83_FR_61163 83 FR 60935 - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Add to the Rules of the Exchange the Twelfth Amended and Restated Operating Agreement of the New York Stock Exchange LLC

83 FR 60935 - Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Add to the Rules of the Exchange the Twelfth Amended and Restated Operating Agreement of the New York Stock Exchange LLC

SECURITIES AND EXCHANGE COMMISSION

Federal Register Volume 83, Issue 228 (November 27, 2018)

Page Range60935-60936
FR Document2018-25882

Federal Register, Volume 83 Issue 228 (Tuesday, November 27, 2018)
[Federal Register Volume 83, Number 228 (Tuesday, November 27, 2018)]
[Notices]
[Pages 60935-60936]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-25882]



[[Page 60935]]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-84641; File No. SR-NYSEAMER-2018-52]


Self-Regulatory Organizations; NYSE American LLC; Notice of 
Filing and Immediate Effectiveness of Proposed Change To Add to the 
Rules of the Exchange the Twelfth Amended and Restated Operating 
Agreement of the New York Stock Exchange LLC

November 21, 2018.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of 
1934 (``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby given 
that, on November 19, 2018, NYSE American LLC (``Exchange'' or ``NYSE 
American'') filed with the Securities and Exchange Commission 
(``Commission'') the 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\ 15 U.S.C. 78a.
    \3\ 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 proposes to add to the rules of the Exchange the 
Twelfth Amended and Restated Operating Agreement of the New York Stock 
Exchange LLC (``NYSE LLC''). The proposed change is available on the 
Exchange's website at www.nyse.com, at the principal office of the 
Exchange, 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 self-regulatory organization 
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 those 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 parts of such statements.

