Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to the Acquisition of the Kansas City Board of Trade Clearing Corporation, 4188-4189 [2013-00968]
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4188
Federal Register / Vol. 78, No. 13 / Friday, January 18, 2013 / Notices
Electronic Comments
• Use the Commission’s Internet
comment form (https://www.sec.gov/
rules/sro.shtml); or
• Send an email to rulecomments@sec.gov. Please include File
Number SR–FINRA–2013–005 on the
subject line.
Paper Comments
• Send paper comments in triplicate
to Elizabeth M. Murphy, Secretary,
Securities and Exchange Commission,
100 F Street NE., Washington, DC
20549–1090.
mstockstill on DSK4VPTVN1PROD with
All submissions should refer to File
Number SR–FINRA–2013–005. 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
a.m. and 3 p.m. Copies of such filing
also will be available for inspection and
copying at the principal office of
FINRA. 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–FINRA–2013–005 and
should be submitted on or before
February 8, 2013.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.15
Kevin M. O’Neill,
Deputy Secretary.
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–68652; File No. SR–CME–
2012–47]
Self-Regulatory Organizations;
Chicago Mercantile Exchange Inc.;
Notice of Filing and Immediate
Effectiveness of Proposed Rule
Change Related to the Acquisition of
the Kansas City Board of Trade
Clearing Corporation
January 14, 2013.
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 December
31, 2012, Chicago Mercantile Exchange
Inc. (‘‘CME’’) filed with the Securities
and Exchange Commission
(‘‘Commission’’) the proposed rule
change as described in Items I, II and III
below, which Items have been prepared
primarily by CME. CME filed the
proposed rule change pursuant to
Section 19(b)(3)(A) 3 of the Act and Rule
19b–4(f)(4)(ii) 4 thereunder so that the
proposal was effective upon filing with
the Commission. 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
CME proposes to adopt revisions to
certain CME rules in connection with
the November 30, 2012, acquisition of
the Kansas City Board of Trade Clearing
Corporation (‘‘KCBTCC’’) by CME Group
Inc., the parent holding company of
CME. The proposed rule changes would
amend CME Rules 802 and 816 to
integrate KCBTCC’s derivatives clearing
organization functions into CME’s
clearing functions. The proposed
revisions became effective immediately
upon filing and became operational on
January 11, 2013.
II. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
In its filing with the Commission,
CME 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. CME has prepared
[FR Doc. 2013–00966 Filed 1–17–13; 8:45 am]
1 15
U.S.C. 78s(b)(1).
CFR 240.19b–4.
3 15 U.S.C. 78s(b)(3)(A).
4 17 CFR 240.19b–4(f)(4)(ii).
BILLING CODE 8011–01–P
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
CME is proposing certain revisions to
its rulebook in connection with the
November 30, 2012, acquisition of
KCBTCC by CME Group Inc., the parent
holding company of CME. The purpose
of the proposed rule changes is to
amend CME Rules 802 and 816 to
integrate KCBTCC’s derivatives clearing
organization functions into CME’s
clearing functions. The changes became
operational on January 11, 2013. The
proposed material changes: (1) Have the
effect of making CME clearing member
default rules applicable to KCBTCC
clearing participants; and (2) establish
the minimum guaranty fund deposit
amount for KCBTCC clearing
participants.
CME also certified the proposed
changes that are the subject of this filing
to its primary regulator, the CFTC, in
CME Submission 12–461.
The proposed CME changes relate to
CME’s activities as a derivatives clearing
organization clearing futures
transactions. As such, CME believes the
proposed changes do not significantly
affect the security-based swap clearing
operations of CME or any related rights
or obligations of CME security-based
swap clearing participants. CME
believes the proposed change is
therefore properly filed under Section
19(b)(3)(A) 5 and Rule 19b–4(f)(4)(ii) 6
thereunder because it effects a change in
an existing service of a registered
clearing agency that primarily affects
the futures clearing operations of the
clearing agency with respect to futures
that are not security futures and does
not significantly affect any securities
clearing operations of the clearing
agency or any related rights or
obligations of the clearing agency or
persons using such service.
B. Self-Regulatory Organization’s
Statement on Burden on Competition
CME does not believe that the
proposed change will have any impact,
or impose any burden, on competition.
C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received From
Members, Participants, or Others
CME has not solicited, and does not
intend to solicit, comments regarding
2 17
15 17
CFR 200.30–3(a)(12).
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5 15
6 17
E:\FR\FM\18JAN1.SGM
U.S.C. 78s(b)(3)(A).
CFR 240.19b–4(f)(4)(ii).
18JAN1
Federal Register / Vol. 78, No. 13 / Friday, January 18, 2013 / Notices
this proposed change. CME has not
received any unsolicited written
comments from interested parties.
