Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan To Add the Miami International Securities Exchange, LLC as a Participant, 65743-65744 [2013-26072]

Download as PDF Federal Register / Vol. 78, No. 212 / Friday, November 1, 2013 / Notices 2013–101 and should be submitted on or before November 22, 2013. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.10 Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2013–26034 Filed 10–31–13; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–70762; File No. 4–546] Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan To Add the Miami International Securities Exchange, LLC as a Participant October 28, 2013. Pursuant to Section 11A(a)(3) of the Securities Exchange Act of 1934 (‘‘Act’’) 1 and Rule 608 thereunder,2 notice is hereby given that on December 6, 2012, Miami International Securities Exchange, LLC (‘‘MIAX’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘Commission’’) an amendment to the Options Order Protection and Locked/Crossed Market Plan (‘‘Plan’’).3 The amendment added MIAX as a Participant 4 to the Plan. The Commission is publishing this notice to solicit comments on the amendment from interested persons. I. Description and Purpose of the Amendment The current Participants in the Linkage Plan are BOX Options, C2, 10 17 CFR 200.30–3(a)(12). U.S.C. 78k–1(a)(3). 2 17 CFR 242.608. 3 On July 30, 2009, the Commission approved a national market system plan relating to Options Order Protection and Locked/Crossed Markets proposed by Chicago Board Options Exchange, Incorporated (‘‘CBOE’’), International Securities Exchange, LLC (‘‘ISE’’), The NASDAQ Stock Market LLC (‘‘Nasdaq’’), NASDAQ OMX BX, Inc. (‘‘BOX’’), NASDAQ OMX PHLX, Inc. (‘‘Phlx’’), NYSE Amex, LLC (‘‘NYSE Amex’’), and NYSE Arca, Inc. (‘‘NYSE Arca’’). See Securities Exchange Act Release No. 60405 (July 30, 2009), 74 FR 39362 (August 6, 2009). See also Securities Exchange Act Release Nos. 61546 (February 19, 2010), 75 FR 8762 (February 25, 2010) (adding BATS Exchange, Inc. (‘‘BATS’’) as a Participant); 63119 (October 15, 2010), 75 FR 65536 (October 25, 2010) (adding C2 Options Exchange, Incorporated (‘‘C2’’) as a Participant); 66969 (May 11, 2012), 77 FR 29396 (May 17, 2012) (adding BOX Options Exchange LLC (‘‘BOX Options’’) as a Participant). Topaz Exchange, LLC (‘‘Topaz’’) joined the Plan on August 1, 2013. 4 The term ‘‘Participant’’ is defined as an Eligible Exchange whose participation in the Plan has become effective pursuant to Section 3(c) of the Plan. emcdonald on DSK67QTVN1PROD with NOTICES 1 15 VerDate Mar<15>2010 17:40 Oct 31, 2013 Jkt 232001 CBOE, BATS, ISE, Nasdaq, BOX, Phlx, NYSE Amex,5 NYSE Arca, and Topaz. The amendment to the Plan added MIAX as a Participant in the Plan. MIAX has submitted a signed copy of the Plan to the Commission in accordance with the procedures set forth in the Plan regarding new Participants. Section 3(c) of the Plan provides for the entry of new Participants to the Plan. Specifically an Eligible Exchange 6 may become a Participant in the Plan by: (i) Executing a copy of the Plan, as then in effect; (ii) providing each current Participant with a copy of such executed Plan; (iii) effecting an amendment to the Plan, as specified in Sections 3(c) and 4(b) of the Plan. Section 4(b) of the Plan puts forth the process by which an Eligible Exchange may effect an amendment to the Plan. Specifically, an Eligible Exchange must: (a) Execute a copy of the Plan with the only change being the addition of the new participant’s name in Section 3(a) of the Plan; and (b) submit the executed Plan to the Commission. The Plan then provides that such an amendment will be effective when the amendment is approved by the Commission or otherwise becomes effective pursuant to Section 11A of the Act and Rule 608 thereunder. II. Effectiveness of the Linkage Plan Amendment The foregoing Plan amendment has become effective pursuant to Rule 608(b)(3)(iii) of the Act 7 because it involves solely technical or ministerial matters. At any time within sixty days of the filing of this amendment, the Commission may summarily abrogate the amendment and require that it be refiled pursuant to paragraph (b)(1) of Rule 608,8 if it appears to the 5 NYSE Amex was recently renamed NYSE MKT LLC. See Securities Exchange Act Release No. 67037 (May 21, 2012), 77 FR 31415 (May 25, 2012) (SR–NYSEAmex–2012–32). 6 Section 2(6) of the Plan defines an ‘‘Eligible Exchange’’ as a national securities exchange registered with the Commission pursuant to Section 6(a) of the Act, 15 U.S.C. 78f(a), that: (a) Is a ‘‘Participant Exchange’’ in the Options Clearing Corporation (‘‘OCC’’) (as defined in OCC By-laws, Section VII); (b) is a party to the Options Price Reporting Authority (‘‘OPRA’’) Plan (as defined in the OPRA Plan, Section 1); and (c) if the national securities exchange chooses not to become party to this Plan, is a participant in another plan approved by the Commission providing for comparable Trade-Through and Locked and Crossed Market protection. MIAX has represented that it has met the requirements for being considered an Eligible Exchange. See letter from Barbara Comly, EVP, General Counsel & Corporate Secretary, Miami International Holdings, Inc., to Elizabeth Murphy, Secretary, Commission, dated December 5, 2012. 7 17 CFR 242.608(b)(3)(iii). 8 17 CFR 242.608(b)(1). PO 00000 Frm 00139 Fmt 4703 Sfmt 4703 65743 Commission that such action is necessary or appropriate in the public interest, for the protection of investors or the maintenance of fair and orderly markets, to remove impediments to, and perfect the mechanisms of, a national market system or otherwise in furtherance of the purposes of the Act. III. Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the amendment 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 4– 546 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 4–546. 