83 FR 58800 - Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of Filing of a Proposed Rule Change Regarding Minor Rule Violations
SECURITIES AND EXCHANGE COMMISSION Federal Register Volume 83, Issue 225 (November 21, 2018)
Federal Register Volume 83, Issue 225 (November 21, 2018)
| Page Range | 58800-58802 | |
| FR Document | 2018-25358 |
[Federal Register Volume 83, Number 225 (Wednesday, November 21, 2018)] [Notices] [Pages 58800-58802] From the Federal Register Online [www.thefederalregister.org] [FR Doc No: 2018-25358] ----------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION [Release No. 34-84601; File No. SR-CFE-2018-001] Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of Filing of a Proposed Rule Change Regarding Minor Rule Violations November 15, 2018. Pursuant to Section 19(b)(7) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on October 31, 2018 Cboe Futures Exchange, LLC (``CFE'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule change described in Items I, II, and III below, which Items have been prepared by CFE. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. CFE also has filed this proposed rule change with the Commodity Futures Trading Commission (``CFTC''). CFE filed a written certification with the CFTC under Section 5c(c) of the Commodity Exchange Act (``CEA'') \2\ on October 31, 2018. --------------------------------------------------------------------------- \1\ 15 U.S.C. 78s(b)(7). \2\ 7 U.S.C. 7a-2(c). --------------------------------------------------------------------------- I. Self-Regulatory Organization's Description of the Proposed Rule Change The Exchange proposes to amend its rules regarding the processing of minor rule violations. The scope of this filing is limited solely to the application of the proposed rule amendments to security futures that may be traded on CFE. Although no security futures are currently listed for trading on CFE, CFE may list security futures for trading in the future. The text of the proposed rule change is attached as Exhibit 4 to the filing but is not attached to the publication of this notice. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, CFE 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. CFE 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 CFE Rule 714 (Imposition of Fines for Minor Rule Violations) provides for the issuance of letters of caution or summary fines for specified types of minor CFE rule violations instead of addressing these violations through formal disciplinary proceedings. Each violation type under Rule 714 has a summary fine schedule that includes increasing monetary fines for subsequent violations by a party during a specified rolling time period and a referral of that party to the CFE Business Conduct Committee once that party has committed a certain number of violations within that rolling time period. The referral to the BCC is so that a panel of the BCC (``BCC Panel'') may determine whether or not to authorize the issuance of a statement of charges against the party and proceed with a formal disciplinary proceeding with regard to the matter. CFE is making amendments to Rule 714 in conjunction with other rule amendments being made by CFE to its disciplinary rules, including to Rule 714, that are not required to be submitted to the Commission pursuant [[Page 58801]] to Section 19(b)(7) of the Act \3\ and thus are not included as part of this rule change. One of these other rule amendments is to vest in CFE's Chief Regulatory Officer (``CRO'') instead of in a BCC Panel the authority to determine whether to issue a statement charges in a CFE disciplinary matter. --------------------------------------------------------------------------- \3\ 15 U.S.C. 78s(b)(7). --------------------------------------------------------------------------- Since BCC Panels will no longer be determining whether to issue statements of charges, the proposed rule change deletes referral to the BCC from each of the summary fine schedules under Rule 714 that addresses violations of CFE rule provisions related to recordkeeping and reporting requirements. These summary fine schedules include the summary fine schedules under the following subparagraphs of Rule 714(f) which have the following titles and relate back to the following CFE rule provisions referenced in those titles: (i) Rule 714(f)(i) relating to Failure to Include an