Up Night Fireworks Additive Petition extraordinary circumstances exist. If in 33 CFR 165.801 Table 1 titled ‘‘Sector FDA determines a categorical exclusion Ohio Valley Annual and Recurring AGENCY: Food and Drug Administration, applies, neither an environmental Safety Zones’’, line 37 from 9 p.m. HHS. assessment nor an environmental through 11:30 p.m. on November 16, ACTION: Notification of petition. impact statement is required. If FDA 2018. This action is being taken to determines a categorical exclusion does provide for the safety of persons, SUMMARY: The Food and Drug vessels, and the marine environment on not apply, we will request an Administration (FDA or we) is the navigable waters of the Allegheny environmental assessment and make it announcing that we have filed a River during this event. Our regulation available for public inspection. petition, submitted by Sensient Colors, for marine events within the Eighth LLC, proposing that the color additive Dated: November 6, 2018. Coast Guard District, § 165.801 specifies regulations be amended to provide for Leslie Kux, the location of the regulated area for the the safe use of an aqueous extract of Associate Commissioner for Policy. Pittsburgh Downtown Partnership/Light butterfly pea flower (Clitoria ternatea) [FR Doc. 2018–24662 Filed 11–9–18; 8:45 am] Up Night Fireworks. Entry into the as a color additive in various food BILLING CODE 4164–01–P safety zone is prohibited unless categories, at levels consistent with authorized by the Captain of the Port good manufacturing practice. Marine Safety Unit Pittsburgh (COTP) or DATES: The color additive petition was DEPARTMENT OF HOMELAND a designated representative. Persons or filed on October 4, 2018. SECURITY vessels desiring to enter into or passage ADDRESSES: For access to the docket to through the safety zone must request read background documents or Coast Guard permission from the COTP or a comments received, go to https:// designated representative. They can be www.regulations.gov and insert the 33 CFR Part 165 reached on VHF FM channel 16. If docket number found in brackets in the [Docket No. USCG–2018–0964] permission is granted, all persons and heading of this document into the vessels shall comply with the ‘‘Search’’ box and follow the prompts, Safety Zone; Allegheny River, Miles instructions of the COTP or designated and/or go to the Dockets Management 0.0–1.0, Pittsburgh, PA representative. Staff, 5630 Fishers Lane, Rm. 1061, In addition to this notice of Rockville, MD 20852. AGENCY: Coast Guard, DHS. enforcement in the Federal Register, the ACTION: Notice of enforcement of COTP or a designated representative FOR FURTHER INFORMATION CONTACT: regulation. will inform the public through Stephen DiFranco, Center for Food Safety and Applied Nutrition, Food and Broadcast Notices to Mariners (BNMs), SUMMARY: The Coast Guard will enforce Local Notices to Mariners (LNMs), Drug Administration, 5001 Campus Dr., the safety zone for the Pittsburgh College Park, MD 20740, 240–402–2710. Marine Safety Information Bulletins Downtown Partnership/Light Up Night (MSIBs), and/or through other means of SUPPLEMENTARY INFORMATION: Under Fireworks to provide for the safety of public notice as appropriate at least 24 section 721(d)(1) of the Federal Food, persons, vessels, and the marine hours in advance of enforcement. Drug, and Cosmetic Act (21 U.S.C. environment on the navigable waters of amozie on DSK3GDR082PROD with RULES 379e(d)(1)), we are giving notice that we the Allegheny River, miles 0.0 to 1.0, Dated: October 29, 2018. have filed a color additive petition (CAP extending the entire width of the river. A.W. Demo, 8C0313) submitted by Exponent, Inc. on Our regulation for marine events within Commander, U.S. Coast Guard, Captain of behalf of Sensient Colors, LLC, 1150 the Eighth Coast Guard District the Port Marine Safety Unit Pittsburgh. Connecticut Ave. NW, Suite 1100, identifies the regulated area for this [FR Doc. 2018–24624 Filed 11–9–18; 8:45 am] Washington, DC 20036. The petition event in Pittsburgh, PA. During the BILLING CODE 9110–04–P VerDate Sep<11>2014 16:36 Nov 09, 2018 Jkt 247001 PO 00000 Frm 00004 Fmt 4700 Sfmt 9990 E:\FR\FM\13NOR1.SGM 13NOR1


Document Created: 2018-11-10 03:18:41
Document Modified: 2018-11-10 03:18:41
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionRules and Regulations
ActionFinal rule; technical correction.
DatesEffective November 13, 2018.
ContactTyler Raimo, Senior Special Counsel, at (202) 551-6227; Matthew Cursio, Special Counsel, at (202) 551-5748; Marsha Dixon, Special Counsel, at (202) 551-5782; Jennifer Dodd, Special Counsel, at (202) 551-5653; David Garcia, Special Counsel, at (202) 551-5681; or Megan Mitchell, Special Counsel, at (202) 551-4887; Office of Market Supervision, Division of Trading and Markets, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-7010.
FR Citation83 FR 56257 
RIN Number3235-AL66
CFR AssociatedBrokers; Reporting and Recordkeeping Requirements and Securities
2025 Federal Register | Disclaimer | Privacy Policy
USC | CFR | eCFR