Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Natural Gas Spot Contracts Policies, 35418-35421 [2015-15043]
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35418
Federal Register / Vol. 80, No. 118 / Friday, June 19, 2015 / Notices
period from 9:30 a.m. EDT on June 17,
2015, through 11:59 p.m. EDT on June
30, 2015.
By the Commission.
Jill M. Peterson,
Assistant Secretary.
A. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
[FR Doc. 2015–15224 Filed 6–17–15; 11:15 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–75170; File No. SR–ICEEU–
2015–011]
Self-Regulatory Organizations; ICE
Clear Europe Limited; Notice of Filing
and Immediate Effectiveness of
Proposed Rule Change Relating to the
Natural Gas Spot Contracts Policies
June 15, 2015.
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 2,
2015, ICE Clear Europe Limited (‘‘ICE
Clear Europe’’) filed with the Securities
and Exchange Commission
(‘‘Commission’’) the proposed rule
change as described in Items I, II, and
III below, which Items have been
prepared primarily by ICE Clear Europe.
ICE Clear Europe filed the proposal
pursuant to Section 19(b)(3)(A) of the
Act,3 and Rule 19b–4(f)(4)(ii) 4
thereunder, so that the proposal was
effective upon filing with the
Commission. The Commission is
publishing this notice to solicit
comments on the proposed rule change
from interested persons.
asabaliauskas on DSK5VPTVN1PROD with NOTICES
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
ICE Clear Europe proposes
amendments to its Policies and
Procedures in order to implement a
clearing relationship under which ICE
Clear Europe will provide clearing
services for certain natural gas spot
contracts traded on ICE Endex Gas B.V.
(‘‘ICE Endex Continental’’) and ICE
Endex Gas Spot Ltd. (‘‘ICE Endex UK’’).
II. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
In its filing with the Commission, ICE
Clear Europe included statements
concerning the purpose of and basis for
the proposed rule change. The text of
1 15
U.S.C. 78s(b)(1).
CFR 240.19b–4.
3 15 U.S.C. 78s(b)(3)(A).
4 17 CFR 240.19b–4(f)(4)(ii).
2 17
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these statements may be examined at
the places specified in Item IV below.
ICE Clear Europe has prepared
summaries, set forth in sections A, B,
and C below, of the most significant
aspects of such statements.
1. Purpose
ICE Clear Europe has agreed to act as
the clearing organization for natural gas
spot contracts traded on the ICE Endex
Continental and ICE Endex UK markets
(the ‘‘Natural Gas Spot Contracts’’). ICE
Endex UK has been designated by the
UK’s Office of Gas and Electricity
Markets and appointed by National Grid
Gas plc (‘‘National Grid’’) to operate the
independent market for balancing for
natural gas in the U.K. (the ‘‘on-the-day’’
commodity market). ICE Endex
Continental operates spot markets for
trading of gas at relevant virtual delivery
points at the gas transmission systems of
the Netherlands and Belgium. Clearing
of such contracts is currently conducted
by APX Commodities Limited (‘‘APX
UK’’) and APX Clearing B.V. (‘‘APX
Continental’’), respectively, and will be
moved to ICE Clear Europe. It is
expected that ICE Clear Europe will
commence clearing of the Natural Gas
Spot Contracts, subject to the
completion of all regulatory approvals
and requirements, on or about July 14,
2015 (or such later date determined by
ICE Clear Europe). ICE Clear Europe
currently clears natural gas derivatives
traded on the ICE Endex derivatives
market, including some contracts with
the same underlying products as the
Natural Gas Spot Contracts.
The clearing of Natural Gas Spot
Contracts will be supported by the F&O
Guaranty Fund (and in particular the
energy clearing segment of the F&O
Guaranty Fund). ICE Clear Europe
anticipates that the clearing of the
Natural Gas Spot Contracts will initially
require no more than a de minimis
change in the size of the F&O Guaranty
Fund or the energy segment thereof, if
indeed any change is actually required.
