Sunshine Act Meeting, 20049 [2015-08630]
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Federal Register / Vol. 80, No. 71 / Tuesday, April 14, 2015 / Notices
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
filings also will be available for
inspection and copying at the principal
office of ICE Clear Credit and on ICE
Clear Credit’s Web site at https://
www.theice.com/clear-credit/regulation.
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–ICC–2015–008 and should
be submitted on or before May 5, 2015.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.8
Brent J. Fields,
Secretary.
[FR Doc. 2015–08448 Filed 4–13–15; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
Dated: April 9, 2015.
Brent J. Fields,
Secretary.
[FR Doc. 2015–08630 Filed 4–10–15; 4:15 pm]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–74677; File No. SR–
NYSEMKT–2015–23]
Self-Regulatory Organizations; NYSE
MKT, LLC; Notice of Filing of Proposed
Rule Change Adopting a PrinciplesBased Approach To Prohibit the
Misuse of Material Nonpublic
Information by Specialists and eSpecialists by Deleting Rule 927.3NY
and Section (f) of Rule 927.5NY
April 8, 2015.
Sunshine Act Meeting
asabaliauskas on DSK5VPTVN1PROD with NOTICES
Other matters relating to enforcement
proceedings.
At times, changes in Commission
priorities require alterations in the
scheduling of meeting items.
For further information and to
ascertain what, if any, matters have been
added, deleted or postponed, please
contact the Office of the Secretary at
(202) 551–5400.
Notice is hereby given, pursuant to
the provisions of the Government in the
Sunshine Act, Public Law 94–409, that
the Securities and Exchange
Commission will hold a Closed Meeting
on Thursday, April 16, 2015 at 2:00 p.m.
Commissioners, Counsel to the
Commissioners, the Secretary to the
Commission, and recording secretaries
will attend the Closed Meeting. Certain
staff members who have an interest in
the matters also may be present.
The General Counsel of the
Commission, or her designee, has
certified that, in her opinion, one or
more of the exemptions set forth in 5
U.S.C. 552b(c)(3), (5), (7), 9(B) and (10)
and 17 CFR 200.402(a)(3), (5), (7), 9(ii)
and (10), permit consideration of the
scheduled matter at the Closed Meeting.
Commissioner Stein, as duty officer,
voted to consider the items listed for the
Closed Meeting in closed session, and
determined that no earlier notice thereof
was possible.
The subject matter of the Closed
Meeting will be:
Institution of injunctive actions;
Institution and settlement of
administrative proceedings; and
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 March
26, 2015, NYSE MKT LLC (the
‘‘Exchange’’ or ‘‘NYSE MKT’’) 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 selfregulatory 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 adopt a
principles-based approach to prohibit
the misuse of material nonpublic
information by Specialists and eSpecialists by deleting Rule 927.3NY
and section (f) of Rule 927.5NY. The
text of the proposed rule change is
available on the Exchange’s Web site at
www.nyse.com, at the principal office of
the Exchange, and at the Commission’s
Public Reference Room.
1 15
U.S.C.78s(b)(1).
U.S.C. 78a.
3 17 CFR 240.19b–4.
2 15
8 17
CFR 200.30–3(a)(12).
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20049
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
self-regulatory organization 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 those 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 parts of such
statements.
A. Self-Regulatory Organization’s
Statement of the Purpose of, and the
Statutory Basis for, the Proposed Rule
Change
1. Purpose
The Exchange proposes to adopt a
principles-based approach to prohibit
the misuse of material nonpublic
information by Specialists and eSpecialists by deleting Rule 927.3NY
and section (f) of Rule 927.5NY. In so
doing, the Exchange would harmonize
its rules governing Specialists, eSpecialists and Market Makers relating
to protecting against the misuse of
material, non-public information. The
Exchange believes that Rules 927.3NY
and 927.5NY(f) are no longer necessary
because all ATP Holders, including
Specialists and e-Specialists, are subject
to the Exchange’s general principlesbased requirements governing the
protection against the misuse of
material, non-public information,
pursuant to Exchange Rules, Part 1—
General Rules, Rule 3 (General
Prohibitions and Duty to Report),
section (j) (‘‘Rule 3(j)’’), which obviates
the need for separately-prescribed
requirements for a subset of market
participants on the Exchange.
Background
The Exchange has three classes of
registered market makers. Pursuant to
Rule 920NY(a), a Market Maker is an
ATP holder that is registered with the
Exchange for the purpose of submitting
quotes electronically and making
transactions as a dealer-specialist
verbally on the Trading Floor, through
the System from the Trading Floor, or
remotely from off the Trading Floor. As
the rule further provides, a Market
Maker can be either a Remote Market
Maker, a Floor Market Maker, a
Specialist, or an e-Specialist. All Market
Makers are subject to the requirements
of Rule 925NY and 925.1NY, which set
forth the obligations of Market Makers,
particularly relating to quoting.
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[Federal Register Volume 80, Number 71 (Tuesday, April 14, 2015)]
[Notices]
[Page 20049]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2015-08630]
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SECURITIES AND EXCHANGE COMMISSION
Sunshine Act Meeting
Notice is hereby given, pursuant to the provisions of the
Government in the Sunshine Act, Public Law 94-409, that the Securities
and Exchange Commission will hold a Closed Meeting on Thursday, April
16, 2015 at 2:00 p.m.
Commissioners, Counsel to the Commissioners, the Secretary to the
Commission, and recording secretaries will attend the Closed Meeting.
Certain staff members who have an interest in the matters also may be
present.
The General Counsel of the Commission, or her designee, has
certified that, in her opinion, one or more of the exemptions set forth
in 5 U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) and 17 CFR
200.402(a)(3), (5), (7), 9(ii) and (10), permit consideration of the
scheduled matter at the Closed Meeting.
Commissioner Stein, as duty officer, voted to consider the items
listed for the Closed Meeting in closed session, and determined that no
earlier notice thereof was possible.
The subject matter of the Closed Meeting will be:
Institution of injunctive actions;
Institution and settlement of administrative proceedings; and
Other matters relating to enforcement proceedings.
At times, changes in Commission priorities require alterations in
the scheduling of meeting items.
For further information and to ascertain what, if any, matters have
been added, deleted or postponed, please contact the Office of the
Secretary at (202) 551-5400.
Dated: April 9, 2015.
Brent J. Fields,
Secretary.
[FR Doc. 2015-08630 Filed 4-10-15; 4:15 pm]
BILLING CODE 8011-01-P
