Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing of Proposed Rule Change to Update OCX's Rulebook To Remove References To the OCX.BETS and CBOEdirect Trading Platforms, 58395-58397 [2014-23047]
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Federal Register / Vol. 79, No. 188 / Monday, September 29, 2014 / Notices
for purposes of the Charter as described
above, will capture NASDAQ OMX’s
current self-regulatory subsidiaries as
well as any subsidiaries that in the
future meet the definition of ‘‘selfregulatory organization’’ under the Act.
Consequently, such future selfregulatory subsidiaries will
automatically be subject to the By-Law
provisions relating to these subsidiaries
without NASDAQ OMX having to take
formal action to amend the By-Laws to
include them. The proposed By-Law
amendments also include the correction
of a typographical error in Article I and
minor edits to Section 12.5 to conform
the language regarding the 5% voting
limitation to the language in the
analogous provision of the Charter.
tkelley on DSK3SPTVN1PROD with NOTICES
2. Statutory Basis
The Exchange believes that its
proposal is consistent with Section 6(b)
of the Act,5 in general, and furthers the
objectives of Section 6(b)(5) of the Act,6
in particular, in that it is designed 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, in general to protect
investors and the public interest.
NASDAQ OMX is proposing changes
to its Charter and By-Laws to conform
the provisions in each document
relating to the procedures by which
NASDAQ OMX’s Board may grant an
exemption to the prohibition on any
NASDAQ OMX stockholder voting
shares in excess of 5% of the Company’s
then-outstanding shares of capital stock.
The Exchange believes that the changes
will protect investors and the public
interest by eliminating confusion that
may exist because of the current
language differences between the two
provisions. In addition, NASDAQ OMX
is proposing to define ‘‘self-regulatory
subsidiary’’ with reference to a
definition in the Act. The Exchange
believes that this will protect investors
and the public interest by ensuring that
any NASDAQ OMX subsidiary that
meets the definition of ‘‘self-regulatory
organization’’ in the Act will be subject
to the Charter and By-Law provisions
relating to self-regulatory subsidiaries.
Finally, the remaining changes are
clarifying in nature, and they enhance
investor protection by making NASDAQ
OMX’s governance documents clearer
and easier to understand.
5 15
6 15
U.S.C. 78f(b).
U.S.C. 78f(b)(5).
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16:44 Sep 26, 2014
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B. Self-Regulatory Organization’s
Statement on Burden on Competition
Because the proposed rule change
relates to the governance of NASDAQ
OMX and not to the operations of the
Exchange, the Exchange does not
believe that the proposed rule change
will impose any burden on competition
not necessary or appropriate in
furtherance of the purposes of the Act.
C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received From
Members, Participants or Others
No written comments were either
solicited or received.
III. Date of Effectiveness of the
Proposed Rule Change and Timing for
Commission Action
Within 45 days of the date of
publication of this notice in the Federal
Register or within such longer period (i)
as the Commission may designate up to
90 days of such date if it finds such
longer period to be appropriate and
publishes its reasons for so finding or
(ii) as to which the Exchange consents,
the Commission shall: (a) By order
approve or disapprove such proposed
rule change, or (b) institute proceedings
to determine whether the proposed rule
change should be disapproved.
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–
Phlx–2014–61 on the subject line.
Paper Comments
• Send paper comments in triplicate
to Brent J. Fields, Secretary, Securities
and Exchange Commission, 100 F Street
NE., Washington, DC 20549–1090.
All submissions should refer to File
Number SR–Phlx–2014–61. 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
PO 00000
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58395
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
offices of the Exchange. 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–Phlx–
2014–61, and should be submitted on or
before October 20, 2014.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.7
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2014–23050 Filed 9–26–14; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–73191; File No. SR–OC–
2014–04]
Self-Regulatory Organizations;
OneChicago, LLC; Notice of Filing of
Proposed Rule Change to Update
OCX’s Rulebook To Remove
References To the OCX.BETS and
CBOEdirect Trading Platforms
September 23, 2014.