Order Entry Operator ID with Order that is Submitted to the CFE System (CFE Rule 303A(a)), Improper Use of Order Entry Operator IDs (Rules 303A(b) and 303A(c)), and Failure to Comply with Issuance, Recordkeeping, and Reporting Requirements Related to Order Entry Operator IDs (Rule 303A(d)); (ii) Rule 714(f)(ii) relating to Failure to Identify Correct Customer Type Indicator Code in Order (CFE Rule 403(a)(x)); (iii) Rule 714(f)(iii) relating to Failure to Provide Correct Account Designation in Order (Rule 403(a)(xii)); (iv) Rule 714(f)(iv) relating to Failure to Comply with Order Form Preparation and Recordkeeping Requirements Relating to Orders Which Cannot Be Immediately Entered into the CFE System (Rule 403(b)) and Failure to Maintain Front-End Audit Trail Information for All Electronic Orders Entered into the CFE System, Including Order Modifications and Cancellations (Rule 403(c)); (v) Rule 714(f)(vi) relating to Failure to Comply with Notice Provisions for Position Accountability (CFE Rules 412A(c) and 412A(d)); (vi) Rule 714(f)(vii) relating to Failure to Comply with Reporting Requirements for Ownership and Control Reports and Reportable Positions (CFE Rules 412B(a), 412B(b), and 412B(c)); (vii) Rule 714(f)(viii) relating to Failure to Comply with Order Marking Requirement for Exchange of Contract for Related Position Transactions (CFE Rule 414(g)) and Failure to Comply with Recordkeeping Requirement for Exchange of Contract for Related Position Transactions (Rule 414(h)); (viii) Rule 714(f)(ix) relating to Failure to Comply with Exchange of Contract for Related Position Transaction Rule Provisions Relating to Authorized Reporter (Rule 414(i)); (ix) Rule 714(f)(x) relating to Failure to Comply with Exchange of Contract for Related Position Transaction Reporting Requirements (Rules 414(k) and 414(l)); (x) Rule 714(f)(xi) relating to Failure to Comply with Order Marking Requirement for Block Trades (CFE Rule 415(a)(i)(A)) and Failure to Comply with Recordkeeping Requirements for Block Trades (Rule 415(e)); (xi) Rule 714(f)(xiii) relating to Failure to Comply with Block Trade Rule Provisions Relating to Authorized Reporter (Rule 415(f)); (xii) Rule 714(f)(xiv) relating to Failure to Comply with Block Trade Reporting Requirements (Rules 415(h) and 415(i)); and (xiii) Rule 714(f)(xv) relating to Failure to Provide Books and Records Within Designated Time Frame (CFE Rule 502 and Other CFE Rules Allowing CFE to Request Books and Records). Regulatory staff already has the ability to proceed with a formal disciplinary proceeding whenever regulatory staff determines that any violation covered by Rule 714 is intentional, egregious, or otherwise not minor in nature. The proposed rule change also amends Rule 714(f) to clarify that regulatory staff may also proceed with a formal disciplinary proceeding if the number of recurring violations of a particular type covered by Rule 714 within the rolling time period for that type of violation warrants a formal disciplinary proceeding. Accordingly, with the proposed rule change, there will not be a need for a referral after a certain number of violations within the applicable rolling time period since regulatory staff may initiate a formal disciplinary proceeding for any violation covered by Rule 714 when circumstances warrant no matter the number of previous violations of that type. 2. Statutory Basis The Exchange believes that the proposed rule change is consistent with Section 6(b) of the Act,\4\ in general, and furthers the objectives of Sections 6(b)(5),\5\ 6(b)(6),\6\ and 6(b)(7) \7\ in particular in that it is designed: --------------------------------------------------------------------------- \4\ 15 U.S.C. 78f(b). \5\ 15 U.S.C. 78f(b)(5). \6\ 15 U.S.C. 78f(b)(6). \7\ 15 U.S.C. 78f(b)(7). ---------------------------------------------------------------------------To prevent fraudulent and manipulative acts and practices; to remove impediments to and perfect the mechanism of a free and open market and a national market system, and in general, to protect investors and the public interest; to have rules that provide that Exchange members and persons associated with Exchange members shall be appropriately disciplined for violation of the Act, the rules and regulations thereunder, or the rules of the Exchange, by expulsion, suspension, limitation of activities, functions, and operations, fine, censure, being