83 FR 58306 - Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 503 To Adopt Interpretations and Policies .02 and .03

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 83, Issue 223 (November 19, 2018)

Page Range		58306-58307
FR Document		2018-25096
Federal Register, Volume 83 Issue 223 (Monday, November 19, 2018)
[Federal Register Volume 83, Number 223 (Monday, November 19, 2018)]
[Notices]
[Pages 58306-58307]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-25096]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-84578; File No. SR-MIAX-2018-32]


Self-Regulatory Organizations; Miami International Securities 
Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed 
Rule Change To Amend Exchange Rule 503 To Adopt Interpretations and 
Policies .02 and .03

November 13, 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 November 9, 2018, Miami International 
Securities Exchange, LLC (``MIAX Options'' or the ``Exchange'') filed 
with the Securities and Exchange Commission (``Commission'') 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.
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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 is filing a proposal to relocate Rule 1809(f) 
(``SPIKES Index Options Settlement'') and Rule 1809, Interpretations 
and Policies .06 (``SPIKES Special Settlement Auction'') into Rule 503, 
Openings on the Exchange, new Interpretations and Policies .02 and .03.
    The text of the proposed rule change is available on the Exchange's 
website at http://www.miaxoptions.com/rule-filings/ at MIAX Options' 
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 Exchange proposes to adopt new Interpretations and Policies 
.02, to Rule 503 (``Openings on the Exchange''), in order to relocate 
existing Exchange Rule 1809(f), SPIKES Index Options Settlement, to 
Rule 503. The Exchange also proposes to adopt new Interpretations and 
Policies .03, to Rule 503, in order to similarly relocate existing 
Exchange Rule 1809, Interpretations and Policies .06, SPIKES Special 
Settlement Auction. This proposal seeks to better organize the rules of 
the Exchange in order to make the rules easier to read and to ensure 
that these rules apply only to MIAX Options. The Exchange notes that 
the changes proposed herein are non-substantive rule changes, and do 
not modify the application the rules which the Exchange proposes to 
relocate.
    The Exchange notes, by way of background, that on June 28, 2018, 
the Exchange filed with the Commission a proposal to list and trade on 
the Exchange, options on the SPIKES\TM\ Index, a new index that 
measures expected 30-day volatility of the SPDR S&P 500 ETF Trust 
(commonly known and referred to by its ticker symbol, ``SPY'').\3\ To 
facilitate trading options on the Index the Exchange made certain 
amendments to Rule 1809.\4\ By virtue of the exemption from the rule 
filing requirements of Section 19(b) of the Act, the rule amendments 
were automatically incorporated by reference into the rules of the 
Exchange's affiliate MIAX PEARL, LLC (``MIAX PEARL''). However, the 
procedures described in Rule 1809(f) and Rule 1809, Interpretations and 
Policies .06 do not apply to MIAX PEARL, as these rules relate to 
SPIKES Index Options Settlement procedures and the SPIKES Special 
Settlement Auction, which will not occur on MIAX PEARL. Therefore, the 
Exchange believes that by now relocating these rules, it will avoid 
confusion and provide greater clarity and readability to the rules.
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    \3\ See Securities Exchange Act Release No. 84417 (October 12, 
2018), 83 FR 52865 (October 18, 2018) (SR-MIAX-2018-14) (Order 
Granting Approval of a Proposed Rule Change by Miami International 
Securities Exchange, LLC to List and Trade on the Exchange Options 
on the SPIKES\TM\ Index).
    \4\ See id.
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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.
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    \5\ 15 U.S.C. 78f(b).
    \6\ 15 U.S.C. 78f(b)(5).
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    The Exchange believes the proposed change promotes just and 
equitable principles of trade and removes impediments to and perfects 
the mechanism of a free and open market and a national market system 
because the proposed rule change improves the way the Exchange's 
rulebook is organized, making it easier to read, and avoids confusion 
by moving rules which are not applicable to the Exchange's affiliate, 
MIAX PEARL, into a different chapter of rules which is not incorporated 
by reference into to the rules of MIAX PEARL, therefore, helping market 
participants to better understand the rules of the Exchange and of its 
affiliate. The Exchange notes that the proposed change does not alter 
the application of each rule. As such, the proposed amendment would 
foster cooperation and coordination with persons engaged in 
facilitating transactions in securities and would remove impediments to 
and perfect the mechanism of a free and open market and a national 
exchange system. In particular, the Exchange believes that the proposed 
change will provide greater clarity to Members \7\ and the