Pursuant to Section 19(b)(7) of the
Securities Exchange Act of 1934 (the
‘‘Act’’), 1 notice is hereby given that on
September 4, 2014, OneChicago, LLC
(‘‘OneChicago,’’ ‘‘OCX,’’ or the
‘‘Exchange’’) filed with the Securities
and Exchange Commission (‘‘SEC’’ or
‘‘Commission’’) the proposed rule
change 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.
OneChicago has also filed this rule
change with the Commodity Futures
Trading Commission (‘‘CFTC’’).
7 17
1 15
E:\FR\FM\29SEN1.SGM
CFR 200.30–3(a)(12).
U.S.C. 78s(b)(7).
29SEN1
58396
Federal Register / Vol. 79, No. 188 / Monday, September 29, 2014 / Notices
OneChicago filed a written certification
with the CFTC under Section 5c(c) of
the Commodity Exchange Act (‘‘CEA’’)
on September 4, 2014.
I. Self-Regulatory Organization’s
Description of the Proposed Rule
Change
OCX is proposing to amend its
Rulebook to remove references to the
OCX.BETS and CBOEdirect trading
platforms. Currently, trading on OCX is
bifurcated between these two platforms.
OCX.BETS provides a marketplace for
trading blocks and Exchange of Futures
for Physicals (EFPs), whereas
CBOEdirect provides a central limit
order book for traditional, low latency
trading. Beginning on September 22,
2014, OCX will phase out its OCX.BETS
platform, and replace it with its new
trading platform, OCXdelta1. OCX will
also replace CBOEdirect with
OCXdelta1 in early 2015. Accordingly,
OCX is removing references to these two
platforms in its Rulebook, and replacing
them with references to the OneChicago
System, a term that is already defined in
the OCX Rulebook.
The text of the proposed rule change
is attached as Exhibit 4 to the filing
submitted by the Exchange but is not
attached to the published notice of the
filing.
II. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
In its filing with the Commission,
OneChicago 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
self-regulatory organization 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
tkelley on DSK3SPTVN1PROD with NOTICES
1. Purpose
The purpose of OneChicago’s filing is
to update the OCX Rulebook to remove
references to the OCX.BETS and
CBOEdirect trading platforms, which
OCX is phasing out and replacing.
Currently, the OCX Rulebook mentions
OCX.BETS and CBOEdirect in various
OCX Rules. This rule filing proposes to
update the OCX Rulebook to refer to the
OneChicago System, which is a defined
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16:44 Sep 26, 2014
Jkt 232001
term and broadly refers to any trading
platform that OCX may utilize.
2. Statutory Basis
OneChicago believes that the
proposed rule change is consistent with
Section 6(b) of the Act,2 in general, and
furthers the objectives of Section 6(b)(5)
of the Act,3 in particular, in that it is
designed to foster cooperation and
coordination with persons engaged in
facilitating transactions in securities,
and remove impediments to and perfect
the mechanism of a free and open
market and national market system.
OneChicago believes that updating the
Rulebook to remove references to
trading platforms it will no longer
support ensures that market participants
are aware of the method by which
trading is conducted on the Exchange.
The proposed rule change also ensures
that the OCX Rulebook is up to date and
accurate.
B. Self-Regulatory Organization’s
Statement on Burden on Competition
OneChicago does not believe that the
proposed rule changes will impose any
impact, or impose any burden, on
competition not necessary or
appropriate in furtherance of the
purposes of the Act. The rule change
simply makes clerical changes to the
OCX Rulebook. The rule change does
not impose any new burdens on any
market participants. The Exchange
believes that the proposed rule change
is equitable and not unfairly
discriminatory because all of the
amended rules apply equally to all
market participants.
C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received From
Members, Participants, or Others
No written comments were solicited
or received with respect to the proposed
rule change.
III. Date of Effectiveness of the
Proposed Rule Change and Timing for
Commission Action
The rule change will become
operative on September 22, 2014.