III. Date of Effectiveness of the
Proposed Rule Change and Timing for
Commission Action
The foregoing rule change has been
filed pursuant to Section 19(b)(3)(A) 7 of
the Act and Rule 19b–4(f)(4)(ii) 8
thereunder and was effective upon
filing. The changes became operational
on January 11, 2013. 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.9
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:
mstockstill on DSK4VPTVN1PROD with
Electronic Comments
• Use the Commission’s Internet
comment form (https://www.sec.gov/
rules/sro.shtml) or
• Send an email to rulecomments@sec.gov. Please include File
Number SR–CME–2012–47 on the
subject line.
Paper Comments
• Send paper comments in triplicate
to Elizabeth M. Murphy, Secretary,
Securities and Exchange Commission,
100 F Street NE., Washington, DC
20549–1090.
All submissions should refer to File
Number SR–CME–2012–47. 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
7 15
U.S.C. 78s(b)(3)(A).
CFR 240.19b–4(f)(4)(ii).
9 15 U.S.C. 78s(b)(3)(C).
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 such
filing also will be available for
inspection and copying at the principal
office of CME.
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–CME–2012–47 and should
be submitted on or before February 8,
2013.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.10
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2013–00968 Filed 1–17–13; 8:45 am]
BILLING CODE 8011–01–P
SMALL BUSINESS ADMINISTRATION
[Application No. 99000720]
Harbert Mezzanine Partners III SBIC,
L.P.; Notice Seeking Exemption Under
Section 312 of the Small Business
Investment Act, Conflicts of Interest
Notice is hereby given that Harbert
Mezzanine Partners III SBIC, L.P., 2100
Third Avenue North, Suite 600,
Birmingham, AL 35203, a Federal
Licensee applicant under the Small
Business Investment Act of 1958, as
amended (the ‘‘Act’’), in connection
with the financing of a small concern,
has sought an exemption under Section
312 of the Act and Section 107.730,
Financings which Constitute Conflicts
of Interest of the Small Business
Administration (‘‘SBA’’) Rules and
Regulations (13 CFR 107.730). Harbert
Mezzanine Partners III SBIC, L.P.
proposes to invest in Employment
Control Holding Company, LLC, a
portfolio company of its Associate
Harbert Mezzanine Partners II SBIC, L.P.
The financing is brought within the
purview of § 107.730(a) of the
Regulations because Harbert Mezzanine
Partners III SBIC I, L.P. proposes to
Finance a small business in which its
Associate Harbert Mezzanine Partners II
SBIC, L.P. has an equity interest of at
least 10 percent, so the transaction that
8 17
VerDate Mar<15>2010
16:52 Jan 17, 2013
10 17
Jkt 229001
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CFR 200.30–3(a)(12).
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4189
will effect the proposed Financing
requires prior SBA exemption.
Notice is hereby given that any
interested person may submit written
comments on the transaction, within
fifteen days of the date of this
publication, to the Associate
Administrator for Investment, U.S.
Small Business Administration, 409
Third Street SW., Washington, DC
20416.
Dated: December 21, 2012.
Sean J. Greene,
Associate Administrator for Investment.
[FR Doc. 2013–00961 Filed 1–17–13; 8:45 am]
BILLING CODE 8025–01–P
SMALL BUSINESS ADMINISTRATION
Surrender of License of Small
Business Investment Company
Pursuant to the authority granted to
the United States Small Business
Administration under the Small
Business Investment Act of 1958, under
Section 309 of the Act and Section
107.1900 of the Small Business
Administration Rules and Regulations
(13 CFR 107.1900) to function as a small
business investment company under the
Small Business Investment Company
License No. 01/71–0401 issued to
Masthead Venture Partners Capital, LP,
and said license is hereby declared null
and void.
United States Small Business
Administration.
Dated: January 10, 2013.
Sean J. Greene,
Associate Administrator for Investment.
[FR Doc. 2013–00960 Filed 1–17–13; 8:45 am]
BILLING CODE P
DEPARTMENT OF STATE
[Public Notice 8155]
Advisory Committee on the Secretary
of State’s Strategic Dialogue With Civil
Society
ACTION:
Notice of meeting.
Pursuant to the provisions of
the Federal Advisory Committee Act
(FACA), the Advisory Committee on the
Secretary of State’s Strategic Dialogue
with Civil Society will convene in
Washington, DC on March 12, 2013. The
Committee provides advice on the
formulation of U.S. policies, proposals,
and strategies for engagement with, and
protection of, civil society worldwide.
The objective of this meeting is to
review the progress of the Committee’s
five subcommittees.
