Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Under Rules 7015(b) and (g), 25464 [C1-2016-07937]

Download as PDF 25464 Federal Register / Vol. 81, No. 82 / Thursday, April 28, 2016 / Notices Comments may be submitted by any of the following methods: SECURITIES AND EXCHANGE COMMISSION Exchange, and at the Commission’s Public Reference Room. Electronic Comments [Release No. 34–77495; File No. SR– NASDAQ–2016–046] 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. • Use the Commission’s Internet comment form (https://www.sec.gov/ rules/sro.shtml); or • Send an email to rule-comments@ sec.gov. Please include File Number SR– BatsEDGX–2016–11 on the subject line. April 1, 2016. Paper Comments • Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street Ne., Washington, DC 20549–1090. mstockstill on DSK3G9T082PROD with NOTICES All submissions should refer to File Number SR–BatsEDGX–2016–11. 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 Web site (https://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 Web site 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; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR– BatsEDGX–2016–11, and should be submitted on or before May 19, 2016. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.19 Brent J. Fields, Secretary. [FR Doc. 2016–09899 Filed 4–27–16; 8:45 am] BILLING CODE 8011–01–P 19 17 22:09 Apr 27, 2016 Correction In notice document 2016–07937 beginning on page 20426 in the issue of Thursday, April 7, 2016, make the following correction: 1. On page 20428, in the second column, in the 27th line, ‘‘April 27, 2016’’ should read ‘‘April 28, 2016.’’ [FR Doc. C1–2016–07937 Filed 4–27–16; 8:45 am] BILLING CODE 1505–01–D SECURITIES AND EXCHANGE COMMISSION [Release No. 34–77687; File No. SR–Phlx– 2016–48] Self-Regulatory Organizations; NASDAQ PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Rule 606 April 22, 2016. Pursuant to 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 April 7, 2016, NASDAQ PHLX LLC (‘‘Phlx’’ or ‘‘Exchange’’) 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. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The Exchange is filing with the Commission a proposal to amend Rule 606 (Communications and Equipment). The proposed amendment is described further below.3 The text of the proposed rule change is available on the Exchange’s Web site at https://nasdaqomxphlx.cchwall street.com/, at the principal office of the 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 References to rules are, unless otherwise stated, to the rules of the Exchange. 2 17 CFR 200.30–3(a)(12). VerDate Sep<11>2014 Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Fees Under Rules 7015(b) and (g) Jkt 238001 PO 00000 Frm 00096 Fmt 4703 Sfmt 4703 A. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to amend Rule 606 to: (1) Add language that would allow the Exchange to limit the use of a communication device under certain circumstances; (2) Clarify the process for changing registration of user, and delete obsolete language regarding wattage and add language regarding Web-based and open microphone (‘‘open mic’’) 4 communication applications; (3) Clarify [sic] language regarding call forwarding and open mic; (4) Delete obsolete language regarding stock execution clerks and in-house phone use; and (5) Add [sic] language regarding records. Rule 606, which applies to the use of electronic communication devices on the options floor of the Exchange (‘‘Options Floor’’), has been around for more than fifty years,5 at which time Exchange options trading was strictly on-floor open outcry through specialists. Exchange options trading has, since that time, developed into a robust hybrid 4 Open mic allows listeners other than the intended party on the other end of a line (e.g., telephone) to listen to the conversation. 5 Since the inception of Rule 606 in 1964, the rule was amended about ten times, with the last substantive amendment in 2002. See Securities Exchange Act Release No. 49098 (February 13, 2002), 67 FR 8053 (February 21, 2002) (SR–Phlx– 2001–109) (notice of filing and immediate effectiveness regarding tethered communication devices). See also Securities Exchange Act Release Nos. 49098 (January 16, 2004), 69 FR 3974 (January 27, 2004) (SR–Phlx–2003–73) (approval order); 54538 (September 28, 2006), 71 FR 59184 (October 6, 2006) (SR–Phlx–2006–43) (approval order); 59924 (May 14, 2009), 74 FR 23759 (May 20, 2009) (Phlx–2009–23) (approval order); and 64338 (April 25, 2011), 76 FR 24069 (April 29, 2011) (SR–Phlx– 2011–13) (approval order) (these last four proposals made non-substantive technical or conforming changes to Rule 606). E:\FR\FM\28APN1.SGM 28APN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 81, Number 82 (Thursday, April 28, 2016)]
[Notices]
[Page 25464]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: C1-2016-07937]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-77495; File No. SR-NASDAQ-2016-046]


Self-Regulatory Organizations; The NASDAQ Stock Market LLC; 
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To 
Amend Fees Under Rules 7015(b) and (g)

April 1, 2016.

Correction

    In notice document 2016-07937 beginning on page 20426 in the issue 
of Thursday, April 7, 2016, make the following correction:
    1. On page 20428, in the second column, in the 27th line, ``April 
27, 2016'' should read ``April 28, 2016.''

[FR Doc. C1-2016-07937 Filed 4-27-16; 8:45 am]
 BILLING CODE 1505-01-D

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