suspended or barred from being associated with a member, or any other fitting sanction; and to provide a fair procedure for the disciplining of members and persons associated with members. The proposed rule change is consistent with these provisions in that CFE believes that the proposed rule change provides an effective and efficient means of disciplining parties for certain types of minor rule violations that do not warrant formal disciplinary proceedings while also permitting regulatory staff to initiate formal disciplinary proceedings for these types violations when circumstances warrant. B. Self-Regulatory Organization's Statement on Burden on Competition CFE does not believe that the proposed rule change will impose any burden on competition not necessary or appropriate in furtherance of the purposes of the Act in that the proposed rule change will improve the efficiency and functioning of CFE's disciplinary process by providing greater flexibility to regulatory staff to determine when to initiate a formal disciplinary proceeding for any violation covered by Rule 714. Additionally, CFE believes that the proposed amendments are equitable and not unfairly discriminatory because the changes will apply equally to all market participants. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others No written comments were solicited or received with respect to the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action The proposed rule change will become operative on November 15, 2018. At any time within 60 days of the date of effectiveness of the proposed rule change, the Commission, after consultation with the CFTC, may summarily abrogate the proposed rule [[Page 58802]] change and require that the proposed rule change be refiled in accordance with the provisions of Section 19(b)(1) of the Act.\8\ --------------------------------------------------------------------------- \8\ 15 U.S.C. 78s(b)(1). --------------------------------------------------------------------------- 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 rule-comments@sec.gov. Please include File Number SR-CFE-2018-001 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-CFE-2018-001. 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 such 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-CFE-2018-001, and should be submitted on or before December 12, 2018. --------------------------------------------------------------------------- \9\ 17 CFR 200.30-3(a)(73). For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.\9\ Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2018-25358 Filed 11-20-18; 8:45 am] BILLING CODE 8011-01-P
![58800 Federal Register / Vol. 83, No. 225 / Wednesday, November 21, 2018 / Notices
III. Date of Effectiveness of the Reference Room, 100 F Street NE, I. Self-Regulatory Organization’s
Proposed Rule Change and Timing for Washington, DC 20549, on official Description of the Proposed Rule
Commission Action business days between the hours of Change
The foregoing proposed rule change 10:00 a.m. and 3:00 p.m. Copies of such The Exchange proposes to amend its
has become effective upon filing filings will also be available for rules regarding the processing of minor
pursuant to Section 19(b)(3)(A) 9 of the inspection and copying at the principal rule violations. The scope of this filing
Act and Rule 19b–4(f)(2) 10 thereunder office of LCH SA and on LCH SA’s is limited solely to the application of the
because it establishes a fee or other website at https://www.lch.com/ proposed rule amendments to security
charge imposed by LCH SA on its resources/rules-and-regulations/ futures that may be traded on CFE.
Clearing Members. At any time within proposed-rule-changes-0. Although no security futures are
60 days of the filing of the proposed rule All comments received will be posted currently listed for trading on CFE, CFE
change, the Commission summarily may without change. Persons submitting may list security futures for trading in
temporarily suspend such proposed rule comments are cautioned that we do not the future. The text of the proposed rule
change if it appears to the Commission redact or edit personal identifying change is attached as Exhibit 4 to the
that such action is necessary or information from comment submissions. filing but is not attached to the
appropriate in the public interest, for publication of this notice.