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 amendment that are filed with the Commission, and all written communications relating to the amendment 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 MIAX. 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 4–546 and should be submitted on or before November 22, 2013. E:\FR\FM\01NON1.SGM 01NON1 65744 Federal Register / Vol. 78, No. 212 / Friday, November 1, 2013 / Notices By the Commission. Kevin M. O’Neill, Deputy Secretary. listed company is suspended for the period from 9:30 a.m. EDT on October 21, 2013, through 11:59 p.m. EDT on November 1, 2013. [FR Doc. 2013–26072 Filed 10–31–13; 8:45 am] By the Commission. Elizabeth M. Murphy, Secretary. BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [FR Doc. 2013–26317 Filed 10–30–13; 4:15 pm] BILLING CODE 8011–01–P [File No. 500–1] In the Matter of Press Ventures, Inc.; Order of Suspension of Trading SECURITIES AND EXCHANGE COMMISSION October 30, 2013. [File No. 500–1] It appears to the Securities and Exchange Commission that the public interest and the protection of investors require a suspension of trading in the securities of Press Ventures, Inc. (‘‘PVEN’’) because of concerns regarding potentially manipulative transactions in PVEN’s common stock. PVEN is a Nevada corporation based in Warsaw, Poland. It is quoted on OTCBB and OTC Link under the symbol PVEN. The Commission is of the opinion that the public interest and the protection of investors require a suspension of trading in the securities of the above-listed company. Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the securities of the above-listed company is suspended for the period from 9:30 a.m. EDT on October 30, 2013 through 11:59 p.m. EST on November 12, 2013. Newtech Resources Ltd., Order of Suspension of Trading October 21, 2013. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Newtech Resources Ltd. because it has not filed any periodic reports since the period ended May 31, 2009. The Commission is of the opinion that the public interest and the protection of investors require a suspension of trading in the securities of the above-listed company. Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the securities of the abovelisted company is suspended for the period from 9:30 a.m. EDT on October 21, 2013, through 11:59 p.m. EDT on November 1, 2013. By the Commission. Elizabeth M. Murphy, Secretary. By the Commission. Elizabeth M. Murphy, Secretary. [FR Doc. 2013–26293 Filed 10–30–13; 4:15 pm] [FR Doc. 2013–26316 Filed 10–30–13; 4:15 pm] BILLING CODE 8011–01–P SUPPLEMENTARY INFORMATION: Title: Stockholders Confirmation (Corporation): Ownership Confirmation (Partnership). Frequency: On Occasion. SBA Form Number’s: 1405, 1405A. Description of Respondents: Investment Companies. Responses: 500. Annual Burden: 500. BILLING CODE 8011–01–P Curtis Rich, Management Analyst. SECURITIES AND EXCHANGE COMMISSION SMALL BUSINESS ADMINISTRATION [File No. 500–1] Reporting and Recordkeeping Requirements Under OMB Review It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of High End Ventures, Inc. because it has not filed any periodic reports since the period ended June 30, 2009. The Commission is of the opinion that the public interest and the protection of investors require a suspension of trading in the securities of the above-listed company. Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the securities of the above- 17:40 Oct 31, 2013 Jkt 232001 Small Business Administration. ACTION: Notice of 30 day Reporting Requirements Submitted for OMB Review. AGENCY: October 21, 2013. VerDate Mar<15>2010 [FR Doc. 2013–26045 Filed 10–31–13; 8:45 am] BILLING CODE P High End Ventures, Inc., Order of Suspension of Trading emcdonald on DSK67QTVN1PROD with NOTICES Reviewer and the Agency Clearance Officer before the deadline. Copies: Request for clearance (OMB 83–1), supporting statement, and other documents submitted to OMB for review may be obtained from the Agency Clearance Officer. ADDRESSES: Address all comments concerning this notice to: Agency Clearance Officer, Curtis Rich, Small Business Administration, 409 3rd Street SW., 5th Floor, Washington, DC 20416; and OMB Reviewer, Office of Information and Regulatory Affairs, Office of Management and Budget, New Executive Office Building, Washington, DC 20503. FOR FURTHER INFORMATION CONTACT: Curtis Rich, Agency Clearance Officer, (202) 205–7030 curtis.rich@sba.gov. Abstract: SBA Forms 1405 and 1405A are used by Small Business Administration (SBA) examiners as part of their examination of licensed small business investment companies (SBICs). This information collection provides independent third party confirmation of an SBIC’s representations concerning its owners, and helps SBA to evaluate the SBIC’s compliance with applicable laws and regulations concerning capital requirements. Under the provisions of the Paperwork Reduction Act (44 U.S.C. Chapter 35), agencies are required to submit proposed reporting and recordkeeping requirements to OMB for review and approval, and to publish a notice in the Federal Register notifying the public that the agency has made such a submission. DATES: Submit comments on or before December 2, 2013. If you intend to comment but cannot prepare comments promptly, please advise the OMB SUMMARY: PO 00000 Frm 00140 Fmt 4703 Sfmt 4703 SMALL BUSINESS ADMINISTRATION Reporting and Recordkeeping Requirements Under OMB Review Small Business Administration. Notice of 30 day Reporting Requirements Submitted for OMB Review. AGENCY: ACTION: Under the provisions of the Paperwork Reduction Act (44 U.S.C. Chapter 35), agencies are required to submit proposed reporting and recordkeeping requirements to OMB for review and approval, and to publish a notice in the Federal Register notifying the public that the agency has made such a submission. SUMMARY: E:\FR\FM\01NON1.SGM 01NON1

