Self-Regulatory Organizations; ISE Gemini, LLC; Order Approving Proposed Rule Change Related to Market Maker Risk Parameters, 57626-57627 [2014-22785]
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57626
Federal Register / Vol. 79, No. 186 / Thursday, September 25, 2014 / Notices
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
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.6
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2014–22782 Filed 9–24–14; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–73148; File No. SR–
ISEGemini–2014–09]
Paper Comments
September 19, 2014.
• Send paper comments in triplicate
to Secretary, Securities and Exchange
Commission, 100 F Street NE.,
Washington, DC 20549–1090.
mstockstill on DSK4VPTVN1PROD with NOTICES
• 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–
BSECC–2014–001 on the subject line.
I. Introduction
On March 10, 2014, the ISE Gemini,
LLC (the ‘‘Exchange’’ or ‘‘ISE Gemini’’)
filed with the Securities and Exchange
Commission (‘‘Commission’’), pursuant
to Section 19(b)(1) of the Securities
Exchange Act of 1934 (‘‘Act’’),1 and
Rule 19b–4 thereunder,2 a proposed rule
change to amend ISE Gemini Rule 804
to mitigate market maker risk by
adopting an Exchange-provided risk
management functionality. The
proposed rule change was published for
comment in the Federal Register on
March 26, 2014.3 The Commission
received no comments on the proposal.
On May 7, 2014, pursuant to Section
19(b)(2) of the Act,4 the Commission
designated a longer period within which
to either approve the proposed rule
change, disapprove the proposed rule
changes, or institute proceedings to
determine whether to disapprove the
proposed rule change.5 On June 24,
2014, the Commission instituted
proceedings to determine whether to
approve or disapprove the proposed
rule change.6 In response to the Order
All submissions should refer to File
Number SR–BSECC–2014–001. 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 BSECC. 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–BSECC–
2014–001 and should be submitted on
or before October 16, 2014.
6 17
CFR 200.30–3(a)(12).
VerDate Sep<11>2014
17:25 Sep 24, 2014
Jkt 232001
Self-Regulatory Organizations; ISE
Gemini, LLC; Order Approving
Proposed Rule Change Related to
Market Maker Risk Parameters
1 15
U.S.C. 78s(b)(1).
CFR 240.19b–4.
3 See Securities Exchange Act Release No. 71758
(March 20, 2014), 79 FR 16846 (March 26, 2014)
(SR–ISEGemini–2014–09) (‘‘Notice’’).
4 15 U.S.C. 78s(b)(2).
5 See Securities Exchange Act Release No. 72118,
79 FR 27355 (May 13, 2014). The Commission
determined that it was appropriate to designate a
longer period within which to take action on the
proposed rule change so that it would have
sufficient time to consider the proposed rule
change. Accordingly, the Commission designated
June 24, 2014, as the date by which it should
approve, disapprove, or institute proceedings to
determine whether to disapprove the proposed rule
change.
6 See Securities Exchange Act Release No. 72454,
79 FR 36854 (Jun. 30, 2014) (‘‘Order Instituting
Proceedings’’). In the Order Instituting Proceedings,
the Commission noted, among other things, that
questions remain as to whether the Exchange’s
proposal is consistent with the requirements of
2 17
PO 00000
Frm 00124
Fmt 4703
Sfmt 4703
Instituting Proceedings, the Commission
received five comment letters on the
proposal.7 This order approves the
proposed rule change.
II. Description of the Proposal
The Exchange proposes to amend ISE
Gemini Rule 804 to enhance its risk
management offering for market maker
quotes.8
Currently, there are four parameters
that can be set by market makers on a
class-by-class basis. These parameters
are available for market maker quotes in
single options series and in complex
instruments on the complex order book.