You should submit only information
the protection of investors, or otherwise
that you wish to make available II. Self-Regulatory Organization’s
in furtherance of the purposes of the
publicly. All submissions should refer Statement of the Purpose of, and
Act.
to File Number SR–LCH SA–2018–005 Statutory Basis for, the Proposed Rule
IV. Solicitation of Comments and should be submitted on or before Change
Interested persons are invited to December 12, 2018.
submit written data, views, and In its filing with the Commission, CFE
For the Commission, by the Division of
arguments concerning the foregoing, included statements concerning the
Trading and Markets, pursuant to delegated
including whether the proposed rule purpose of and basis for the proposed
authority.11
change, as modified by Amendment No. rule change and discussed any
Eduardo A. Aleman, comments it received on the proposed
1, is consistent with the Act. Comments
Assistant Secretary. rule change. The text of these statements
may be submitted by any of the
following methods: [FR Doc. 2018–25342 Filed 11–20–18; 8:45 am] may be examined at the places specified
BILLING CODE 8011–01–P in Item IV below. CFE has prepared
Electronic Comments summaries, set forth in Sections A, B,
• Use the Commission’s internet and C below, of the most significant
comment form (http://www.sec.gov/ SECURITIES AND EXCHANGE aspects of such statements.
rules/sro.shtml) or COMMISSION A. Self-Regulatory Organization’s
• Send an email to rule-comments@
Statement of the Purpose of, and
sec.gov. Please include File Number SR– [Release No. 34–84601; File No. SR–CFE– Statutory Basis for, the Proposed Rule
LCH SA–2018–005 on the subject line. 2018–001] Change
Paper Comments
Self-Regulatory Organizations; Cboe 1. Purpose
• Send paper comments in triplicate Futures Exchange, LLC; Notice of
to Secretary, Securities and Exchange CFE Rule 714 (Imposition of Fines for
Filing of a Proposed Rule Change Minor Rule Violations) provides for the
Commission, 100 F Street NE,
Regarding Minor Rule Violations issuance of letters of caution or
Washington, DC 20549–1090.
All submissions should refer to File November 15, 2018.
summary fines for specified types of
Number SR–LCH SA–2018–005. This minor CFE rule violations instead of
Pursuant to Section 19(b)(7) of the addressing these violations through
file number should be included on the
Securities Exchange Act of 1934 formal disciplinary proceedings. Each
subject line if email is used. To help the
Commission process and review your (‘‘Act’’),1 notice is hereby given that on violation type under Rule 714 has a
comments more efficiently, please use October 31, 2018 Cboe Futures summary fine schedule that includes
only one method. The Commission will Exchange, LLC (‘‘CFE’’ or ‘‘Exchange’’) increasing monetary fines for
post all comments on the Commission’s filed with the Securities and Exchange subsequent violations by a party during
internet website (http://www.sec.gov/ Commission (‘‘SEC’’ or ‘‘Commission’’) a specified rolling time period and a
rules/sro.shtml). Copies of the the proposed rule change described in referral of that party to the CFE Business
submission, all subsequent Items I, II, and III below, which Items Conduct Committee once that party has
amendments, all written statements have been prepared by CFE. The committed a certain number of
with respect to the proposed rule Commission is publishing this notice to violations within that rolling time
change that are filed with the solicit comments on the proposed rule period. The referral to the BCC is so that
Commission, and all written change from interested persons. CFE a panel of the BCC (‘‘BCC Panel’’) may
communications relating to the also has filed this proposed rule change determine whether or not to authorize
proposed rule change between the with the Commodity Futures Trading the issuance of a statement of charges
Commission and any person, other than Commission (‘‘CFTC’’). CFE filed a against the party and proceed with a
written certification with the CFTC formal disciplinary proceeding with
khammond on DSK30JT082PROD with NOTICES
those that may be withheld from the
public in accordance with the under Section 5c(c) of the Commodity regard to the matter.