[[Page 58307]]

public regarding the Exchange's Rules. It is in the public interest for 
rules to be accurate and concise so as to eliminate the potential for 
confusion.
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    \7\ The term ``Member'' means an individual or organization 
approved to exercise the trading rights associated with a Trading 
Permit. Members are deemed ``members'' under the Exchange Act. See 
Exchange Rule 100.
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B. Self-Regulatory Organization's Statement on Burden on Competition

    MIAX Options 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 proposed rule change 
will have no impact on competition as it is not designed to address any 
competitive issues but rather is designed to add additional clarity to 
existing rules and to make a non-substantive change by relocating the 
rules to a different chapter in the Exchange's rulebook.
    The Exchange does not believe that the proposed rule change will 
impose any burden on intermarket competition as the Rules apply equally 
to all Exchange Members.

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 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 \8\ and Rule 19b-4(f)(6) thereunder.\9\
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    \8\ 15 U.S.C. 78s(b)(3)(A).
    \9\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6) 
requires a self-regulatory organization to give the Commission 
written notice of its intent to file 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. 
The Exchange has satisfied this requirement.
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    A proposed rule change filed pursuant to Rule 19b-4(f)(6) under the 
Act \10\ normally does not become operative for 30 days after the date 
of its 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 Exchange may relocate these rules immediately so as to improve the 
organization of its rulebook and to avoid confusion for market 
participants reading the rules of the Exchange's affiliate, MIAX PEARL. 
The Commission believes the waiver of the 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.\12\
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    \10\ 17 CFR 240.19b-4(f)(6).
    \11\ 17 CFR 240.19b-4(f)(6)(iii).
    \12\ 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).
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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 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-MIAX-2018-32 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-MIAX-2018-32. 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 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-MIAX-2018-32 and should be submitted on 
or before December 10, 2018.

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\13\
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    \13\ 17 CFR 200.30-3(a)(12).
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Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-25096 Filed 11-16-18; 8:45 am]
 BILLING CODE 8011-01-P
58306 Federal Register / Vol. 83, No. 223 / Monday, November 19, 2018 / Notices