A. Self-Regulatory Organization's Statement of the Purpose of, and the 
Statutory Basis for, the Proposed Rule Change

1. Purpose
    The Exchange proposes to add to the rules of the Exchange the 
Twelfth Amended and Restated Operating Agreement of the NYSE LLC (the 
``Twelfth NYSE Operating Agreement'').
    NYSE LLC has a wholly-owned subsidiary, NYSE Market (DE), Inc. 
(``NYSE Market (DE), Inc.''), which owns a majority interest in NYSE 
Amex Options LLC (``NYSE Amex Options''), a facility of the Exchange. 
The Exchange and NYSE Market (DE) are the only members of NYSE Amex 
Options.\4\ Because of NYSE LLC's ownership of NYSE Market (DE), the 
Exchange filed the Eleventh Amended and Restated Operating Agreement of 
the NYSE LLC (``Eleventh NYSE Operating Agreement'') as a ``rule of the 
Exchange'' under Section 3(a)(27) of the Exchange Act.\5\
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    \4\ See Exchange Act Release No. 75301 (June 25, 2015), 80 FR 
37695 (July 1, 2015) (SR-NYSEMKT-2015-44) (notice of filing and 
immediate effectiveness of proposed rule change amending the 
members' schedule of the Amended and Restated Limited Liability 
Company Agreement of NYSE Amex Options LLC).
    \5\ See 15 U.S.C. 78c(a)(27); Securities Exchange Act Release 
Nos. 82923 (March 22, 2018), 83 FR 13161 (March 27, 2018) (SR-
NYSEAmer-2018-10); 79232 (November 3, 2016), 81 FR 78873 (November 
9, 2016) (SR-NYSEMKT2016-96); and 75984 (September 25, 2015), 80 FR 
59213, 59214 (October 1, 2015) (SR-NYSEMKT2015-71) [sic].
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    On November 14, 2018, the NYSE LLC amended the Eleventh NYSE 
Operating Agreement to harmonize certain provisions with similar 
provisions in the governing documents of the Exchange's national 
securities exchange affiliates, and parent companies, as well as make 
clarifying, technical and conforming changes.\6\ Such rule change will 
become operative 30 days from the date on which it was filed, or such 
shorter time as the Commission may designate.\7\
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    \6\ See SR-NYSE-2018-56 (November 14, 2018).
    \7\ Id., at 10.
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    Consistent with that change, the Exchange is filing to remove the 
obsolete Eleventh NYSE Operating Agreement as a ``rule of the 
exchange'' under Section 3(a)(27) of the Act, and replace it with the 
Twelfth NYSE Operating Agreement as a ``rule of the exchange'' under 
Section 3(a)(27) of the Act.\8\ The Exchange proposes that the rule 
change become effective on the date that the rule change amending the 
Eleventh NYSE Operating Agreement becomes operative.
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    \8\ 15 U.S.C. 78c(a)(27).
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    The proposed rule change is a non-substantive administrative change 
that does not impact the governance or ownership of the Exchange, its 
facility NYSE Amex Options, or NYSE Amex Options' direct and indirect 
parent entities.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent 
with Section 6(b) of the Exchange Act \9\ in general, and with Section 
6(b)(1) \10\ in particular, in that it enables the Exchange to be so 
organized as to have the capacity to be able to carry out the purposes 
of the Exchange Act and to comply, and to enforce compliance by its 
exchange members and persons associated with its exchange members, with 
the provisions of the Exchange Act, the rules and regulations 
thereunder, and the rules of the Exchange.
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    \9\ 15 U.S.C. 78f(b).
    \10\ 15 U.S.C. 78f(b)(1).
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    The Exchange believes that the proposed rule change would 
contribute to the orderly operation of the Exchange and would enable 
the Exchange to continue to be so organized as to have the capacity to 
carry out the purposes of the Exchange Act and comply and enforce 
compliance with the provisions of the Exchange Act by its members and 
persons associated with its members because, by removing the obsolete 
Eleventh NYSE Operating Agreement and making the Twelfth NYSE Operating 
Agreement a rule of the Exchange, the Exchange would be ensuring that 
its rules remain consistent with the NYSE LLC operating agreement in 
effect.
    The Exchange notes that, as with the Eleventh NYSE Operating 
Agreement, it would be required to file any changes to the Twelfth NYSE 
Operating Agreement with the Commission as a proposed rule change.\11\ 
In addition, the Exchange believes that the proposed changes are 
consistent with and will facilitate an ownership structure of the 
Exchange's facility NYSE Amex Options that will provide the Commission 
with appropriate oversight tools to ensure that the Commission will 
have the ability to enforce the Exchange Act with respect to NYSE Amex 
Options and its direct and indirect parent entities.
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    \11\ The Exchange notes that any amendment to the Twelfth NYSE 
Operating Agreement would require that NYSE LLC file a proposed rule 
change with the Commission.
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    For similar reasons, the Exchange also believes that the proposed 
rule change is consistent with Section 6(b)(5) of the Exchange Act \12\ 
because the proposed

[[Page 60936]]

rule change would be consistent with and facilitate a governance and 
regulatory structure 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 mechanism of a free and open market and 
a national market system and, in general, to protect investors and the 
public interest. The Exchange believes that obsolete removing the 
Eleventh NYSE Operating Agreement from its rules and adding the Twelfth 
NYSE Operating Agreement would remove impediments to the operation of 
the Exchange by ensuring that its rules remain consistent with the NYSE 
LLC operating agreement in effect. The Exchange notes that, as with the 
Eleventh NYSE Operating Agreement, no amendment to the Twelfth Amended 
[sic] NYSE Operating Agreement could be made without the Exchange 
filing a proposed rule change with the Commission. For the same 
reasons, the proposed rule change is also designed to protect investors 
as well as the public interest.
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    \12\ 15 U.S.C. 78f(b)(5).
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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 Exchange Act. The proposed rule 
change is not designed to address any competitive issue but rather is 
concerned solely with ensuring that the Commission will have the 
ability to enforce the Exchange Act with respect to NYSE Amex Options 
and its direct and indirect parent entities.