ICE Clear Europe similarly does not
anticipate the need to designate a new
Guaranty Fund period as a result of the
transition. In making this determination,
ICE Clear Europe has considered and
will continue to review a number of
factors, including the anticipated
volume and open interest in Natural Gas
Spot Contracts based on historical
trading volume and open interest,
expected market conditions in the
relevant natural gas markets, the fact
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that clearing of Natural Gas Spot
Contracts is expected to be conducted
by existing ICE Clear Europe Clearing
Members, the identity of such members,
and the margin expected to be required
in connection with the Natural Gas Spot
Contracts. In particular, the Natural Gas
Spot Contracts are spot contracts with a
short settlement period and low original
margin requirements compared to the
total amount of original margin held by
ICE Clear Europe for Energy Contracts.
As a result, the impact on the total F&O
Guaranty Fund and its breakdown
among clearing members for the next
scheduled Guaranty Fund period is
expected to be minimal, in light of ICE
Clear Europe’s overall energy clearing
activities and Guaranty Fund
methodology.
ICE Clear Europe submits revised
Parts 1, 2, 3, 4, 6, 19 and new Part 22
of its Rules (along with certain other
conforming and clarifying Rule and
Procedure amendments) and new Parts
E and J to the Delivery Procedures to
reflect the delivery arrangements in
relation to the Natural Gas Spot
Contracts (along with certain other
conforming and clarifying Rule and
Procedure amendments). The text of the
proposed Rule and Procedure
amendments were submitted in Exhibit
5 of ICE Clear Europe’s filing, with
additions underlined and deletions in
strikethrough text.
In Part 1 of the Rules, Rule 101 is
modified to add new defined terms and
revise existing definitions in connection
with the ICE Endex Continental and ICE
Endex UK clearing relationships,
including designation of ICE Endex
Continental and ICE Endex UK as
Markets for which ICE Clear Europe
provides clearing services and the
addition of defined terms and other
revisions to integrate Natural Gas Spot
Contracts into the existing ICE Clear
Europe clearing framework for energy
contracts in the F&O product category.
In particular, definitions relating to ICE
Endex Continental and ICE Endex UK,
and related definitions for their
respective contracts, matched contracts,
transactions and rules have been added.
In addition, certain conforming
changes and clarifications have been
made to definitions relating to delivery.
The definition of ‘‘Delivery Facility’’ has
been revised to clarify that it also
includes certain facilities and systems
for gas and power transactions. The
definition of ‘‘Force Majeure Event’’ has
been expanded to include disruptions or
blackouts of gas or electricity
transmission systems and actions and
omissions by Markets. Certain
definitions related to gas transactions,
such as ‘‘National Grid,’’ ‘‘Network
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Code’’ and ‘‘Trade Nomination’’ have
also been added. The definition of
‘‘Non-DCM/Swap’’ has been revised to
clarify the distinction between spot and
futures transactions for purposes of
applicable CFTC requirements. Certain
other general updates to definitions
have been made, including addition of
definitions for ‘‘MiFID’’ and ‘‘MiFID II’’.
In Rule 102(f), ICE Endex UK Rules
and ICE Endex Continental Rules have
been added to the list of priorities of
relevant documents, and certain crossreferences have been amended. Rule
102(r) has been revised to take into
account ICE Clear Europe’s status
granted by a relevant Delivery Facility
or Market. New Rule 102(y) has been
added to provide that the provisions of
the Rules relating to Repositories will
not apply to Contracts that are not
derivatives for purposes of MiFID or
MiFID II (such as gas spot transactions).
Rule 105 has been modified to provide
for the cessation of relevant business
following a loss of status from a
Delivery Facility or Market.
Additionally, the existing four month
notice period provided by ICE Clear
Europe in the case of certain service
terminations has been shortened in the
event that action by a Regulatory
Authority, Delivery Facility or Market
takes effect within a shorter period. Rule
106(a) has been modified to permit
disclosures of information pursuant to
requirements under the UK’s Uniform
Network Code (‘‘Network Code’’),
Fluxys Belgium Rules, Huberator Terms
or the GTS Rules for gas transactions.
Rule 109(b)(v) has been revised to
contemplate amendments to the Rules
in order to maintain ICE Clear Europe’s
status granted by a Delivery Facility or
Market. The limitations on ICE Clear
Europe’s liability in Rule 111 have been
revised in Rule 111(c) to apply to
certain actions, omissions or failures by
a Market or a Delivery Facility.