At any time within 60 days of the date
of effectiveness of the proposed rule
change, the Commission, after
consultation with the CFTC, may
summarily abrogate the proposed rule
change and require that the proposed
rule change be refiled in accordance
with the provisions of Section 19(b)(1)
of the Act.4
U.S.C. 78f(b).
U.S.C. 78(f)(b)(5).
4 15 U.S.C. 78s(b)(1).
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–
OC–2014–04 on the subject line.
Paper Comments
• Send paper comments in triplicate
to Brent J. Fields, Secretary, Securities
and Exchange Commission, 100 F Street
NE., Washington, DC 20549–1090.
All submissions should refer to File
Number SR–OC–2014–04. 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
offices of the Exchange. 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–OC–
2014–04, and should be submitted on or
before October20, 2014.
2 15
3 15
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CFR 200.30–3(a)(12).
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Federal Register / Vol. 79, No. 188 / Monday, September 29, 2014 / Notices
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.5
Kevin M. O’Neill,
Deputy Secretary.
[FR Doc. 2014–23047 Filed 9–26–14; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
Self-Regulatory Organizations;
NASDAQ OMX BX, Inc.; Notice of Filing
of Proposed Rule Change To Amend
the Amended and Restated Certificate
of Incorporation and By-Laws of the
NASDAQ OMX Group, Inc.
September 23, 2014.
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
September 10, 2014, NASDAQ OMX
BX, Inc. (‘‘BX’’ or ‘‘Exchange’’) 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 prepared by the Exchange.
The Commission is publishing this
notice to solicit comments on the
proposed rule change from interested
persons.
tkelley on DSK3SPTVN1PROD with NOTICES
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
The Exchange is filing this proposed
rule change with respect to amendments
of the Amended and Restated Certificate
of Incorporation (the ‘‘Charter’’) and ByLaws (the ‘‘By-Laws’’) of its parent
corporation, The NASDAQ OMX Group,
Inc. (‘‘NASDAQ OMX’’ or the
‘‘Company’’). The proposed
amendments will be implemented on a
date designated by NASDAQ OMX
following approval by the Commission.
The text of the proposed rule change is
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
Statutory Basis for, the Proposed Rule
Change
In its filing with the Commission, the
Exchange included statements
concerning the purpose of and basis for
2 17
U.S.C. 78s(b)(1).
CFR 240.19b–4.
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16:44 Sep 26, 2014
Jkt 232001
(ii) Proposed Amendments to Charter
First, unlike the Charter, the By-Laws
state that for so long as NASDAQ OMX
shall control, directly or indirectly, any
self-regulatory subsidiary, a resolution
of the Board to approve an exemption
for any person under Article Fourth,
Paragraph C(6) of the Charter shall not
be permitted to become effective until
such resolution has been filed with and
approved by the SEC under Section 19
of the Act. NASDAQ OMX proposes that
this requirement be added to the Charter
and that ‘‘self-regulatory subsidiary,’’
which is currently not a defined term in
the Charter, be defined as any
subsidiary of NASDAQ OMX that is a
‘‘self-regulatory organization’’ as
defined under Section 3(a)(26) of the
Act.4 At present, this defined term
would include NASDAQ, BX and Phlx,
which are national securities exchanges,
and BSECC and SCCP, which are
registered clearing agencies that are both
currently dormant.
Second, both the Charter and the ByLaws state that the Board may not
approve an exemption to the 5% voting
limitation for: (i) A registered broker or
dealer or an affiliate thereof or (ii) an
individual or entity that is subject to a
statutory disqualification under Section
3(a)(39) of the Act. The By-Laws include
a further proviso stating that, for these
purposes, an ‘‘affiliate’’ shall not be
deemed to include an entity that either
owns 10% or less of the equity of a
broker or dealer, or receives 1% or less
of its consolidated gross revenues from
a broker or dealer. This proviso, which
is not currently included in the Charter,
allows NASDAQ OMX’s Board to grant
exemptions to the 5% voting limitation
for entities that either own 10% or less
of the equity of a broker or dealer, or
receive 1% or less of their consolidated
gross revenues from a broker or dealer.