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 has become effective pursuant to Section 
19(b)(3)(A) of the Act \13\ and Rule 19b-4(f)(3) \14\ thereunder. 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.
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    \13\ 15 U.S.C. 78s(b)(3)(A).
    \14\ 17 CFR 240.19b-4(f)(3).
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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-NYSEAMER-2018-52 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-NYSEAMER-2018-52. 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-NYSEAMER-2018-52 and should be submitted 
on or before December 18, 2018.
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    \15\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\15\
Brent J. Fields,
Secretary.
[FR Doc. 2018-25882 Filed 11-26-18; 8:45 am]
 BILLING CODE 8011-01-P



                                                                          Federal Register / Vol. 83, No. 228 / Tuesday, November 27, 2018 / Notices                                                  60935

                                              SECURITIES AND EXCHANGE                                  A. Self-Regulatory Organization’s                       The proposed rule change is a non-
                                              COMMISSION                                               Statement of the Purpose of, and the                  substantive administrative change that
                                                                                                       Statutory Basis for, the Proposed Rule                does not impact the governance or
                                              [Release No. 34–84641; File No. SR–                      Change                                                ownership of the Exchange, its facility
                                              NYSEAMER–2018–52]                                                                                              NYSE Amex Options, or NYSE Amex
                                                                                                       1. Purpose
                                                                                                                                                             Options’ direct and indirect parent
                                              Self-Regulatory Organizations; NYSE                         The Exchange proposes to add to the                entities.
                                              American LLC; Notice of Filing and                       rules of the Exchange the Twelfth
                                                                                                       Amended and Restated Operating                        2. Statutory Basis
                                              Immediate Effectiveness of Proposed
                                              Change To Add to the Rules of the                        Agreement of the NYSE LLC (the                           The Exchange believes that the
                                                                                                       ‘‘Twelfth NYSE Operating Agreement’’).                proposed rule change is consistent with
                                              Exchange the Twelfth Amended and
                                                                                                          NYSE LLC has a wholly-owned                        Section 6(b) of the Exchange Act 9 in
                                              Restated Operating Agreement of the
                                                                                                       subsidiary, NYSE Market (DE), Inc.                    general, and with Section 6(b)(1) 10 in
                                              New York Stock Exchange LLC                              (‘‘NYSE Market (DE), Inc.’’), which                   particular, in that it enables the
                                              November 21, 2018.                                       owns a majority interest in NYSE Amex                 Exchange to be so organized as to have
                                                                                                       Options LLC (‘‘NYSE Amex Options’’),                  the capacity to be able to carry out the
                                                 Pursuant to Section 19(b)(1) 1 of the                 a facility of the Exchange. The Exchange              purposes of the Exchange Act and to
                                              Securities Exchange Act of 1934                          and NYSE Market (DE) are the only                     comply, and to enforce compliance by
                                              (‘‘Act’’) 2 and Rule 19b–4 thereunder,3                  members of NYSE Amex Options.4                        its exchange members and persons
                                              notice is hereby given that, on                          Because of NYSE LLC’s ownership of                    associated with its exchange members,
                                              November 19, 2018, NYSE American                         NYSE Market (DE), the Exchange filed                  with the provisions of the Exchange Act,
                                              LLC (‘‘Exchange’’ or ‘‘NYSE American’’)                  the Eleventh Amended and Restated                     the rules and regulations thereunder,
                                              filed with the Securities and Exchange                   Operating Agreement of the NYSE LLC                   and the rules of the Exchange.
                                              Commission (‘‘Commission’’) the                          (‘‘Eleventh NYSE Operating                               The Exchange believes that the
                                              proposed rule change as described in                     Agreement’’) as a ‘‘rule of the Exchange’’            proposed rule change would contribute
                                              Items I and II below, which Items have                   under Section 3(a)(27) of the Exchange                to the orderly operation of the Exchange
                                              been prepared by the Exchange. The                       Act.5                                                 and would enable the Exchange to
                                              Commission is publishing this notice to                     On November 14, 2018, the NYSE                     continue to be so organized as to have
                                              solicit comments on the proposed rule                    LLC amended the Eleventh NYSE                         the capacity to carry out the purposes of
                                              change from interested persons.                          Operating Agreement to harmonize                      the Exchange Act and comply and
                                                                                                       certain provisions with similar                       enforce compliance with the provisions
                                              I. Self-Regulatory Organization’s                        provisions in the governing documents                 of the Exchange Act by its members and
                                              Statement of the Terms of Substance of                   of the Exchange’s national securities                 persons associated with its members