In Part 2 of the Rules, Rule 201 has
been revised to provide that in order to
be a Clearing Member for Natural Gas
Spot Contracts, the applicable
nominated Transferor and Transferee for
delivery under the transactions must be
a member of the applicable market (or
have arrangements in place to permit
the Clearing Member to manage a
default with respect to such an entity)
and satisfy certain other requirements
relevant to delivery under the relevant
gas transactions. Rule 202 has been
revised to add an explicit requirement
that the Clearing Member comply with
any applicable Market Rules and
Delivery Facility rules and agreements,
as applicable.
In Part 3 of the Rules, new Rule 305
addresses the interaction of the Rules
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and the Network Code for ICE Endex UK
transactions, including prevention of
double recoveries and treatment of
certain payments in respect of cash calls
under the Network Code.
Changes to Part 4 of the Rules
incorporate Natural Gas Spot Contracts
into the procedures for submission of
contracts for clearing and establishment
of cleared contracts. New Rule 404(a)(x)
extends ICE Clear Europe’s discretion to
avoid a Contract or Transaction in
circumstances where, solely in respect
of Natural Gas Spot Transactions or
Contracts, a trade nomination has been
rejected by National Grid. Various other
relevant clarifying and conforming
changes concerning transactions
resulting from errors have also been
incorporated.
Rule 602 has been revised to provide
expressly that ICE Clear Europe may
request a Market to withdraw orders on
that Market if a Clearing Member’s
positions exceed applicable position
limits. Certain other corrections and
updates to cross-references have been
made in Part 6 of the Rules.
As provided in new Rule 1906, ICE
Clear Europe’s sponsored principal
model for individual segregation will
not be available for Natural Gas Spot
Contracts.
New Part 22 of the Rules adopts
certain transitional provisions relating
to the launch of clearing for Natural Gas
Spot Contracts. In particular, Rules 2203
and 2204 address the termination of the
clearing of Natural Gas Spot Contracts
by APX Continental and APX UK and
the commencement of clearing in those
contracts by ICE Clear Europe. Rule
2205 requires Clearing Members for
such contracts to have deposited the
requisite amounts in the F&O Guaranty
Fund and satisfy the appropriate
Original Margin requirements prior to
the Launch Time. Rule 2206 also
allocates responsibility for certain
disciplinary matters as among ICE Clear
Europe and APX Continental and APX
UK.
ICE Clear Europe also proposes to
amend its Delivery Procedures to add a
new Part E for ICE Endex UK Natural
Gas Spot Contracts and a new Part J for
ICE Endex Continental Natural Gas Spot
Contracts. (Other parts of the Delivery
Procedures have been renumbered
accordingly and various cross-references
have been updated as necessary.) The
Delivery Procedures amendments set
forth specifications for delivery of
natural gas under the Natural Gas Spot
Contracts, including relevant definitions
and a detailed delivery timetable. The
amendments also address invoicing and
payment for delivery. The amendments
provide for calculation by ICE Clear
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Europe of buyer’s and seller’s security to
cover delivery obligations and related
liabilities, costs or charges, as well as
procedures to address failed deliveries.
The revised procedures also set out
various documentation requirements for
the relevant parties. A conforming
change is also made in Paragraph 5 of
the Delivery Procedures.
ICE Clear Europe also proposes
various conforming and clarifying
amendments to the Clearing Procedures,
Membership Procedures and General
Contract Terms. The Clearing
Procedures have been amended to add
a reference to ICE Clear Europe’s
Managed File Transfer Service, which is
used for reporting and data file
downloads. The Clearing Procedures
have also been modified to clarify the
cash settlement amount for F&O
Contracts entered into on the last day of
trading. The Membership Procedures
have been amended to update references
to relevant EU capital regulations, as
well as to make conforming changes to
various information and notice
requirements and delete certain obsolete
references. The General Contract Terms
have been amended to incorporate
conforming changes relating to the
Natural Gas Spot Contracts.