Public Representative: Christopher C. http://www.miaxoptions.com/rule- the rule amendments were
Mohr; Comments Due: November 20, filings/ at MIAX Options’ principal automatically incorporated by reference
2018. office, and at the Commission’s Public into the rules of the Exchange’s affiliate
5. Docket No(s).: MC2019–16 and Reference Room. MIAX PEARL, LLC (‘‘MIAX PEARL’’).
CP2019–16; Filing Title: USPS Request However, the procedures described in
II. Self-Regulatory Organization’s
to Add Priority Express & Priority Mail Rule 1809(f) and Rule 1809,
Statement of the Purpose of, and
Contract 75 to Competitive Product List Statutory Basis for, the Proposed Rule Interpretations and Policies .06 do not
and Notice of Filing Materials Under Change apply to MIAX PEARL, as these rules
Seal; Filing Acceptance Date: November relate to SPIKES Index Options
9, 2018; Filing Authority: 39 U.S.C. In its filing with the Commission, the Settlement procedures and the SPIKES
3642, 39 CFR 3020.30 et seq., and 39 Exchange included statements Special Settlement Auction, which will
CFR 3015.5; Public Representative: concerning the purpose of and basis for not occur on MIAX PEARL. Therefore,
Curtis E. Kidd; Comments Due: the proposed rule change and discussed the Exchange believes that by now
November 20, 2018. any comments it received on the relocating these rules, it will avoid
proposed rule change. The text of these confusion and provide greater clarity
This Notice will be published in the statements may be examined at the
Federal Register. and readability to the rules.
places specified in Item IV below. The
Stacy L. Ruble, Exchange has prepared summaries, set 2. Statutory Basis
Secretary. forth in sections A, B, and C below, of The Exchange believes that its
[FR Doc. 2018–25095 Filed 11–16–18; 8:45 am] the most significant aspects of such proposed rule change is consistent with
BILLING CODE 7710–FW–P statements. Section 6(b) of the Act 5 in general, and
A. Self-Regulatory Organization’s furthers the objectives of Section 6(b)(5)
Statement of the Purpose of, and of the Act 6 in particular, in that it is
SECURITIES AND EXCHANGE Statutory Basis for, the Proposed Rule designed to prevent fraudulent and
COMMISSION Change manipulative acts and practices, to
[Release No. 34–84578; File No. SR–MIAX– promote just and equitable principles of
1. Purpose trade, to foster cooperation and
2018–32]
The Exchange proposes to adopt new coordination with persons engaged in
Self-Regulatory Organizations; Miami Interpretations and Policies .02, to Rule facilitating transactions in securities, to
International Securities Exchange, 503 (‘‘Openings on the Exchange’’), in remove impediments to and perfect the
LLC; Notice of Filing and Immediate order to relocate existing Exchange Rule mechanisms of a free and open market
Effectiveness of Proposed Rule 1809(f), SPIKES Index Options and a national market system and, in
Change To Amend Exchange Rule 503 Settlement, to Rule 503. The Exchange general, to protect investors and the
To Adopt Interpretations and Policies also proposes to adopt new public interest.
.02 and .03 Interpretations and Policies .03, to Rule The Exchange believes the proposed
503, in order to similarly relocate change promotes just and equitable
November 13, 2018. existing Exchange Rule 1809, principles of trade and removes
Pursuant to the provisions of Section Interpretations and Policies .06, SPIKES impediments to and perfects the
19(b)(1) of the Securities Exchange Act Special Settlement Auction. This mechanism of a free and open market
of 1934 (‘‘Act’’),1 and Rule 19b–4 proposal seeks to better organize the and a national market system because
thereunder,2 notice is hereby given that rules of the Exchange in order to make the proposed rule change improves the
on November 9, 2018, Miami the rules easier to read and to ensure way the Exchange’s rulebook is
International Securities Exchange, LLC that these rules apply only to MIAX organized, making it easier to read, and
(‘‘MIAX Options’’ or the ‘‘Exchange’’) Options. The Exchange notes that the avoids confusion by moving rules which
filed with the Securities and Exchange changes proposed herein are non- are not applicable to the Exchange’s
Commission (‘‘Commission’’) a substantive rule changes, and do not affiliate, MIAX PEARL, into a different
proposed rule change as described in modify the application the rules which chapter of rules which is not
Items I and II below, which Items have the Exchange proposes to relocate. incorporated by reference into to the
been prepared by the Exchange. The The Exchange notes, by way of rules of MIAX PEARL, therefore,
Commission is publishing this notice to background, that on June 28, 2018, the helping market participants to better
solicit comments on the proposed rule Exchange filed with the Commission a understand the rules of the Exchange
change from interested persons. proposal to list and trade on the and of its affiliate. The Exchange notes
I. Self-Regulatory Organization’s Exchange, options on the SPIKESTM that the proposed change does not alter
Statement of the Terms of Substance of Index, a new index that measures the application of each rule. As such,
the Proposed Rule Change expected 30-day volatility of the SPDR the proposed amendment would foster
S&P 500 ETF Trust (commonly known cooperation and coordination with
The Exchange is filing a proposal to and referred to by its ticker symbol, persons engaged in facilitating
relocate Rule 1809(f) (‘‘SPIKES Index ‘‘SPY’’).3 To facilitate trading options on transactions in securities and would
Options Settlement’’) and Rule 1809, the Index the Exchange made certain remove impediments to and perfect the
Interpretations and Policies .06 amendments to Rule 1809.4 By virtue of mechanism of a free and open market
(‘‘SPIKES Special Settlement Auction’’) the exemption from the rule filing and a national exchange system. In
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into Rule 503, Openings on the requirements of Section 19(b) of the Act, particular, the Exchange believes that
Exchange, new Interpretations and the proposed change will provide
Policies .02 and .03. 3 See Securities Exchange Act Release No. 84417
greater clarity to Members 7 and the
The text of the proposed rule change (October 12, 2018), 83 FR 52865 (October 18, 2018)
(SR–MIAX–2018–14) (Order Granting Approval of a
is available on the Exchange’s website at Proposed Rule Change by Miami International 5 15U.S.C. 78f(b).
Securities Exchange, LLC to List and Trade on the 6 15U.S.C. 78f(b)(5).
1 15 U.S.C. 78s(b)(1). Exchange Options on the SPIKESTM Index). 7 The term ‘‘Member’’ means an individual or
2 17 CFR 240.19b–4. 4 See id. organization approved to exercise the trading rights