NASDAQ OMX proposes that this
proviso be added to the Charter to
ensure consistency between the Charter
and By-Laws.
Third, both the Charter and By-Laws
require the Board to make certain
determinations prior to granting an
exemption to the 5% voting limitation.
Regarding the first of these
determinations, the Charter states that
the Board must determine that granting
such an exemption would not
reasonably be expected to diminish the
quality of, or public confidence in,
NASDAQ OMX or The NASDAQ Stock
Market LLC or the other operations of
NASDAQ OMX and its subsidiaries, on
the ability to prevent fraudulent and
manipulative acts and practices and on
investors and the public. The By-Laws
include similar language, but state that
the Board must make this determination
with respect to NASDAQ OMX or its
self-regulatory-subsidiaries. Because the
3 See Securities Exchange Act Release No. 71353
(January 17, 2014), 79 FR 4209 (January 24, 2014)
(SR–BSECC–2013–001, SR–BX–2013–057, SR–
NASDAQ–2013–148, SR–Phlx–2013–115, SR–
SCCP–2013–01), at note 14.
4 Under Section 3(a)(26) of the Act, a ‘‘selfregulatory organization’’ is ‘‘any national securities
exchange, registered securities association, or
registered clearing agency. . .’’ 15 U.S.C.
78c(a)(26).
A. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
[Release No. 34–73195; File No. SR–BX–
2014–045]
1 15
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.
58397
1. Purpose
NASDAQ OMX is proposing to make
certain amendments to its Charter and
By-Laws.
(i) Background
Article Fourth, Paragraph C of
NASDAQ OMX’s Charter includes a
voting limitation that generally
prohibits a stockholder from voting
shares beneficially owned, directly or
indirectly, by such stockholder in
excess of 5% of the then-outstanding
shares of capital stock of NASDAQ
OMX entitled to vote as of the record
date in respect of any matter. Pursuant
to Article Fourth, Paragraph C(6) of the
Charter, NASDAQ OMX’s Board may
grant exemptions to this limitation prior
to the time a stockholder beneficially
owns more than 5% of the outstanding
shares of stock entitled to vote on the
election of a majority of directors at
such time. NASDAQ OMX’s Board has
never granted an exemption to the 5%
voting limitation and has no current
plans to do so. However, in the event
the Board decides to grant such an
exemption in the future, Article Fourth,
Paragraph C(6) of the Charter and
Section 12.5 of the By-Laws limit the
Board’s authority to grant the
exemption. These provisions, which are
intended to be substantively identical,
currently contain some language
differences. Following discussions with
the SEC staff,3 NASDAQ OMX proposes
the amendments described below to the
Charter and By-Laws to conform these
provisions and remove any ambiguity
that may exist because of the current
language differences.
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]]>Agencies
[Federal Register Volume 79, Number 188 (Monday, September 29, 2014)]
[Notices]
[Pages 58395-58397]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2014-23047]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-73191; File No. SR-OC-2014-04]
Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing
of Proposed Rule Change to Update OCX's Rulebook To Remove References
To the OCX.BETS and CBOEdirect Trading Platforms
September 23, 2014.
Pursuant to Section 19(b)(7) of the Securities Exchange Act of 1934
(the ``Act''), \1\ notice is hereby given that on September 4, 2014,
OneChicago, LLC (``OneChicago,'' ``OCX,'' or the ``Exchange'') filed
with the Securities and Exchange Commission (``SEC'' or ``Commission'')
the proposed rule change 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. OneChicago has also filed
this rule change with the Commodity Futures Trading Commission
(``CFTC'').
[[Page 58396]]
OneChicago filed a written certification with the CFTC under Section
5c(c) of the Commodity Exchange Act (``CEA'') on September 4, 2014.