Market makers establish a time frame
during which the system calculates: (1)
The number of contracts executed by
the market maker in an options class; (2)
the percentage of the total size of the
market maker’s quotes in the class that
has been executed; (3) the absolute
value of the net between contracts
bought and sold in an options class, and
(4) the absolute value of the net between
(a) calls purchased plus puts sold, and
(b) calls sold plus puts purchased. Once
the limits for each of the four
parameters are exceeded within the
prescribed time frame, the market
maker’s quotes in all series of that class
are automatically removed or curtailed.
Additionally, ISE Gemini’s rules
provide that if a specified number of
curtailment events are exceeded within
the prescribed time period, the market
maker quotes in all classes will be
automatically removed from ISE
Gemini’s trading system.9 The Exchange
Section 6(b)(5) of the Act, which requires, among
other things, that the rules of a national securities
exchange be designed to prevent fraudulent and
manipulative acts and practices, to promote just
and equitable principles of trade, to perfect the
mechanism of a free and open market and a
national market system, and not be designed to
permit unfair discrimination between customers,
issuers, brokers, or dealers. Additionally, the
Commission questioned whether the proposal is
consistent with Section 6(b)(8) of the Act, which
requires that the rules of a national securities
exchange do not impose any burden on competition
not necessary or appropriate in furtherance of the
purposes of the Act.
7 See Letters to the Commission from Andrew
Killion, Chief Executive Officer, Akuna Securities
LLC, dated July 24, 2014 (‘‘Akuna Letter’’); Brent
Hippert, President/CCO, Hardcastle Trading USA
LLC, dated July 28, 2014 (‘‘Hardcastle Letter’’); John
Kinahan, Chief Executive Officer, Group One
Trading, L.P., dated July 29, 2014 (‘‘Group One
Letter’’); Sebastiaan Koeling, Chief Executive
Officer, Optiver US LLC, dated July 29, 2014
(‘‘Optiver Letter’’); and Andrew Stevens, General
Counsel, IMC Chicago, LLC d/b/a IMC Financial
Markets, dated August 18, 2014 (‘‘IMC Letter’’).
8 For a more complete description of the proposal,
see Notice, supra note 3.
9 See Securities Exchange Act Release Nos. 70644
(October 9, 2013), 78 FR 62785 (October 22, 2013)
(SR–Topaz–2013–06) and 71447 (January 30, 2014),
79 FR 6956 (February 5, 2014) (SR–Topaz–2014–
04).
E:\FR\FM\25SEN1.SGM
25SEN1
Federal Register / Vol. 79, No. 186 / Thursday, September 25, 2014 / Notices
now proposes to implement
functionality to allow market maker
quotes to be removed from the trading
system if a specified number of
curtailment events occur across both ISE
Gemini and the International Securities
Exchange, LLC (‘‘ISE’’).
To the extent that a market maker
utilizes the offered functionality, ISE
and ISE Gemini’s trading systems will
count the number of times a market
maker’s pre-set curtailment events occur
on each exchange and aggregate them.
Once a market maker’s specified
number of curtailment events across
both markets is reached, the trading
systems will remove the market maker’s
quotes in all classes on both ISE and ISE
Gemini. The Exchange will then reject
any quotes sent by the market maker
after the parameters across both
exchanges have been triggered until the
market maker notifies the market
operations staff of the Exchange that it
is ready to come out of its curtailment.
Once notified by the market maker, the
Exchange will reactivate the market
maker’s quotes on the Exchange.
The Exchange believes that the
proposal will enhance the Exchange’s
current risk management offering by
allowing market makers to manage their
risk across ISE and ISE Gemini. The
Exchange also provides that the
proposal will protect market makers
from inadvertent exposure to excessive
risk and thereby allow them to quote
aggressively and provide more liquidity
with greater size to both markets. The
Exchange further represents that its
proposal will operate consistently with
the firm quote obligations of a brokerdealer pursuant to Rule 602 of
Regulation NMS and that the
functionality is not mandatory.
mstockstill on DSK4VPTVN1PROD with NOTICES
III. Summary of Comment Letters
As noted above, the Commission
received five comment letters in
response to the Order Instituting
Proceedings.10 All of the commenters
support the proposal. Three of the five
commenters are registered options
market makers on ISE,11 while the other
two are registered options market
makers on both ISE and ISE Gemini.12
The commenters note that, while the
current risk protections on the Exchange
help manage risk, systems and other
issues that trigger such risk parameters
are normally not confined to a member
10 See
supra note 7.