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Federal Register / Vol. 83, No. 223 / Monday, November 19, 2018 / Notices 58307

public regarding the Exchange’s Rules. the Commission to waive the 30-day change that are filed with the
It is in the public interest for rules to be operative delay so that the Exchange Commission, and all written
accurate and concise so as to eliminate may relocate these rules immediately so communications relating to the
the potential for confusion. as to improve the organization of its proposed rule change between the
rulebook and to avoid confusion for Commission and any person, other than
B. Self-Regulatory Organization’s market participants reading the rules of those that may be withheld from the
Statement on Burden on Competition the Exchange’s affiliate, MIAX PEARL. public in accordance with the
MIAX Options does not believe that The Commission believes the waiver of provisions of 5 U.S.C. 552, will be
the proposed rule change will impose the operative delay is consistent with available for website viewing and
any burden on competition that is not the protection of investors and the printing in the Commission’s Public
necessary or appropriate in furtherance public interest. Accordingly, the Reference Room, 100 F Street NE,
of the purposes of the Act. The Commission hereby waives the Washington, DC 20549, on official
proposed rule change will have no operative delay and designates the business days between the hours of
impact on competition as it is not proposed rule change operative upon 10:00 a.m. and 3:00 p.m. Copies of the
designed to address any competitive filing.12 filing also will be available for
issues but rather is designed to add At any time within 60 days of the inspection and copying at the principal
additional clarity to existing rules and filing of the proposed rule change, the office of the Exchange. All comments
to make a non-substantive change by Commission summarily may received will be posted without change.
relocating the rules to a different temporarily suspend such rule change if Persons submitting comments are
chapter in the Exchange’s rulebook. it appears to the Commission that such cautioned that we do not redact or edit
The Exchange does not believe that action is necessary or appropriate in the personal identifying information from
the proposed rule change will impose public interest, for the protection of comment submissions. You should
any burden on intermarket competition investors, or otherwise in furtherance of submit only information that you wish
as the Rules apply equally to all the purposes of the Act. If the to make available publicly. All
Exchange Members. Commission takes such action, the submissions should refer to File
Commission shall institute proceedings Number SR–MIAX–2018–32 and should
C. Self-Regulatory Organization’s to determine whether the proposed rule
Statement on Comments on the be submitted on or before December 10,
should be approved or disapproved. 2018.
Proposed Rule Change Received From
Members, Participants, or Others IV. Solicitation of Comments For the Commission, by the Division of
Interested persons are invited to Trading and Markets, pursuant to delegated
Written comments were neither
submit written data, views, and authority.13
solicited nor received.
arguments concerning the foregoing, Eduardo A. Aleman,
III. Date of Effectiveness of the including whether the proposed rule Assistant Secretary.
Proposed Rule Change and Timing for change is consistent with the Act. [FR Doc. 2018–25096 Filed 11–16–18; 8:45 am]
Commission Action Comments may be submitted by any of BILLING CODE 8011–01–P
Because the proposed rule change the following methods:
does not (i) significantly affect the Electronic Comments
protection of investors or the public SECURITIES AND EXCHANGE
interest; (ii) impose any significant • Use the Commission’s internet COMMISSION
burden on competition; and (iii) become comment form (http://www.sec.gov/
rules/sro.shtml); or [Release No. 34–84577; File No. SR–CBOE–
operative for 30 days from the date on
which it was filed, or such shorter time • Send an email to rule-comments@ 2018–068]