provisions of 5 U.S.C. 552, will be Exchange Act (‘‘CEA’’) 2 on October 31, CFE is making amendments to Rule
available for website viewing and 2018. 714 in conjunction with other rule
printing in the Commission’s Public amendments being made by CFE to its
11 17 CFR 200.30–3(a)(12). disciplinary rules, including to Rule
9 15 U.S.C. 78s(b)(3)(A). 1 15 U.S.C. 78s(b)(7). 714, that are not required to be
10 17 CFR 240.19b–4(f)(2). 2 7 U.S.C. 7a–2(c). submitted to the Commission pursuant
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![58802 Federal Register / Vol. 83, No. 225 / Wednesday, November 21, 2018 / Notices
change and require that the proposed be submitted on or before December 12, rules and procedures governing the
rule change be refiled in accordance 2018. program and is currently offered on a
with the provisions of Section 19(b)(1) For the Commission, by the Division of pilot basis.6 The pilot is scheduled to
of the Act.8 Trading and Markets, pursuant to delegated expire upon the earlier of the approval
authority.9 of this proposed rule change or
IV. Solicitation of Comments December 31, 2018.7 According to the
Eduardo A. Aleman,
Interested persons are invited to Assistant Secretary. Exchange, the Program is designed to
submit written data, views, and [FR Doc. 2018–25358 Filed 11–20–18; 8:45 am]
attract retail order flow and allow such
arguments concerning the foregoing, BILLING CODE 8011–01–P
order flow to receive potential price
including whether the proposed rule improvement.8
change is consistent with the Act. Under the Program, a class of market
Comments may be submitted by any of SECURITIES AND EXCHANGE participant called a Retail Member
the following methods: COMMISSION Organization (‘‘RMO’’) is eligible to
submit certain retail order flow (‘‘Retail
Electronic Comments [Release No. 34–84600; File No. SR– Orders’’) to the Exchange. A User 9 is
• Use the Commission’s internet CboeBYX–2018–014] permitted to provide potential price
comment form (http://www.sec.gov/ improvement for Retail Orders 10 by
Self-Regulatory Organizations; Cboe
rules/sro.shtml); or submitting Retail Price Improvement
BYX Exchange, Inc.; Order Instituting
• Send an email to rule-comments@ Proceedings To Determine Whether To
(‘‘RPI’’) Orders, which are non-
sec.gov. Please include File Number SR– displayed orders that are priced at least
Approve or Disapprove a Proposed
CFE–2018–001 on the subject line. $0.001 better than the best protected bid
Rule Change To Make Permanent
(‘‘PBB’’) or best protected offer (‘‘PBO’’)
Paper Comments Exchange Rule 11.24, Which Sets
(‘‘PBBO’’), as such terms are defined in
Forth the Exchange’s Pilot Retail Price
• Send paper comments in triplicate Improvement Program
Regulation NMS, and that is identified
to Secretary, Securities and Exchange as such.11 After an RPI Order is
Commission, 100 F Street NE, November 15, 2018. submitted, the Exchange disseminates
Washington, DC 20549–1090. an indicator through its proprietary data
I. Introduction
All submissions should refer to File feeds or through the Consolidated Tape
On July 30, 2018, Cboe BYX Association/Consolidated Quotation
Number SR–CFE–2018–001. This file
Exchange, Inc. (‘‘BYX’’ or the Plan for Tape A and Tape B securities
number should be included on the
‘‘Exchange’’) filed with the Securities
subject line if email is used. To help the
and Exchange Commission (the 6 In November 2012, the Commission approved
Commission process and review your ‘‘Commission’’), pursuant to Section the Program on a pilot basis. See Securities
comments more efficiently, please use 19(b)(1) of the Securities Exchange Act Exchange Act Release No. 68303 (November 27,
only one method. The Commission will of 1934 (‘‘Act’’) 1 and Rule 19b–4 2012), 77 FR 71652 (December 3, 2012) (‘‘RPI
post all comments on the Commission’s Approval Order’’) (SR–BYX–2012–019).