                                              the Proposed Rule Change                                 exchange affiliates, and parent                       because, by removing the obsolete
                                                                                                       companies, as well as make clarifying,                Eleventh NYSE Operating Agreement
                                                 The Exchange proposes to add to the                   technical and conforming changes.6                    and making the Twelfth NYSE
                                              rules of the Exchange the Twelfth                        Such rule change will become operative                Operating Agreement a rule of the
                                              Amended and Restated Operating                           30 days from the date on which it was                 Exchange, the Exchange would be
                                              Agreement of the New York Stock                          filed, or such shorter time as the                    ensuring that its rules remain consistent
                                              Exchange LLC (‘‘NYSE LLC’’). The                         Commission may designate.7                            with the NYSE LLC operating agreement
                                              proposed change is available on the                         Consistent with that change, the                   in effect.
                                              Exchange’s website at www.nyse.com, at                   Exchange is filing to remove the                         The Exchange notes that, as with the
                                              the principal office of the Exchange, and                obsolete Eleventh NYSE Operating                      Eleventh NYSE Operating Agreement, it
                                              at the Commission’s Public Reference                     Agreement as a ‘‘rule of the exchange’’               would be required to file any changes to
                                              Room.                                                    under Section 3(a)(27) of the Act, and                the Twelfth NYSE Operating Agreement
                                                                                                       replace it with the Twelfth NYSE                      with the Commission as a proposed rule
                                              II. Self-Regulatory Organization’s
                                                                                                       Operating Agreement as a ‘‘rule of the                change.11 In addition, the Exchange
                                              Statement of the Purpose of, and                         exchange’’ under Section 3(a)(27) of the              believes that the proposed changes are
                                              Statutory Basis for, the Proposed Rule                   Act.8 The Exchange proposes that the                  consistent with and will facilitate an
                                              Change                                                   rule change become effective on the date              ownership structure of the Exchange’s
                                                In its filing with the Commission, the                 that the rule change amending the                     facility NYSE Amex Options that will
                                              self-regulatory organization included                    Eleventh NYSE Operating Agreement                     provide the Commission with
                                                                                                       becomes operative.                                    appropriate oversight tools to ensure
                                              statements concerning the purpose of,
                                              and basis for, the proposed rule change                                                                        that the Commission will have the
                                                                                                          4 See Exchange Act Release No. 75301 (June 25,     ability to enforce the Exchange Act with
                                              and discussed any comments it received                   2015), 80 FR 37695 (July 1, 2015) (SR–NYSEMKT–        respect to NYSE Amex Options and its
                                              on the proposed rule change. The text                    2015–44) (notice of filing and immediate
                                                                                                                                                             direct and indirect parent entities.
                                              of those statements may be examined at                   effectiveness of proposed rule change amending the
                                                                                                       members’ schedule of the Amended and Restated            For similar reasons, the Exchange also
                                              the places specified in Item IV below.                   Limited Liability Company Agreement of NYSE           believes that the proposed rule change
                                              The Exchange has prepared summaries,                     Amex Options LLC).                                    is consistent with Section 6(b)(5) of the
                                              set forth in sections A, B, and C below,                    5 See 15 U.S.C. 78c(a)(27); Securities Exchange
                                                                                                                                                             Exchange Act 12 because the proposed
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                                              of the most significant parts of such                    Act Release Nos. 82923 (March 22, 2018), 83 FR
                                                                                                       13161 (March 27, 2018) (SR–NYSEAmer–2018–10);
                                              statements.                                              79232 (November 3, 2016), 81 FR 78873 (November         9 15 U.S.C. 78f(b).
                                                                                                       9, 2016) (SR–NYSEMKT2016–96); and 75984                 10 15 U.S.C. 78f(b)(1).
                                                                                                       (September 25, 2015), 80 FR 59213, 59214 (October       11 The Exchange notes that any amendment to the
                                                                                                       1, 2015) (SR–NYSEMKT2015–71) [sic].                   Twelfth NYSE Operating Agreement would require
                                                1 15 U.S.C. 78s(b)(1).                                    6 See SR–NYSE–2018–56 (November 14, 2018).
                                                                                                                                                             that NYSE LLC file a proposed rule change with the
                                                2 15 U.S.C. 78a.                                          7 Id., at 10.                                      Commission.
                                                3 17 CFR 240.19b–4.                                       8 15 U.S.C. 78c(a)(27).                              12 15 U.S.C. 78f(b)(5).