as the Commission may designate, it has sec.gov. Please include File Number SR–
Self-Regulatory Organizations; Cboe
become effective pursuant to Section MIAX–2018–32 on the subject line.
Exchange, Inc.; Notice of Filing and
19(b)(3)(A) of the Act 8 and Rule 19b– Paper Comments Immediate Effectiveness of a Proposed
4(f)(6) thereunder.9 • Send paper comments in triplicate Rule Change Relating To Amend the
A proposed rule change filed Volume Incentive Program
to Secretary, Securities and Exchange
pursuant to Rule 19b–4(f)(6) under the
Commission, 100 F Street NE, November 13, 2018.
Act 10 normally does not become
Washington, DC 20549–1090. Pursuant to Section 19(b)(1) of the
operative for 30 days after the date of its
filing. However, Rule 19b–4(f)(6)(iii) 11 All submissions should refer to File Securities Exchange Act of 1934 (the
permits the Commission to designate a Number SR–MIAX–2018–32. This file ‘‘Act’’),1 and Rule 19b–4 thereunder,2
shorter time if such action is consistent number should be included on the notice is hereby given that on November
with the protection of investors and the subject line if email is used. To help the 1, 2018, Cboe Exchange, Inc. (the
public interest. The Exchange has asked Commission process and review your ‘‘Exchange’’ or ‘‘Cboe Options’’) filed
comments more efficiently, please use with the Securities and Exchange
associated with a Trading Permit. Members are only one method. The Commission will Commission (the ‘‘Commission’’) the
deemed ‘‘members’’ under the Exchange Act. See post all comments on the Commission’s proposed rule change as described in
Exchange Rule 100. internet website (http://www.sec.gov/ Items I, II, and III below, which Items
8 15 U.S.C. 78s(b)(3)(A).
rules/sro.shtml). Copies of the have been prepared by the Exchange.
9 17 CFR 240.19b–4(f)(6). In addition, Rule 19b–
submission, all subsequent
khammond on DSK30JT082PROD with NOTICES

4(f)(6) requires a self-regulatory organization to give The Commission is publishing this
the Commission written notice of its intent to file amendments, all written statements notice to solicit comments on the
the proposed rule change at least five business days with respect to the proposed rule proposed rule change from interested
prior to the date of filing of the proposed rule persons.
change, or such shorter time as designated by the 12 For purposes only of waiving the 30-day
Commission. The Exchange has satisfied this operative delay, the Commission has also
requirement. considered the proposed rule’s impact on
13 17 CFR 200.30–3(a)(12).
10 17 CFR 240.19b–4(f)(6). 1 15 U.S.C. 78s(b)(1).
efficiency, competition, and capital formation. See
11 17 CFR 240.19b–4(f)(6)(iii). 15 U.S.C. 78c(f). 2 17 CFR 240.19b–4.

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Document Created: 2018-11-17 02:47:14
Document Modified: 2018-11-17 02:47:14
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 58306