thereunder,2 a proposed rule change to 7 The Exchange implemented the Program on
internet website (http://www.sec.gov/ make permanent Exchange Rule 11.24, January 11, 2013, and has extended the pilot period
rules/sro.shtml). Copies of the which sets forth the Exchange’s pilot five times. See Securities Exchange Act Release
submission, all subsequent Retail Price Improvement Program. The Nos. 71249 (January 7, 2014), 79 FR 2229 (January
amendments, all written statements proposed rule change was published for
13, 2014) (SR–BYX–2014–001); 74111 (January 22,
with respect to the proposed rule 2015), 80 FR 4598 (January 28, 2015) (SR–BYX–
comment in the Federal Register on 2015–05); 76965 (January 22, 2016), 81 FR 4682
change that are filed with the August 17, 2018.3 On September 27, (January 27, 2016) (SR–BYX–2016–01); 78180 (June
Commission, and all written 2018, the Commission extended to 28, 2016), 81 FR 43306 (July 1, 2016) (SR–BYX–
communications relating to the November 15, 2018, the time period in 2016–15); and 81368 (August 10, 2017), 82 FR
proposed rule change between the 38960 (August 16, 2017) (SR–BYX–2017–18).
which to approve, disapprove, or 8 See Notice, supra note 3 at 41128.
Commission and any person, other than institute proceedings to determine 9 A ‘‘User’’ is defined in Exchange Rule 1.5(cc) as
those that may be withheld from the whether to approve or disapprove, the any member or sponsored participant of the
public in accordance with the proposed rule change.4 The Commission Exchange who is authorized to obtain access to the
provisions of 5 U.S.C. 552, will be received no comments on the proposed System.
10 A ‘‘Retail Order’’ is defined in Exchange Rule
available for website viewing and rule change. This order institutes 11.24(a)(2) as an agency order or riskless principal
printing in the Commission’s Public proceedings under Section 19(b)(2)(B) of that meets the criteria of FINRA Rule 53250.03 that
Reference Room, 100 F Street NE, the Act 5 to determine whether to originates from a natural person and is submitted
Washington, DC 20549, on official approve or disapprove the proposed to the Exchange by a RMO, provided that no change
business days between the hours of is made to the terms of the order with respect to
rule change. price or side of market and the order does not
10:00 a.m. and 3:00 p.m. Copies of such originate from a trading algorithm or any
filing also will be available for II. Summary of the Proposed Rule
computerized methodology. See Exchange Rule
inspection and copying at the principal Change 11.24(a)(2).
office of the Exchange. All comments The Exchange proposes to amend 11 See Notice, supra note 3 at 41128. As more
received will be posted without change. fully set forth in the Notice, RPI Orders may be
Exchange Rule 11.24 to make permanent submitted with an explicit limit price, or an offset.
Persons submitting comments are the Retail Price Improvement Program RPI Orders submitted with an offset are similar to
cautioned that we do not redact or edit (the ‘‘Program’’), which sets forth the other peg orders in that the order is tied or
personal identifying information from ‘‘pegged’’ to a certain price, and would have its
khammond on DSK30JT082PROD with NOTICES
comment submissions. You should 9 17 CFR 200.30–3(a)(73). price automatically set and adjusted upon changes
to the Protected NBBO. The offset is a
submit only information that you wish 1 15 U.S.C. 78s(b)(1).
predetermined amount by which the User is willing
2 17 CFR 240.19b–4.
to make available publicly. All to improve the Protected NBBO, subject to a ceiling
3 See Securities Exchange Act Release No. 83831
submissions should refer to File or floor price. The ceiling or floor price is the
(August 13, 2018), 83 FR 41128 (‘‘Notice’’). amount above or below which the User does not
Number SR–CFE–2018–001, and should 4 See Securities Exchange Act Release No. 84297,
wish to trade. RPI Orders in their entirety (the buy
83 FR 49959 (October 3, 2018). or sell interest, the offset, and the ceiling or floor)
8 15 U.S.C. 78s(b)(1). 5 15 U.S.C. 78(s)(b)(2)(B). will remain non-displayed.
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Document Created: 2018-11-21 03:11:28
Document Modified: 2018-11-21 03:11:28
| 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 58800 |
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