Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rules 11.9, 11.12, and 11.13 of BATS Exchange, Inc.; Correction, 11695 [2015-04423]
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Federal Register / Vol. 80, No. 42 / Wednesday, March 4, 2015 / Notices
For the Nuclear Regulatory Commission.
Annette L. Vietti-Cook,
Secretary of the Commission.
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–74383; File No. SR–FINRA–
2014–028]
[FR Doc. 2015–04490 Filed 3–3–15; 8:45 am]
BILLING CODE 7590–01–P
Self-Regulatory Organizations;
Financial Industry Regulatory
Authority, Inc.; Order Approving a
Proposed Rule Change Relating to
Revisions to the Definitions of NonPublic Arbitrator and Public Arbitrator
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–74247A; File No. SR–
BATS–2015–09]
February 26, 2015.
Self-Regulatory Organizations; BATS
Exchange, Inc.; Notice of Filing of a
Proposed Rule Change To Amend
Rules 11.9, 11.12, and 11.13 of BATS
Exchange, Inc.; Correction
February 26, 2015.
Securities and Exchange
Commission
AGENCY:
ACTION:
Notice; correction.
The Securities and Exchange
Commission published a document in
the Federal Register on February 18,
2015, concerning a Notice of Filing of a
Proposed Rule Change to Amend Rules
11.9, 11.12, and 11.13 of BATS
Exchange, Inc.. The document
contained a typographical error.
SUMMARY:
FOR FURTHER INFORMATION CONTACT:
Christopher P. Grobbel, Division of
Trading and Markets, Securities and
Exchange Commission, 100 F Street NE.,
Washington, DC 20549, (202) 551–5491.
Correction
In the Federal Register of February
18, 2015 in FR Doc. 2015–3222, on page
8720, in the first and second line in the
subheading under the heading
‘‘SECURITIES AND EXCHANGE
COMMISSION’’ in the third column,
correct the reference to ‘‘File No. SR–
BATS–2014–09’’ instead to ‘‘File No.
SR–BATS–2015–09.’’
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2015–04423 Filed 3–3–15; 8:45 am]
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BILLING CODE 8011–01–P
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I. Introduction
On June 17, 2014, the Financial
Industry Regulatory Authority, Inc.
(‘‘FINRA’’) filed with the Securities and
Exchange Commission (‘‘SEC’’ or
‘‘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 FINRA Rule 12100(p) of the
Code of Arbitration Procedure for
Customer Disputes (‘‘Customer Code’’)
and FINRA Rule 13100(p) of the Code
of Arbitration Procedure for Industry
Disputes (‘‘Industry Code’’)
(collectively, ‘‘Codes’’), defining the
term ‘‘non-public arbitrator;’’ and
FINRA Rule 12100(u) of the Customer
Code and Rule 13100(u) of the Industry
Code, defining the term ‘‘public
arbitrator.’’
The proposed rule change was
published for comment in the Federal
Register on July 3, 2014.3 On August 4,
2014, FINRA extended the time period
in which the Commission must approve
the proposed rule change, disapprove
the proposed rule change, or institute
proceedings to determine whether to
approve or disapprove the proposed
rule change to October 1, 2014. The
Commission received three hundred
sixteen (316) comment letters in
response to the Notice of Filing.4 On
1 15
U.S.C. 78s(b)(1).
CFR 240.19b–4.
3 Exchange Act Release No. 72491 (Jun. 27, 2014),
79 FR 38080 (Jul. 3, 2014) (Notice of Filing of
Proposed Rule Change Relating to Revisions to the
Definitions of Non-Public Arbitrator and Public
Arbitrator) (‘‘Notice of Filing’’). The comment
period closed on July 24, 2014.
4 Of the 316 letters, 21 were unique letters, and
295 of the letters followed a form designated as the
‘‘Type A’’ letter, submitted by self-identified
independent financial advisors (‘‘independent
financial advisors’’) (‘‘Type A Letter’’). The unique
letters were submitted by: Philip M. Aidikoff,
Aidikoff, Uhl & Bakhtiari, dated July 1, 2014
(‘‘Aidikoff Letter’’); Steven B. Caruso, Esq., Maddox
Hargett & Caruso, P.C., dated July 1, 2014 (‘‘Caruso
July Letter’’); Ryan K. Bakhtiari, Aidikoff, Uhl &
Bakhtiari, dated July 2, 2014 (‘‘Bakhtiari July
Letter’’); Richard A. Stephens, Attorney at Law,
dated July 6, 2014 (‘‘Stephens Letter’’); Daniel E.
Bacine, Barrack, Rodos & Bacine, dated July 18,
2014 (‘‘Bacine Letter’’); Blossom Nicinski, dated
July 20, 2014 (‘‘Nicinski Letter’’); Christopher L.
2 17
PO 00000
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Fmt 4703
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11695
September 30, 2014, the Commission
received a letter from FINRA responding
to the comment letters.5 On October 1,
2014, the Commission issued an order
to institute proceedings pursuant to
section 19(b)(2)(B) of the Act 6 to
determine whether to approve or
disapprove the proposed rule change.
The order was published for comment
in the Federal Register on October 7,
2014.7 The Commission received
fourteen (14) comment letters in
response to the Proceedings Order.8 On
Mass, dated July 21, 2014 (‘‘Mass Letter’’); Glenn S.