Akuna Letter; Hardcastle Letter; and Group
One Letter, supra note 7.
12 See Optiver Letter and IMC Letter, supra note
7.
11 See
VerDate Sep<11>2014
17:25 Sep 24, 2014
Jkt 232001
firm’s activity on a single exchange.13
Accordingly, the commenters believe
that the Exchange’s proposal to
aggregate curtailment events across both
ISE and ISE Gemini would allow market
makers to more effectively manage
risk.14 The commenters state that the
proposed rule change would allow
market makers to continue to actively
provide liquidity, while facilitating
effective management of the risks
associated with quoting a large number
of option series across multiple
exchanges.15 Further, the commenters
believe that allowing market makers to
better manage their risk would benefit
the broader market, as it would reduce
disruptive trading events.16
Two commenters who are registered
market makers on ISE but not on ISE
Gemini also believe that the proposal is
not unfairly discriminatory in violation
of Section 6(b)(5) of the Act.17 These
two commenters note that the proposal
is optional to market makers and is not
unfairly discriminatory to firms who
simply have no need for the proposal’s
additional protections by virtue of only
trading on either ISE or ISE Gemini.18
IV. Discussion and Commission
Findings
After careful review, the Commission
finds that the proposed rule change is
consistent with the requirements of the
Act and the rules and regulations
thereunder applicable to a national
securities exchange.19 Specifically, the
Commission finds that the proposed
rule change is consistent with Section
6(b)(5) of the Act,20 which requires,
among other things, that the rules of a
national securities exchange be
designed to prevent fraudulent and
manipulative acts and practices, to
promote just and equitable principles of
trade, to remove impediments to and
perfect the mechanism of a free and
open market and a national market
system and, not be designed to permit
13 See Akuna Letter; Group One Letter, Hardcastle
Letter; IMC Letter; and Optiver Letter, supra note
7.
14 See, e.g., Akuna Letter at 2; Hardcastle Letter
at 2; and Optiver Letter, supra note 7.
15 See Optiver Letter and IMC Letter, supra note
7.
16 See Akuna Letter at 2; Hardcastle Letter at 2;
and Optiver Letter, supra note 7.
17 See Akuna Letter at 2 and Hardcastle Letter at
2, supra note 7.
18 Id. One commenter also states that it does not
believe the proposal places any undue burden on
competition between options exchanges. See Group
One Letter at 2, supra note 7.
19 In approving this proposed rule change, the
Commission has considered the proposed rule’s
impact on efficiency, competition, and capital
formation. See 15 U.S.C. 78c(f).
20 15 U.S.C. 78f(b)(5).
PO 00000
Frm 00125
Fmt 4703
Sfmt 4703
57627
unfair discrimination between
customers, issuers, brokers, or dealers.
The Commission believes that the
proposal could assist ISE Gemini market
makers manage and reduce inadvertent
exposure to excessive risk across both
ISE and ISE Gemini. The Commission
notes that the proposed functionality is
not mandatory and must operate
consistent with the firm quote
obligations of Rule 602 of Regulation
NMS. The Commission also notes that
all five commenters expressed support
for the proposal.
For the foregoing reasons, the
Commission believes that the proposed
rule change is consistent with the Act.
V. Conclusion
It is therefore ordered, pursuant to
Section 19(b)(2) of the Act 21 that the
proposed rule change (SR–ISEGemini–
2014–09) be, and it hereby is, approved.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.22
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2014–22785 Filed 9–24–14; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–73153; File No. SR–NYSE–
2014–51]
Self-Regulatory Organizations; New
York Stock Exchange LLC; Notice of
Filing and Immediate Effectiveness of
Proposed Rule Change Amending
Sections 902.03, 902.04, 902.05, 902.06
and 902.08 of the Listed Company
Manual To Increase Certain of the Fees
Set Forth Therein and To Delete
Obsolete Rule Text
September 19, 2014.