2. Statutory Basis
ICE Clear Europe believes that the
proposed rule change is consistent with
the requirements of Section 17A of the
Act 5 and the regulations thereunder
applicable to it, including the standards
under Rule 17Ad–22,6 and in particular
is consistent with the prompt and
accurate clearance and settlement of
securities transactions and derivative
agreements, contracts and transactions
cleared by ICE Clear Europe, the
safeguarding of securities and funds in
the custody or control of ICE Clear
Europe and the protection of investors
and the public interest, within the
meaning of Section 17A(b)(3)(F) of the
Act.7 Specifically, the amendments will
provide for clearing of Natural Gas Spot
Contracts, consistent with ICE Clear
Europe’s existing clearing arrangements.
The Natural Gas Spot Contracts are spot
contracts in natural gas commodities
that underlie natural gas futures and
options contracts traded on the ICE
Endex market and cleared by ICE Clear
Europe. ICE Clear Europe believes that
the Natural Gas Spot Contracts present
a similar risk profile to other ICE Endex
contracts currently cleared by ICE Clear
Europe, and that ICE Clear Europe’s
existing financial safeguards and
5 15
U.S.C. 78q–1.
CFR 240.17Ad–22.
7 15 U.S.C. 78q–1(b)(3)(F).
6 17
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resources, risk management, systems
and operational arrangements are
sufficient to support clearing of such
products (and address physical delivery
under such products). The other
changes set forth in the proposed
amendments are generally intended to
conform, clarify and update various
other provisions of the Rules and
Procedures, and are consistent with the
prompt and accurate clearance and
settlement of securities and derivative
agreements, contracts and transactions.
Clearing of the Natural Gas Spot
Contracts will also satisfy the relevant
requirements of Rule 17Ad–22,8 as
discussed below.
Financial Resources. ICE Clear Europe
will apply its existing margin
methodology for energy contracts to the
new Natural Gas Spot Contracts. ICE
Clear Europe believes that this model
will provide sufficient margin to cover
the risks from clearing such contracts. In
addition, ICE Clear Europe believes the
F&O Guaranty Fund will provide
sufficient financial resources to support
the clearing of Natural Gas Spot
Contracts consistent with the
requirements of Rule 17Ad–22(b)(2)–
(3).9 ICE Clear Europe anticipates that
clearing of the Natural Gas Spot
Contracts will initially require at most a
de minimis change in the size of the
F&O Guaranty Fund or the energy
clearing segment thereof, if indeed any
change is actually required, and the
impact on the total Guaranty Fund and
its breakdown among clearing members
for the next Guaranty Fund period is
expected to be minimal. The proposed
amendments do not affect ICE Clear
Europe’s financial resources devoted to
its security-based swap related (i.e.,
credit default swap) clearing business.
ICE Clear Europe further does not
propose to alter the segment of the F&O
Guaranty Fund that primarily supports
the Financials & Softs contracts cleared
by ICE Clear Europe.
Operational Resources. ICE Clear
Europe will have the operational and
managerial capacity to clear the Natural
Gas Spot Contracts as of the
commencement of clearing, consistent
with the requirements of Rule 17Ad–
22(d)(4).10 ICE Clear Europe believes
that its existing systems are
appropriately scalable to handle the
Natural Gas Spot Contracts, which
present a similar risk profile to other
energy contracts currently cleared by
ICE Clear Europe.
Participant Requirements. ICE Clear
Europe believes that the rule
CFR 240.17Ad–22.
CFR 240.17Ad–22(b)(2)–(3)
10 17 CFR 240.17Ad–22(d)(4).
amendments are consistent with the
requirements of Rule 17Ad–22(d)(2) 11
to provide fair and open access through
participation requirements that are
objective and publicly disclosed. The
amendments establish fair and objective
criteria for the eligibility to clear Natural
Gas Spot Contracts. ICE Clear Europe
clearing membership is available to
participants that meet such criteria. ICE
Clear Europe clearing members that
wish to clear Natural Gas Spot Contracts
will have to satisfy the financial
resources requirements to clear these
products and continue to do so in order
to preserve their eligibility to clear
Natural Gas Spot Contracts. New
requirements have been added to ensure
that relevant designated transferors and
transferees under Natural Gas Spot
Contracts have appropriate access to the
relevant market, or other appropriate
arrangements for default management.
