Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of Proposed Rule Change To Amend Rule 24.19, 38080 [2014-15609]

Download as PDF 38080 Federal Register / Vol. 79, No. 128 / Thursday, July 3, 2014 / Notices Investment Management, Inc., applicant’s investment adviser. Filing Date: The application was filed on March 4, 2014. Applicant’s Address: 777 108th Avenue NE., Suite 1200, Bellevue, WA 98004–5135. Wegener Investment Trust [File No. 811–21860] Summary: Applicant seeks an order declaring that it has ceased to be an investment company. On December 30, 2013, applicant made a liquidating distribution to its shareholders, based on net asset value. Anticipated expenses of $50.00 incurred in connection with the liquidation will be paid by Wegener, LLC, applicant’s investment adviser. Filing Dates: The application was filed on May 14, 2014, and amended on June 24, 2014. Applicant’s Address: 3350 Monarch Ln., Annandale, VA 22003. Special Value Expansion Fund, LLC [File No. 811–21629] Summary: Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. Applicant has never made a public offering of its securities and does not propose to make a public offering. Applicant currently has fewer than 100 beneficial owners (within the meaning of section 3(c)(1)) and intends to continue operating as a private fund in reliance on section 3(c)(1) of the Act. Applicant has notified its beneficial owners that certain legal protections afforded to shareholders of an investment company registered under the Act will no longer apply. Filing Dates: The application was filed on January 6, 2014, and amended on February 21, 2014, April 7, 2014, and May 1, 2014. Applicant’s Address: 2951 28th St., Suite 1000, Santa Monica, CA 90405. SECURITIES AND EXCHANGE COMMISSION [Release No. 34–72495; File No. SR–CBOE– 2014–026] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change Relating to Revisions to the Definitions of NonPublic Arbitrator and Public Arbitrator June 27, 2014. June 27, 2014. On March 21, 2014, the Chicago Board Options Exchange, Incorporated (the ‘‘Exchange’’ or ‘‘CBOE’’) filed with the Securities and Exchange Commission (the ‘‘Commission’’), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ‘‘Act’’),1 and Rule 19b–4 thereunder,2 a proposed rule change to amend CBOE Rule 24.19 to revise several provisions governing the trading of Multi-Class Spread Orders. The proposed rule change was published for comment in the Federal Register on April 10, 2014.3 On April 10, 2014, the Exchange submitted Amendment No. 1 to the proposed rule change. On May 15, 2014 and June 3, 2014, CBOE extended the time period in which the Commission must either approve the proposed rule change, disapprove the proposed rule change, or institute proceedings to determine whether to disapprove the proposed rule change to June 13, 2014, and to June 30, 2014, respectively. The Commission has not received any comments on the proposed rule change. On June 25, 2014, CBOE withdrew the proposed rule change (SR–CBOE–2014– 026). For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.4 Kevin M. O’Neill, Deputy Secretary. [FR Doc. 2014–15609 Filed 7–2–14; 8:45 am] BILLING CODE 8011–01–P [FR Doc. 2014–15666 Filed 7–2–14; 8:45 am] tkelley on DSK3SPTVN1PROD with NOTICES BILLING CODE 8011–01–P 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 See Securities Exchange Act Release No. 71872 (April 4, 2014), 79 FR 19940. 4 17 CFR 200.30–3(a)(31). 2 17 16:53 Jul 02, 2014 Jkt 232001 [Release No. 34–72491; File No. SR–FINRA– 2014–028] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Withdrawal of Proposed Rule Change To Amend Rule 24.19 For the Commission, by the Division of Investment Management, pursuant to delegated authority. Jill M. Peterson, Assistant Secretary. VerDate Mar<15>2010 SECURITIES AND EXCHANGE COMMISSION PO 00000 Frm 00076 Fmt 4703 Sfmt 4703 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 June 17, 2014, Financial Industry Regulatory Authority, Inc. (‘‘FINRA’’) filed with the Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) the proposed rule change as described in Items I, II, and III below, which Items have been substantially prepared by FINRA. 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 FINRA is proposing to refine and reorganize the definitions of ‘‘nonpublic arbitrator’’ and ‘‘public arbitrator.’’ The amendments would, among other matters, provide that persons who worked in the financial industry for any duration during their careers would always be classified as non-public arbitrators, and persons who represent investors or the financial industry as a significant part of their business would also be classified as non-public arbitrators, but could become public arbitrators after a cooling-off period. The amendments would also reorganize the definitions to make it easier for arbitrator applicants and parties, among others, to determine the correct arbitrator classification. The text of the proposed rule change is available, at the principal office of FINRA, on FINRA’s Web site at https:// www.finra.org, 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, FINRA 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 1 15 2 17 E:\FR\FM\03JYN1.SGM U.S.C. 78s(b)(1). CFR 240.19b–4. 03JYN1

Agencies

[Federal Register Volume 79, Number 128 (Thursday, July 3, 2014)]
[Notices]
[Page 38080]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-15609]


-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-72495; File No. SR-CBOE-2014-026]


Self-Regulatory Organizations; Chicago Board Options Exchange, 
Incorporated; Notice of Withdrawal of Proposed Rule Change To Amend 
Rule 24.19

June 27, 2014.
    On March 21, 2014, the Chicago Board Options Exchange, Incorporated 
(the ``Exchange'' or ``CBOE'') filed with the Securities and Exchange 
Commission (the ``Commission''), pursuant to Section 19(b)(1) of the 
Securities Exchange Act of 1934 (the ``Act''),\1\ and Rule 19b-4 
thereunder,\2\ a proposed rule change to amend CBOE Rule 24.19 to 
revise several provisions governing the trading of Multi-Class Spread 
Orders. The proposed rule change was published for comment in the 
Federal Register on April 10, 2014.\3\ On April 10, 2014, the Exchange 
submitted Amendment No. 1 to the proposed rule change. On May 15, 2014 
and June 3, 2014, CBOE extended the time period in which the Commission 
must either approve the proposed rule change, disapprove the proposed 
rule change, or institute proceedings to determine whether to 
disapprove the proposed rule change to June 13, 2014, and to June 30, 
2014, respectively. The Commission has not received any comments on the 
proposed rule change. On June 25, 2014, CBOE withdrew the proposed rule 
change (SR-CBOE-2014-026).
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 71872 (April 4, 
2014), 79 FR 19940.

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\4\
---------------------------------------------------------------------------

    \4\ 17 CFR 200.30-3(a)(31).
---------------------------------------------------------------------------

Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-15609 Filed 7-2-14; 8:45 am]
BILLING CODE 8011-01-P
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.