Pursuant to Section 19(b)(1) 1 of the
Securities Exchange Act of 1934 (the
‘‘Act’’) 2 and Rule 19b–4 thereunder,3
notice is hereby given that, on
September 8, 2014, New York Stock
Exchange LLC (‘‘NYSE’’ or the
‘‘Exchange’’) filed with the Securities
and Exchange Commission (the
‘‘Commission’’) the proposed rule
change as described in Items I, II, and
III below, which Items have been
prepared by the Exchange. The
Commission is publishing this notice to
21 15
U.S.C. 78s(b)(2).
CFR 200.30–3(a)(12).
1 15 U.S.C. 78s(b)(1).
2 15 U.S.C. 78a.
3 17 CFR 240.19b–4.
22 17
E:\FR\FM\25SEN1.SGM
25SEN1
Agencies
[Federal Register Volume 79, Number 186 (Thursday, September 25, 2014)]
[Notices]
[Pages 57626-57627]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-22785]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-73148; File No. SR-ISEGemini-2014-09]
Self-Regulatory Organizations; ISE Gemini, LLC; Order Approving
Proposed Rule Change Related to Market Maker Risk Parameters
September 19, 2014.
I. Introduction
On March 10, 2014, the ISE Gemini, LLC (the ``Exchange'' or ``ISE
Gemini'') filed with the Securities and Exchange Commission
(``Commission''), pursuant to Section 19(b)(1) of the Securities
Exchange Act of 1934 (``Act''),\1\ and Rule 19b-4 thereunder,\2\ a
proposed rule change to amend ISE Gemini Rule 804 to mitigate market
maker risk by adopting an Exchange-provided risk management
functionality. The proposed rule change was published for comment in
the Federal Register on March 26, 2014.\3\ The Commission received no
comments on the proposal. On May 7, 2014, pursuant to Section 19(b)(2)
of the Act,\4\ the Commission designated a longer period within which
to either approve the proposed rule change, disapprove the proposed
rule changes, or institute proceedings to determine whether to
disapprove the proposed rule change.\5\ On June 24, 2014, the
Commission instituted proceedings to determine whether to approve or
disapprove the proposed rule change.\6\ In response to the Order
Instituting Proceedings, the Commission received five comment letters
on the proposal.\7\ This order approves the proposed rule change.
---------------------------------------------------------------------------
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b-4.
\3\ See Securities Exchange Act Release No. 71758 (March 20,
2014), 79 FR 16846 (March 26, 2014) (SR-ISEGemini-2014-09)
(``Notice'').
\4\ 15 U.S.C. 78s(b)(2).
\5\ See Securities Exchange Act Release No. 72118, 79 FR 27355
(May 13, 2014). The Commission determined that it was appropriate to
designate a longer period within which to take action on the
proposed rule change so that it would have sufficient time to
consider the proposed rule change. Accordingly, the Commission
designated June 24, 2014, as the date by which it should approve,
disapprove, or institute proceedings to determine whether to
disapprove the proposed rule change.
\6\ See Securities Exchange Act Release No. 72454, 79 FR 36854
(Jun. 30, 2014) (``Order Instituting Proceedings''). In the Order
Instituting Proceedings, the Commission noted, among other things,
that questions remain as to whether the Exchange's proposal is
consistent with the requirements of Section 6(b)(5) of the Act,
which requires, among other things, that the rules of a national
securities exchange be designed to prevent fraudulent and
manipulative acts and practices, to promote just and equitable
principles of trade, to perfect the mechanism of a free and open
market and a national market system, and not be designed to permit
unfair discrimination between customers, issuers, brokers, or
dealers. Additionally, the Commission questioned whether the
proposal is consistent with Section 6(b)(8) of the Act, which
requires that the rules of a national securities exchange do not
impose any burden on competition not necessary or appropriate in
furtherance of the purposes of the Act.