Clearing member compliance with the
requirements to clear Natural Gas Spot
Contracts will be monitored by ICE
Clear Europe.
Settlement. ICE Clear Europe believes
that the rule change will be consistent
with the requirements of Rule 17Ad–
22(d)(5), (12) and (15) 12 as to the
finality and accuracy of its daily
settlement process and avoidance of the
risk to ICE Clear Europe of settlement
failures. ICE Clear Europe will use its
existing settlement procedures, account
structures and approved financial
institutions as used in energy clearing
for the Natural Gas Spot Contracts, with
the additional modifications set forth in
the proposed rule change addressing the
interaction with delivery facilities for
such contracts. ICE Clear Europe
believes that its Rules and procedures
related to settlements (including
physical settlements), as amended,
appropriately identify and manage the
risks associated with settlements under
Natural Gas Spot Contracts.
Default Procedures. ICE Clear Europe
believes that the Rules and its relevant
procedures, as proposed to be revised,
allow it to take timely action to contain
losses and liquidity pressures and to
continue meeting its obligations in the
event of clearing member insolvencies
or defaults, including in respect of
Natural Gas Spot Contracts, in
accordance with Rule 17Ad–22(d)(11).13
B. Self-Regulatory Organization’s
Statement on Burden on Competition
ICE Clear Europe does not believe the
proposed rule change would have any
impact, or impose any burden, on
8 17
11 17
9 17
12 17
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19:33 Jun 18, 2015
CFR 240.17Ad–22(d)(2).
CFR 240.17Ad–22(d)(5), (12) and (15).
13 17 CFR 240.17Ad–22(d)(11).
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competition not necessary or
appropriate in furtherance of the Act.
ICE Endex Continental and ICE Endex
UK are established markets for the
Natural Gas Spot Contracts, and ICE
Clear Europe does not anticipate that its
becoming the clearing house for the
Natural Gas Spot Contracts will
adversely affect the trading market for
those contracts on ICE Endex
Continental or ICE Endex UK. ICE Clear
Europe has established fair and
objective criteria for eligibility to clear
Natural Gas Spot Contracts that are
appropriate to the characteristics and
requirements of those markets. ICE Clear
Europe does not believe that acceptance
of the Natural Gas Spot Contracts for
clearing would adversely affect access to
clearing for clearing members or their
customers or other market participants,
or materially and adversely affect the
cost of clearing for market participants.
Similarly, ICE Clear Europe does not
believe the proposed change would
otherwise adversely affect competition
among clearing members or for clearing
services generally.
C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received From
Members, Participants or Others
Written comments relating to the
proposed amendments have not been
solicited or received. ICE Clear Europe
will notify the Commission of any
written comments received by ICE Clear
Europe.
III. Date of Effectiveness of the
Proposed Rule Change and Timing for
Commission Action
The foregoing rule change has become
effective upon filing pursuant to Section
19(b)(3)(A) 14 of the Act and Rule 19b–
4(f)(4)(ii) 15 thereunder because it effects
a change in an existing service of a
registered clearing agency that primarily
affects the clearing operations of the
clearing agency with respect to products
that are not securities, including futures
that are not security futures, swaps that
are not security-based swaps or mixed
swaps, and forwards that are not
security forwards, and does not
significantly affect any securities
clearing operations of the clearing
agency or any rights or obligations of the
clearing agency with respect to
securities clearing or persons using such
securities-clearing service.16 At any
14 15
U.S.C. 78s(b)(3)(A).
CFR 240.19b–4(f)(4)(ii).
16 ICE Clear Europe notes in its filing that the
proposed rule change also contains certain
conforming and clarifying changes, as well as
updates to various definitions and provisions, as
discussed herein. ICE Clear Europe believes that
15 17
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time within 60 days of the filing of the
proposed rule change, the Commission
summarily may temporarily suspend
such rule change if it appears to the
Commission that such action is
necessary or appropriate in the public
interest, for the protection of investors,
or otherwise in furtherance of the
purposes of the Act.