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                                              60936                        Federal Register / Vol. 83, No. 228 / Tuesday, November 27, 2018 / Notices

                                              rule change would be consistent with                      temporarily suspend such rule change if               should be submitted on or before
                                              and facilitate a governance and                           it appears to the Commission that such                December 18, 2018.
                                              regulatory structure that it is designed to               action is necessary or appropriate in the               For the Commission, by the Division of
                                              prevent fraudulent and manipulative                       public interest, for the protection of                Trading and Markets, pursuant to delegated
                                              acts and practices, to promote just and                   investors, or otherwise in furtherance of             authority.15
                                              equitable principles of trade, to foster                  the purposes of the Act.                              Brent J. Fields,
                                              cooperation and coordination with                                                                               Secretary.
                                                                                                        IV. Solicitation of Comments
                                              persons engaged in facilitating
                                                                                                          Interested persons are invited to                   [FR Doc. 2018–25882 Filed 11–26–18; 8:45 am]
                                              transactions in securities, to remove
                                              impediments to and perfect the                            submit written data, views, and                       BILLING CODE 8011–01–P

                                              mechanism of a free and open market                       arguments concerning the foregoing,
                                              and a national market system and, in                      including whether the proposed rule
                                              general, to protect investors and the                     change is consistent with the Act.                    SMALL BUSINESS ADMINISTRATION
                                              public interest. The Exchange believes                    Comments may be submitted by any of
                                                                                                        the following methods:                                Reporting and Recordkeeping
                                              that obsolete removing the Eleventh                                                                             Requirements Under OMB Review
                                              NYSE Operating Agreement from its                         Electronic Comments
                                              rules and adding the Twelfth NYSE                                                                               AGENCY:      Small Business Administration.
                                                                                                           • Use the Commission’s internet
                                              Operating Agreement would remove                                                                                ACTION:     30-Day Notice.
                                                                                                        comment form (http://www.sec.gov/
                                              impediments to the operation of the
                                                                                                        rules/sro.shtml); or                                  SUMMARY:   The Small Business
                                              Exchange by ensuring that its rules                          • Send an email to rule-comments@
                                              remain consistent with the NYSE LLC                                                                             Administration (SBA) is publishing this
                                                                                                        sec.gov. Please include File Number SR–               notice to comply with requirements of
                                              operating agreement in effect. The                        NYSEAMER–2018–52 on the subject
                                              Exchange notes that, as with the                                                                                the Paperwork Reduction Act (PRA),
                                                                                                        line.                                                 which requires agencies to submit
                                              Eleventh NYSE Operating Agreement,
                                              no amendment to the Twelfth Amended                       Paper Comments                                        proposed reporting and recordkeeping
                                              [sic] NYSE Operating Agreement could                         • Send paper comments in triplicate                requirements to OMB for review and
                                              be made without the Exchange filing a                     to Secretary, Securities and Exchange                 approval, and to publish a notice in the
                                              proposed rule change with the                             Commission, 100 F Street NE,                          Federal Register notifying the public of
                                              Commission. For the same reasons, the                     Washington, DC 20549–1090.                            that submission.
                                              proposed rule change is also designed to                  All submissions should refer to File                  DATES: Submit comments on or before
                                              protect investors as well as the public                   Number SR–NYSEAMER–2018–52. This                      December 27, 2018.
                                              interest.                                                 file number should be included on the                 ADDRESSES: Comments should refer to
                                              B. Self-Regulatory Organization’s                         subject line if email is used. To help the            the information collection by name and/
                                              Statement on Burden on Competition                        Commission process and review your                    or OMB Control Number and should be
                                                                                                        comments more efficiently, please use                 sent to: Agency Clearance Officer, Curtis
                                                 The Exchange does not believe that                                                                           Rich, Small Business Administration,
                                                                                                        only one method. The Commission will
                                              the proposed rule change will impose                                                                            409 3rd Street SW, 5th Floor,