\7\ See Letters to the Commission from Andrew Killion, Chief
Executive Officer, Akuna Securities LLC, dated July 24, 2014
(``Akuna Letter''); Brent Hippert, President/CCO, Hardcastle Trading
USA LLC, dated July 28, 2014 (``Hardcastle Letter''); John Kinahan,
Chief Executive Officer, Group One Trading, L.P., dated July 29,
2014 (``Group One Letter''); Sebastiaan Koeling, Chief Executive
Officer, Optiver US LLC, dated July 29, 2014 (``Optiver Letter'');
and Andrew Stevens, General Counsel, IMC Chicago, LLC d/b/a IMC
Financial Markets, dated August 18, 2014 (``IMC Letter'').
---------------------------------------------------------------------------
II. Description of the Proposal
The Exchange proposes to amend ISE Gemini Rule 804 to enhance its
risk management offering for market maker quotes.\8\
---------------------------------------------------------------------------
\8\ For a more complete description of the proposal, see Notice,
supra note 3.
---------------------------------------------------------------------------
Currently, there are four parameters that can be set by market
makers on a class-by-class basis. These parameters are available for
market maker quotes in single options series and in complex instruments
on the complex order book. Market makers establish a time frame during
which the system calculates: (1) The number of contracts executed by
the market maker in an options class; (2) the percentage of the total
size of the market maker's quotes in the class that has been executed;
(3) the absolute value of the net between contracts bought and sold in
an options class, and (4) the absolute value of the net between (a)
calls purchased plus puts sold, and (b) calls sold plus puts purchased.
Once the limits for each of the four parameters are exceeded within the
prescribed time frame, the market maker's quotes in all series of that
class are automatically removed or curtailed. Additionally, ISE
Gemini's rules provide that if a specified number of curtailment events
are exceeded within the prescribed time period, the market maker quotes
in all classes will be automatically removed from ISE Gemini's trading
system.\9\ The Exchange
[[Page 57627]]
now proposes to implement functionality to allow market maker quotes to
be removed from the trading system if a specified number of curtailment
events occur across both ISE Gemini and the International Securities
Exchange, LLC (``ISE'').
---------------------------------------------------------------------------
\9\ See Securities Exchange Act Release Nos. 70644 (October 9,
2013), 78 FR 62785 (October 22, 2013) (SR-Topaz-2013-06) and 71447
(January 30, 2014), 79 FR 6956 (February 5, 2014) (SR-Topaz-2014-
04).
---------------------------------------------------------------------------
To the extent that a market maker utilizes the offered
functionality, ISE and ISE Gemini's trading systems will count the
number of times a market maker's pre-set curtailment events occur on
each exchange and aggregate them. Once a market maker's specified
number of curtailment events across both markets is reached, the
trading systems will remove the market maker's quotes in all classes on
both ISE and ISE Gemini. The Exchange will then reject any quotes sent
by the market maker after the parameters across both exchanges have
been triggered until the market maker notifies the market operations
staff of the Exchange that it is ready to come out of its curtailment.
Once notified by the market maker, the Exchange will reactivate the
market maker's quotes on the Exchange.
The Exchange believes that the proposal will enhance the Exchange's
current risk management offering by allowing market makers to manage
their risk across ISE and ISE Gemini. The Exchange also provides that
the proposal will protect market makers from inadvertent exposure to
excessive risk and thereby allow them to quote aggressively and provide
more liquidity with greater size to both markets. The Exchange further
represents that its proposal will operate consistently with the firm
quote obligations of a broker-dealer pursuant to Rule 602 of Regulation
NMS and that the functionality is not mandatory.
III. Summary of Comment Letters
As noted above, the Commission received five comment letters in
response to the Order Instituting Proceedings.\10\ All of the
commenters support the proposal. Three of the five commenters are
registered options market makers on ISE,\11\ while the other two are
registered options market makers on both ISE and ISE Gemini.\12\
---------------------------------------------------------------------------
\10\ See supra note 7.