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:
office of ICE Clear Europe and on ICE
Clear Europe’s Web site at https://
www.theice.com/clear-europe/
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–ICEEU–
2015–011 and should be submitted on
or before July 10, 2015.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.17
Robert W. Errett,
Deputy Secretary.
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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–
ICEEU–2015–011 on the subject line.
[FR Doc. 2015–15043 Filed 6–18–15; 8:45 am]
Paper Comments
• Send paper comments in triplicate
to Secretary, Securities and Exchange
Commission, 100 F Street NE.,
Washington, DC 20549–1090.
All submissions should refer to File
Number SR–ICEEU–2015–011. 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
filings will also be available for
inspection and copying at the principal
In the Matter of Neologic Animation
Inc., Order of Suspension of Trading
these changes do not significantly affect the
substantive rights or obligations of ICE Clear Europe
or its Clearing Members (or otherwise adversely
affect the safeguarding of funds or securities in the
custody or control of the Clearing House or for
which it is responsible), and therefore would also
qualify for immediate effectiveness under Rule 19b–
4(f)(4)(i), 17 CFR 240.19b–4(f)(4)(i).
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35421
investors require a suspension of trading
in the securities of the above-listed
company. Therefore, it is ordered,
pursuant to Section 12(k) of the
Securities Exchange Act of 1934, that
trading in the securities of the abovelisted company is suspended for the
period from 9:30 a.m. EDT on June 17,
2015, through 11:59 p.m. EDT on June
30, 2015.
By the Commission.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2015–15223 Filed 6–17–15; 11:15 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
BILLING CODE 8011–01–P
[File No. 500–1]
SECURITIES AND EXCHANGE
COMMISSION
[File No. 500–1]
June 17, 2015.
It appears to the Securities and
Exchange Commission (‘‘Commission’’)
that there is a lack of current and
accurate information concerning the
securities of Neologic Animation Inc.
(‘‘NANI 1’’) (CIK No. 1371310), a
revoked Nevada corporation whose
principal place of business is listed as
Zhejiang, China because it is delinquent
in its periodic filings with the
Commission, having not filed any
periodic reports since it filed a Form
10–Q for the period ended September
30, 2013. As of June 10, 2015, NANI’s
common stock was quoted on OTC Link
(previously ‘‘Pink Sheets’’) operated by
OTC Markets Group Inc. On May 7,
2015, the Commission’s Division of
Corporation Finance sent a delinquency
letter to NANI at the address shown in
its then-most recent filing in the
Commission’s EDGAR system
requesting compliance with its periodic
filing requirements, which NANI failed
to receive because the letter was
undeliverable as addressed. NANI thus
failed to maintain a valid address on file
with the Commission as required by
Commission rules (Rule 301 of
Regulation S–T, 17 CFR 232.301 and
Section 5.4 of EDGAR Filer Manual). To
date, NANI has failed to cure its
delinquencies.
The Commission is of the opinion that
the public interest and the protection of
CFR 200.30–3(a)(12).
short form of the issuer’s name is also its
ticker symbol.
In the Matter of Enterologics, Inc.,
Midas Medici Group Holdings, Inc., and
SEFE, Inc., Order of Suspension of
Trading
June 17, 2015.
It appears to the Securities and
Exchange Commission (‘‘Commission’’)
that there is a lack of current and
accurate information concerning the
securities of Enterologics, Inc.
(‘‘ELGO 1’’) (CIK No. 1483731), a
revoked Nevada corporation whose
principal place of business is listed as
St. Paul, Minnesota because it is
delinquent in its periodic filings with
the Commission, having not filed any
periodic reports since it filed a Form
10–Q for the period ended September
30, 2013. As of June 10, 2015, ELGO’s
common shares were quoted on OTC
Link (previously ‘‘Pink Sheets’’)
operated by OTC Markets Group Inc.
(‘‘OTC Link’’). On November 18, 2014,
the Commission’s Division of
Corporation Finance sent a delinquency
letter to ELGO at the address shown in
its then-most recent filing in the
Commission’s EDGAR system
requesting compliance with its periodic
filing requirements, which ELGO failed
to receive because the letter was not
deliverable as addressed. ELGO thus
failed to maintain a valid address on file
with the Commission as required by
Commission rules (Rule 301 of
Regulation S–T, 17 CFR 232.301 and
Section 5.4 of EDGAR Filer Manual). To
date, ELGO has failed to cure its
delinquencies.