Gitomer, McCausland Keen and Buckman, dated
July 23, 2014 (‘‘Gitomer July Letter’’); David T.
Bellaire, Esq., Executive Vice President & General
Counsel, Financial Services Institute, dated July 24,
2014 (‘‘FSI Letter’’); Thomas J. Berthel, CEO, Berthel
Fisher & Company, dated July 24, 2014 (‘‘Berthel
Letter’’); Kevin M. Carroll, Managing Director and
Associate General Counsel, Securities Industry and
Financial Markets Association, dated July 24, 2014
(‘‘SIFMA July Letter’’); CJ Croll, Student Intern,
Elissa Germaine, Supervising Attorney, and Jill I.
Gross, Director, Investor Rights Clinic at Pace Law
School, dated July 24, 2014 (‘‘PIRC July Letter’’);
Jason Doss, President, Public Investors Arbitration
Bar Association, dated July 24, 2014 (‘‘PIABA
Letter’’); George H. Friedman, Esq., George H.
Friedman Consulting, LLC, dated July 24, 2014
(‘‘Friedman July Letter’’); Gary N. Hardiman, dated
July 24,2014 (‘‘Hardiman Letter’’); J. Burton
LeBlanc, President, American Association for
Justice, dated July 24, 2014 (‘‘AAJ Letter’’); Richard
P. Ryder, Esq., President, Securities Arbitration
Commentator, Inc., dated July 24, 2014 (‘‘SAC July
Letter’’); Andrea Seidt, President, North American
Securities Administrators Association, and Ohio
Securities Commissioner, dated July 24, 2014
(‘‘NASAA July Letter’’); Robert Getman, dated July
28, 2014 (‘‘Getman Letter’’); Barry D. Estell,
Attorney at Law (retired), dated August 13, 2014
(‘‘Estell Letter’’); and Walter N. Vernon III, Esq.,
dated August 21, 2014 (‘‘Vernon Letter’’). Comment
letters are available at www.sec.gov.
The Commission discussed these comments in
the Proceedings Order. See infra note 7.
5 Letter from Margo A. Hassan, Assistant Chief
Counsel, FINRA Dispute Resolution, to Brent J.
Fields, Secretary, SEC, dated September 30, 2014
(‘‘FINRA September Letter’’). The FINRA September
Letter is available at www.sec.gov.
6 15 U.S.C. 78s(b)(2)(B).
7 Exchange Act Release No. 73277 (Oct. 1, 2014),
79 FR 60556 (Oct. 7, 2014) (Order Instituting
Proceedings To Determine Whether To Approve or
Disapprove Proposed Rule Change Relating to
Revisions to the Definitions of Non-Public
Arbitrator and Public Arbitrator) (‘‘Proceedings
Order’’). The comment period closed on November
6, 2014.
8 The comment letters were submitted by: John A.
Bender, Esq., Member, Ryan Swanson Cleveland,
dated October 10, 2014 (‘‘Bender Letter’’); George H.
Friedman, Esquire, George H. Friedman Consulting,
LLC, dated October 20, 2014 (‘‘Friedman October
Letter’’); Richard P. Ryder, Esq., President,
Securities Arbitration Commentator, Inc., dated
October 26, 2014 (‘‘SAC October Letter’’); Steven B.
Caruso, Esq., Maddox Hargett & Caruso, P.C., dated
October 29, 2014 (‘‘Caruso October Letter’’); Ryan
K. Bakhtiari, Aidikoff, Uhl & Bakhtiari, dated
October 30, 2014 (‘‘Bakhtiari October Letter’’);
Glenn S. Gitomer, McCausland Keen and Buckman,
dated November 5, 2014 (‘‘Gitomer November
Letter’’); William Beatty, President, North American
Securities Administrators Association and
Washington Securities Administrator, dated
E:\FR\FM\04MRN1.SGM
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[Federal Register Volume 80, Number 42 (Wednesday, March 4, 2015)]
[Notices]
[Page 11695]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2015-04423]
=======================================================================
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-74247A; File No. SR-BATS-2015-09]
Self-Regulatory Organizations; BATS Exchange, Inc.; Notice of
Filing of a Proposed Rule Change To Amend Rules 11.9, 11.12, and 11.13
of BATS Exchange, Inc.; Correction
February 26, 2015.
AGENCY: Securities and Exchange Commission
ACTION: Notice; correction.
-----------------------------------------------------------------------
SUMMARY: The Securities and Exchange Commission published a document in
the Federal Register on February 18, 2015, concerning a Notice of
Filing of a Proposed Rule Change to Amend Rules 11.9, 11.12, and 11.13
of BATS Exchange, Inc.. The document contained a typographical error.
FOR FURTHER INFORMATION CONTACT: Christopher P. Grobbel, Division of
Trading and Markets, Securities and Exchange Commission, 100 F Street
NE., Washington, DC 20549, (202) 551-5491.
Correction
In the Federal Register of February 18, 2015 in FR Doc. 2015-3222,
on page 8720, in the first and second line in the subheading under the
heading ``SECURITIES AND EXCHANGE COMMISSION'' in the third column,
correct the reference to ``File No. SR-BATS-2014-09'' instead to ``File
No. SR-BATS-2015-09.''
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2015-04423 Filed 3-3-15; 8:45 am]
BILLING CODE 8011-01-P