\11\ See Akuna Letter; Hardcastle Letter; and Group One Letter,
supra note 7.
\12\ See Optiver Letter and IMC Letter, supra note 7.
---------------------------------------------------------------------------
The commenters note that, while the current risk protections on the
Exchange help manage risk, systems and other issues that trigger such
risk parameters are normally not confined to a member firm's activity
on a single exchange.\13\ Accordingly, the commenters believe that the
Exchange's proposal to aggregate curtailment events across both ISE and
ISE Gemini would allow market makers to more effectively manage
risk.\14\ The commenters state that the proposed rule change would
allow market makers to continue to actively provide liquidity, while
facilitating effective management of the risks associated with quoting
a large number of option series across multiple exchanges.\15\ Further,
the commenters believe that allowing market makers to better manage
their risk would benefit the broader market, as it would reduce
disruptive trading events.\16\
---------------------------------------------------------------------------
\13\ See Akuna Letter; Group One Letter, Hardcastle Letter; IMC
Letter; and Optiver Letter, supra note 7.
\14\ See, e.g., Akuna Letter at 2; Hardcastle Letter at 2; and
Optiver Letter, supra note 7.
\15\ See Optiver Letter and IMC Letter, supra note 7.
\16\ See Akuna Letter at 2; Hardcastle Letter at 2; and Optiver
Letter, supra note 7.
---------------------------------------------------------------------------
Two commenters who are registered market makers on ISE but not on
ISE Gemini also believe that the proposal is not unfairly
discriminatory in violation of Section 6(b)(5) of the Act.\17\ These
two commenters note that the proposal is optional to market makers and
is not unfairly discriminatory to firms who simply have no need for the
proposal's additional protections by virtue of only trading on either
ISE or ISE Gemini.\18\
---------------------------------------------------------------------------
\17\ See Akuna Letter at 2 and Hardcastle Letter at 2, supra
note 7.
\18\ Id. One commenter also states that it does not believe the
proposal places any undue burden on competition between options
exchanges. See Group One Letter at 2, supra note 7.
---------------------------------------------------------------------------
IV. Discussion and Commission Findings
After careful review, the Commission finds that the proposed rule
change is consistent with the requirements of the Act and the rules and
regulations thereunder applicable to a national securities
exchange.\19\ Specifically, the Commission finds that the proposed rule
change is consistent with Section 6(b)(5) of the Act,\20\ which
requires, among other things, that the rules of a national securities
exchange be designed to prevent fraudulent and manipulative acts and
practices, to promote just and equitable principles of trade, to remove
impediments to and perfect the mechanism of a free and open market and
a national market system and, not be designed to permit unfair
discrimination between customers, issuers, brokers, or dealers.
---------------------------------------------------------------------------
\19\ In approving this proposed rule change, the Commission has
considered the proposed rule's impact on efficiency, competition,
and capital formation. See 15 U.S.C. 78c(f).
\20\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------
The Commission believes that the proposal could assist ISE Gemini
market makers manage and reduce inadvertent exposure to excessive risk
across both ISE and ISE Gemini. The Commission notes that the proposed
functionality is not mandatory and must operate consistent with the
firm quote obligations of Rule 602 of Regulation NMS. The Commission
also notes that all five commenters expressed support for the proposal.
For the foregoing reasons, the Commission believes that the
proposed rule change is consistent with the Act.
V. Conclusion
It is therefore ordered, pursuant to Section 19(b)(2) of the Act
\21\ that the proposed rule change (SR-ISEGemini-2014-09) be, and it
hereby is, approved.
---------------------------------------------------------------------------
\21\ 15 U.S.C. 78s(b)(2).
\22\ 17 CFR 200.30-3(a)(12).
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\22\
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-22785 Filed 9-24-14; 8:45 am]
BILLING CODE 8011-01-P