                                                                                                        post all comments on the Commission’s
                                              any burden on competition that is not                                                                           Washington, DC 20416; and SBA Desk
                                                                                                        internet website (http://www.sec.gov/
                                              necessary or appropriate in furtherance                                                                         Officer, Office of Information and
                                                                                                        rules/sro.shtml). Copies of the
                                              of the purposes of the Exchange Act.                                                                            Regulatory Affairs, Office of
                                                                                                        submission, all subsequent
                                              The proposed rule change is not                                                                                 Management and Budget, New
                                                                                                        amendments, all written statements
                                              designed to address any competitive                                                                             Executive Office Building, Washington,
                                                                                                        with respect to the proposed rule
                                              issue but rather is concerned solely with                                                                       DC 20503.
                                                                                                        change that are filed with the
                                              ensuring that the Commission will have                                                                          FOR FURTHER INFORMATION CONTACT:
                                                                                                        Commission, and all written
                                              the ability to enforce the Exchange Act                                                                         Curtis Rich, Agency Clearance Officer,
                                                                                                        communications relating to the
                                              with respect to NYSE Amex Options                                                                               (202) 205–7030 curtis.rich@sba.gov.
                                                                                                        proposed rule change between the
                                              and its direct and indirect parent                                                                                 Copies: A copy of the Form OMB 83–
                                                                                                        Commission and any person, other than
                                              entities.                                                                                                       1, supporting statement, and other
                                                                                                        those that may be withheld from the
                                              C. Self-Regulatory Organization’s                         public in accordance with the                         documents submitted to OMB for
                                              Statement on Comments on the                              provisions of 5 U.S.C. 552, will be                   review may be obtained from the
                                              Proposed Rule Change Received From                        available for website viewing and                     Agency Clearance Officer.
                                              Members, Participants, or Others                          printing in the Commission’s Public                   SUPPLEMENTARY INFORMATION: SBA Form
                                                No written comments were solicited                      Reference Room, 100 F Street NE,                      1050, Settlement Sheet is used in SBA’s
                                              or received with respect to the proposed                  Washington, DC 20549 on official                      7(a) Loan Program to collect information
                                              rule change.                                              business days between the hours of                    from lenders and borrowers regarding
                                                                                                        10:00 a.m. and 3:00 p.m. Copies of the                the disbursement of loan proceeds. SBA
                                              III. Date of Effectiveness of the                         filing also will be available for                     relies on this information during the
                                              Proposed Rule Change and Timing for                       inspection and copying at the principal               guaranty purchase review process as a
                                              Commission Action                                         office of the Exchange. All comments                  component in determining whether to
                                                 The proposed rule change has become                    received will be posted without change.               honor a loan guaranty. The currently
                                              effective pursuant to Section 19(b)(3)(A)                 Persons submitting comments are                       approved form primarily requires the
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                                              of the Act 13 and Rule 19b–4(f)(3) 14                     cautioned that we do not redact or edit               lender and borrower to certify to
                                              thereunder. At any time within 60 days                    personal identifying information from                 whether they complied with a series of
                                              of the filing of the proposed rule change,                comment submissions. You should                       loan requirements. The current form
                                              the Commission summarily may                              submit only information that you wish                 also requires submission of
                                                                                                        to make available publicly. All                       documentation (e.g., joint payee or
                                                13 15   U.S.C. 78s(b)(3)(A).                            submissions should refer to File
                                                14 17   CFR 240.19b–4(f)(3).                            Number SR–NYSEAMER–2018–52 and                          15 17   CFR 200.30–3(a)(12).



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Document Created: 2018-11-27 01:24:56
Document Modified: 2018-11-27 01:24:56
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionNotices
FR Citation83 FR 60935 

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