---------------------------------------------------------------------------
\1\ 15 U.S.C. 78s(b)(7).
---------------------------------------------------------------------------
I. Self-Regulatory Organization's Description of the Proposed Rule
Change
OCX is proposing to amend its Rulebook to remove references to the
OCX.BETS and CBOEdirect trading platforms. Currently, trading on OCX is
bifurcated between these two platforms. OCX.BETS provides a marketplace
for trading blocks and Exchange of Futures for Physicals (EFPs),
whereas CBOEdirect provides a central limit order book for traditional,
low latency trading. Beginning on September 22, 2014, OCX will phase
out its OCX.BETS platform, and replace it with its new trading
platform, OCXdelta1. OCX will also replace CBOEdirect with OCXdelta1 in
early 2015. Accordingly, OCX is removing references to these two
platforms in its Rulebook, and replacing them with references to the
OneChicago System, a term that is already defined in the OCX Rulebook.
The text of the proposed rule change is attached as Exhibit 4 to
the filing submitted by the Exchange but is not attached to the
published notice of the filing.
II. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change
In its filing with the Commission, OneChicago 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 self-regulatory organization 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
1. Purpose
The purpose of OneChicago's filing is to update the OCX Rulebook to
remove references to the OCX.BETS and CBOEdirect trading platforms,
which OCX is phasing out and replacing. Currently, the OCX Rulebook
mentions OCX.BETS and CBOEdirect in various OCX Rules. This rule filing
proposes to update the OCX Rulebook to refer to the OneChicago System,
which is a defined term and broadly refers to any trading platform that
OCX may utilize.
2. Statutory Basis
OneChicago believes that the proposed rule change is consistent
with Section 6(b) of the Act,\2\ in general, and furthers the
objectives of Section 6(b)(5) of the Act,\3\ in particular, in that it
is designed to foster cooperation and coordination with persons engaged
in facilitating transactions in securities, and remove impediments to
and perfect the mechanism of a free and open market and national market
system. OneChicago believes that updating the Rulebook to remove
references to trading platforms it will no longer support ensures that
market participants are aware of the method by which trading is
conducted on the Exchange. The proposed rule change also ensures that
the OCX Rulebook is up to date and accurate.
---------------------------------------------------------------------------
\2\ 15 U.S.C. 78f(b).
\3\ 15 U.S.C. 78(f)(b)(5).
---------------------------------------------------------------------------
B. Self-Regulatory Organization's Statement on Burden on Competition
OneChicago does not believe that the proposed rule changes will
impose any impact, or impose any burden, on competition not necessary
or appropriate in furtherance of the purposes of the Act. The rule
change simply makes clerical changes to the OCX Rulebook. The rule
change does not impose any new burdens on any market participants. The
Exchange believes that the proposed rule change is equitable and not
unfairly discriminatory because all of the amended rules apply equally
to all market participants.
C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others
No written comments were solicited or received with respect to the
proposed rule change.
III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action
The rule change will become operative on September 22, 2014.
At any time within 60 days of the date of effectiveness of the
proposed rule change, the Commission, after consultation with the CFTC,
may summarily abrogate the proposed rule change and require that the
proposed rule change be refiled in accordance with the provisions of
Section 19(b)(1) of the Act.\4\
---------------------------------------------------------------------------
\4\ 15 U.S.C. 78s(b)(1).
---------------------------------------------------------------------------
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-OC-2014-04 on the subject line.
Paper Comments
Send paper comments in triplicate to Brent J. Fields,
Secretary, Securities and Exchange Commission, 100 F Street NE.,
Washington, DC 20549-1090.
All submissions should refer to File Number SR-OC-2014-04. 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 offices of the Exchange.
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-OC-2014-04,
and should be submitted on or before October 20, 2014.
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\5\ 17 CFR 200.30-3(a)(12).
[[Page 58397]]
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For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\5\
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-23047 Filed 9-26-14; 8:45 am]
BILLING CODE 8011-01-P
