Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt FINRA Rule 2081, Prohibited Conditions Relating to Expungement of Customer Dispute Information; Correction, 35194 [2014-14318]

Download as PDF 35194 Federal Register / Vol. 79, No. 118 / Thursday, June 19, 2014 / Notices emcdonald on DSK67QTVN1PROD with NOTICES DTC filed Amendment No. 1 to the Proposed Rules.6 On March 10, 2014, DTC Filed Amendment No 2 to the Proposed Rules.7 On March 19, 2014, the Commission published Amendment Nos. 1 and 2 for comment and instituted proceedings to determine whether to approve or disapprove the Proposed Rules, as modified by Amendment Nos. 1 and 2 (‘‘Order Instituting Proceedings’’).8 During the course of these proceedings, the Commission received six additional comment letters from five commenters 9 and two letters in response from DTC.10 Section 19(b)(2) of the Exchange Act 11 provides that, after initiating disapproval proceedings, the Commission shall issue an order approving or disapproving the proposed rule change not later than 180 days after the date of publication of notice of filing of the proposed rule change. The Commission may extend the period for issuing an order approving or disapproving the proposed rule change, however, by not more than 60 days if the Commission determines that a longer period is appropriate and publishes the reasons for such determination. The Proposed Rules were published for notice and comment in the Federal Register on December 24, 2013; June 22, 2014 is 180 days from and Deputy General Counsel, DTCC dated February 10, 2014 (‘‘DTC Letter I’’) and March 3, 2014 (‘‘DTC Letter II’’). 6 Amendment No. 1 requires DTC to send any Deposit Chill Notice, as defined herein, and Global Lock Notice, as defined herein, sent to an issuer to the issuer’s transfer agent on record with DTC via overnight courier. 7 Amendment No. 2 makes a variety of changes to the rule text clarifying the procedures set forth in the Proposed Rules. 8 See Release No. 34–71745 (March 19, 2014); 79 FR 16392 (March 25, 2014). 9 See Letters to Elizabeth M. Murphy, Secretary, Commission from: Louis A. Brilleman, Louis A. Brilleman, P.C. dated April 10, 2014 (‘‘Brilleman Letter II’’); Charles V. Rossi, Chairman, STA Board Advisory Committee, Securities Transfer Association dated April 15, 2014 (‘‘STA Letter II’’); Daniel Zwiren, President and CEO, Edward Petraglia, General Counsel, Optigenex Inc. dated May 5, 2014 (‘‘Optigenex Letter I’’); and Suzanne H. Shatto dated May 9, 2014 (Shatto Letter II’’). See Letter to Elizabeth M. Murphy, Secretary, Commission and Lisa D. Levey, Secretary, the Depository Trust Company from Daniel Zwiren, President and CEO, Edward Petraglia, General Counsel, Optigenex Inc. dated April 15, 2014 (‘‘Optigenex Letter II’’). See Letter to Kevin M. O’Neill, Deputy Secretary, Commission from Gary Emmanuel and Harvey Kesner, Sichenzia Ross Friedman Ference LLP dated April 29, 2014 (‘‘Sichenzia Letter III’’). 10 See Letters to Elizabeth M. Murphy, Secretary, Commission, from Isaac Montal, Managing Director and Deputy General Counsel, DTCC dated April 29, 2014 (‘‘DTC Letter III’’) and May 6, 2014 (‘‘DTC Letter IV’’). 11 15 U.S.C. 78s(b)(2). VerDate Mar<15>2010 17:25 Jun 18, 2014 Jkt 232001 that date, and August 21, 2014 is 240 days from that date. The Commission finds it appropriate to designate a longer period within which to issue an order approving or disapproving the Proposed Rules so that it has sufficient time to consider the amended proposal, the issues raised in the comment letters, including comment letters submitted in response to the Order Instituting Proceedings, and DTC’s responses to such comments. Accordingly, the Commission, pursuant to Section 19(b)(2) of the Exchange Act,12 designates August 21, 2014, as the date by which the Commission should either approve or disapprove the Proposed Rules (SR– DTC–2013–11). For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.13 Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–14319 Filed 6–18–14; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–72332A; File No. SR– FINRA–2014–020] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change To Adopt FINRA Rule 2081, Prohibited Conditions Relating to Expungement of Customer Dispute Information; Correction June 5, 2014. Correction In FR Vol. 79, No. 112 beginning on page 33625 for Wednesday, June 11, 2014, the self-regulatory organization’s name was incorrectly stated in the title. The correct name is Financial Industry Regulatory Authority, Inc. Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–14318 Filed 6–18–14; 8:45 am] BILLING CODE 8011–01–P 12 Id. 13 17 PO 00000 SECURITIES AND EXCHANGE COMMISSION [Release No. 34–72386; File No. SR–BX– 2014–031] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule Under Exchange Rule 7018(a) With Respect to Transactions in Securities Priced at $1 per Share or More June 13, 2014. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ‘‘Act’’),1 and Rule 19b–4 thereunder,2 notice is hereby given that on June 6, 2014, NASDAQ OMX BX, Inc. (‘‘BX’’ or ‘‘Exchange’’) 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 by the self-regulatory organization. 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 proposes to amend the fee schedule under Exchange Rule 7018(a) with respect to transactions in securities priced at $1 per share or more. The text of the proposed rule change is also available on the Exchange’s Web site at https:// nasdaqomxbx.cchwallstreet.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 the 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. 1 15 CFR 200.30–3(a)(57). Frm 00047 Fmt 4703 Sfmt 4703 2 17 E:\FR\FM\19JNN1.SGM U.S.C. 78s(b)(1). CFR 240.19b–4. 19JNN1

Agencies

[Federal Register Volume 79, Number 118 (Thursday, June 19, 2014)]
[Notices]
[Page 35194]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-14318]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-72332A; File No. SR-FINRA-2014-020]


Self-Regulatory Organizations; Financial Industry Regulatory 
Authority, Inc.; Notice of Designation of a Longer Period for 
Commission Action on Proposed Rule Change To Adopt FINRA Rule 2081, 
Prohibited Conditions Relating to Expungement of Customer Dispute 
Information; Correction

June 5, 2014.

Correction

    In FR Vol. 79, No. 112 beginning on page 33625 for Wednesday, June 
11, 2014, the self-regulatory organization's name was incorrectly 
stated in the title. The correct name is Financial Industry Regulatory 
Authority, Inc.

Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-14318 Filed 6-18-14; 8:45 am]
BILLING CODE 8011-01-P
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