Agencies

[Federal Register Volume 78, Number 212 (Friday, November 1, 2013)]
[Notices]
[Pages 65743-65744]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-26072]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-70762; File No. 4-546]


Joint Industry Plan; Notice of Filing and Immediate Effectiveness 
of Amendment to the Options Order Protection and Locked/Crossed Market 
Plan To Add the Miami International Securities Exchange, LLC as a 
Participant

October 28, 2013.
    Pursuant to Section 11A(a)(3) of the Securities Exchange Act of 
1934 (``Act'') \1\ and Rule 608 thereunder,\2\ notice is hereby given 
that on December 6, 2012, Miami International Securities Exchange, LLC 
(``MIAX'' or ``Exchange'') filed with the Securities and Exchange 
Commission (``Commission'') an amendment to the Options Order 
Protection and Locked/Crossed Market Plan (``Plan'').\3\ The amendment 
added MIAX as a Participant \4\ to the Plan. The Commission is 
publishing this notice to solicit comments on the amendment from 
interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78k-1(a)(3).
    \2\ 17 CFR 242.608.
    \3\ On July 30, 2009, the Commission approved a national market 
system plan relating to Options Order Protection and Locked/Crossed 
Markets proposed by Chicago Board Options Exchange, Incorporated 
(``CBOE''), International Securities Exchange, LLC (``ISE''), The 
NASDAQ Stock Market LLC (``Nasdaq''), NASDAQ OMX BX, Inc. (``BOX''), 
NASDAQ OMX PHLX, Inc. (``Phlx''), NYSE Amex, LLC (``NYSE Amex''), 
and NYSE Arca, Inc. (``NYSE Arca''). See Securities Exchange Act 
Release No. 60405 (July 30, 2009), 74 FR 39362 (August 6, 2009). See 
also Securities Exchange Act Release Nos. 61546 (February 19, 2010), 
75 FR 8762 (February 25, 2010) (adding BATS Exchange, Inc. 
(``BATS'') as a Participant); 63119 (October 15, 2010), 75 FR 65536 
(October 25, 2010) (adding C2 Options Exchange, Incorporated 
(``C2'') as a Participant); 66969 (May 11, 2012), 77 FR 29396 (May 
17, 2012) (adding BOX Options Exchange LLC (``BOX Options'') as a 
Participant). Topaz Exchange, LLC (``Topaz'') joined the Plan on 
August 1, 2013.
    \4\ The term ``Participant'' is defined as an Eligible Exchange 
whose participation in the Plan has become effective pursuant to 
Section 3(c) of the Plan.
---------------------------------------------------------------------------