SUMMARY:
E:\FR\FM\18JAN1.SGM
18JAN1
]]>Agencies
[Federal Register Volume 78, Number 13 (Friday, January 18, 2013)]
[Notices]
[Pages 4188-4189]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-00968]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-68652; File No. SR-CME-2012-47]
Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change
Related to the Acquisition of the Kansas City Board of Trade Clearing
Corporation
January 14, 2013.
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 December 31, 2012, Chicago Mercantile Exchange Inc. (``CME'') filed
with the Securities and Exchange Commission (``Commission'') the
proposed rule change as described in Items I, II and III below, which
Items have been prepared primarily by CME. CME filed the proposed rule
change pursuant to Section 19(b)(3)(A) \3\ of the Act and Rule 19b-
4(f)(4)(ii) \4\ thereunder so that the proposal was effective upon
filing with the Commission. The Commission is publishing this notice to
solicit comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b-4.
\3\ 15 U.S.C. 78s(b)(3)(A).
\4\ 17 CFR 240.19b-4(f)(4)(ii).
---------------------------------------------------------------------------
I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change
CME proposes to adopt revisions to certain CME rules in connection
with the November 30, 2012, acquisition of the Kansas City Board of
Trade Clearing Corporation (``KCBTCC'') by CME Group Inc., the parent
holding company of CME. The proposed rule changes would amend CME Rules
802 and 816 to integrate KCBTCC's derivatives clearing organization
functions into CME's clearing functions. The proposed revisions became
effective immediately upon filing and became operational on January 11,
2013.
II. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change
In its filing with the Commission, CME 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. CME 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
CME is proposing certain revisions to its rulebook in connection
with the November 30, 2012, acquisition of KCBTCC by CME Group Inc.,
the parent holding company of CME. The purpose of the proposed rule
changes is to amend CME Rules 802 and 816 to integrate KCBTCC's
derivatives clearing organization functions into CME's clearing
functions. The changes became operational on January 11, 2013. The
proposed material changes: (1) Have the effect of making CME clearing
member default rules applicable to KCBTCC clearing participants; and
(2) establish the minimum guaranty fund deposit amount for KCBTCC
clearing participants.
CME also certified the proposed changes that are the subject of
this filing to its primary regulator, the CFTC, in CME Submission 12-
461.
The proposed CME changes relate to CME's activities as a
derivatives clearing organization clearing futures transactions. As
such, CME believes the proposed changes do not significantly affect the
security-based swap clearing operations of CME or any related rights or
obligations of CME security-based swap clearing participants. CME
believes the proposed change is therefore properly filed under Section
19(b)(3)(A) \5\ and Rule 19b-4(f)(4)(ii) \6\ thereunder because it
effects a change in an existing service of a registered clearing agency
that primarily affects the futures clearing operations of the clearing
agency with respect to futures that are not security futures and does
not significantly affect any securities clearing operations of the
clearing agency or any related rights or obligations of the clearing
agency or persons using such service.
---------------------------------------------------------------------------
\5\ 15 U.S.C. 78s(b)(3)(A).
\6\ 17 CFR 240.19b-4(f)(4)(ii).
---------------------------------------------------------------------------
B. Self-Regulatory Organization's Statement on Burden on Competition
CME does not believe that the proposed change will have any impact,
or impose any burden, on competition.
C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others
CME has not solicited, and does not intend to solicit, comments
regarding
[[Page 4189]]
this proposed change. CME has not received any unsolicited written
comments from interested parties.
III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action
The foregoing rule change has been filed pursuant to Section
19(b)(3)(A) \7\ of the Act and Rule 19b-4(f)(4)(ii) \8\ thereunder and
was effective upon filing. The changes became operational on January
11, 2013. 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.\9\
---------------------------------------------------------------------------
\7\ 15 U.S.C. 78s(b)(3)(A).
\8\ 17 CFR 240.19b-4(f)(4)(ii).
\9\ 15 U.S.C. 78s(b)(3)(C).
---------------------------------------------------------------------------
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 (https://www.sec.gov/rules/sro.shtml) or
Send an email to rule-comments@sec.gov. Please include
File Number SR-CME-2012-47 on the subject line.
Paper Comments
Send paper comments in triplicate to Elizabeth M. Murphy,
Secretary, Securities and Exchange Commission, 100 F Street NE.,
Washington, DC 20549-1090.
All submissions should refer to File Number SR-CME-2012-47. 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 such filing also will be available
for inspection and copying at the principal office of CME.
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-CME-2012-47
and should be submitted on or before February 8, 2013.
---------------------------------------------------------------------------
\10\ 17 CFR 200.30-3(a)(12).
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\10\
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-00968 Filed 1-17-13; 8:45 am]
BILLING CODE 8011-01-P