I. Description and Purpose of the Amendment

    The current Participants in the Linkage Plan are BOX Options, C2, 
CBOE, BATS, ISE, Nasdaq, BOX, Phlx, NYSE Amex,\5\ NYSE Arca, and Topaz. 
The amendment to the Plan added MIAX as a Participant in the Plan. MIAX 
has submitted a signed copy of the Plan to the Commission in accordance 
with the procedures set forth in the Plan regarding new Participants. 
Section 3(c) of the Plan provides for the entry of new Participants to 
the Plan. Specifically an Eligible Exchange \6\ may become a 
Participant in the Plan by: (i) Executing a copy of the Plan, as then 
in effect; (ii) providing each current Participant with a copy of such 
executed Plan; (iii) effecting an amendment to the Plan, as specified 
in Sections 3(c) and 4(b) of the Plan.
---------------------------------------------------------------------------

    \5\ NYSE Amex was recently renamed NYSE MKT LLC. See Securities 
Exchange Act Release No. 67037 (May 21, 2012), 77 FR 31415 (May 25, 
2012) (SR-NYSEAmex-2012-32).
    \6\ Section 2(6) of the Plan defines an ``Eligible Exchange'' as 
a national securities exchange registered with the Commission 
pursuant to Section 6(a) of the Act, 15 U.S.C. 78f(a), that: (a) Is 
a ``Participant Exchange'' in the Options Clearing Corporation 
(``OCC'') (as defined in OCC By-laws, Section VII); (b) is a party 
to the Options Price Reporting Authority (``OPRA'') Plan (as defined 
in the OPRA Plan, Section 1); and (c) if the national securities 
exchange chooses not to become party to this Plan, is a participant 
in another plan approved by the Commission providing for comparable 
Trade-Through and Locked and Crossed Market protection. MIAX has 
represented that it has met the requirements for being considered an 
Eligible Exchange. See letter from Barbara Comly, EVP, General 
Counsel & Corporate Secretary, Miami International Holdings, Inc., 
to Elizabeth Murphy, Secretary, Commission, dated December 5, 2012.
---------------------------------------------------------------------------

    Section 4(b) of the Plan puts forth the process by which an 
Eligible Exchange may effect an amendment to the Plan. Specifically, an 
Eligible Exchange must: (a) Execute a copy of the Plan with the only 
change being the addition of the new participant's name in Section 3(a) 
of the Plan; and (b) submit the executed Plan to the Commission. The 
Plan then provides that such an amendment will be effective when the 
amendment is approved by the Commission or otherwise becomes effective 
pursuant to Section 11A of the Act and Rule 608 thereunder.

II. Effectiveness of the Linkage Plan Amendment

    The foregoing Plan amendment has become effective pursuant to Rule 
608(b)(3)(iii) of the Act \7\ because it involves solely technical or 
ministerial matters. At any time within sixty days of the filing of 
this amendment, the Commission may summarily abrogate the amendment and 
require that it be refiled pursuant to paragraph (b)(1) of Rule 608,\8\ 
if it appears to the Commission that such action is necessary or 
appropriate in the public interest, for the protection of investors or 
the maintenance of fair and orderly markets, to remove impediments to, 
and perfect the mechanisms of, a national market system or otherwise in 
furtherance of the purposes of the Act.
---------------------------------------------------------------------------

    \7\ 17 CFR 242.608(b)(3)(iii).
    \8\ 17 CFR 242.608(b)(1).
---------------------------------------------------------------------------

III. Solicitation of Comments

    Interested persons are invited to submit written data, views and 
arguments concerning the foregoing, including whether the amendment 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 4-546 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 4-546. 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 amendment that are filed with the 
Commission, and all written communications relating to the amendment 
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 MIAX. 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 4-546 and should be submitted on or before 
November 22, 2013.


[[Page 65744]]


    By the Commission.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-26072 Filed 10-31-13; 8:45 am]
BILLING CODE 8011-01-P
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