It appears to the Securities and
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Agencies
[Federal Register Volume 80, Number 118 (Friday, June 19, 2015)]
[Notices]
[Pages 35418-35421]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-15043]
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SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-75170; File No. SR-ICEEU-2015-011]
Self-Regulatory Organizations; ICE Clear Europe Limited; Notice
of Filing and Immediate Effectiveness of Proposed Rule Change Relating
to the Natural Gas Spot Contracts Policies
June 15, 2015.
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 2, 2015, ICE Clear Europe Limited (``ICE Clear Europe'') filed
with the Securities and Exchange Commission (``Commission'') the
proposed rule change as described in Items I, II, and III below, which
Items have been prepared primarily by ICE Clear Europe. ICE Clear
Europe filed the proposal pursuant to Section 19(b)(3)(A) of the
Act,\3\ and Rule 19b-4(f)(4)(ii) \4\ thereunder, so that the proposal
was effective upon filing with the Commission. The Commission is
publishing this notice to solicit comments on the proposed rule change
from interested persons.
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\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b-4.
\3\ 15 U.S.C. 78s(b)(3)(A).
\4\ 17 CFR 240.19b-4(f)(4)(ii).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change
ICE Clear Europe proposes amendments to its Policies and Procedures
in order to implement a clearing relationship under which ICE Clear
Europe will provide clearing services for certain natural gas spot
contracts traded on ICE Endex Gas B.V. (``ICE Endex Continental'') and
ICE Endex Gas Spot Ltd. (``ICE Endex UK'').
II. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change
In its filing with the Commission, ICE Clear Europe included
statements concerning the purpose of and basis for the proposed rule
change. The text of these statements may be examined at the places
specified in Item IV below. ICE Clear Europe 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
ICE Clear Europe has agreed to act as the clearing organization for
natural gas spot contracts traded on the ICE Endex Continental and ICE
Endex UK markets (the ``Natural Gas Spot Contracts''). ICE Endex UK has
been designated by the UK's Office of Gas and Electricity Markets and
appointed by National Grid Gas plc (``National Grid'') to operate the
independent market for balancing for natural gas in the U.K. (the ``on-
the-day'' commodity market). ICE Endex Continental operates spot
markets for trading of gas at relevant virtual delivery points at the
gas transmission systems of the Netherlands and Belgium. Clearing of
such contracts is currently conducted by APX Commodities Limited (``APX
UK'') and APX Clearing B.V. (``APX Continental''), respectively, and
will be moved to ICE Clear Europe. It is expected that ICE Clear Europe
will commence clearing of the Natural Gas Spot Contracts, subject to
the completion of all regulatory approvals and requirements, on or
about July 14, 2015 (or such later date determined by ICE Clear
Europe). ICE Clear Europe currently clears natural gas derivatives
traded on the ICE Endex derivatives market, including some contracts
with the same underlying products as the Natural Gas Spot Contracts.
The clearing of Natural Gas Spot Contracts will be supported by the
F&O Guaranty Fund (and in particular the energy clearing segment of the
F&O Guaranty Fund). ICE Clear Europe anticipates that the clearing of
the Natural Gas Spot Contracts will initially require no more than a de
minimis change in the size of the F&O Guaranty Fund or the energy
segment thereof, if indeed any change is actually required. ICE Clear
Europe similarly does not anticipate the need to designate a new
Guaranty Fund period as a result of the transition. In making this
determination, ICE Clear Europe has considered and will continue to
review a number of factors, including the anticipated volume and open
interest in Natural Gas Spot Contracts based on historical trading
volume and open interest, expected market conditions in the relevant
natural gas markets, the fact that clearing of Natural Gas Spot
Contracts is expected to be conducted by existing ICE Clear Europe
Clearing Members, the identity of such members, and the margin expected
to be required in connection with the Natural Gas Spot Contracts. In
particular, the Natural Gas Spot Contracts are spot contracts with a
short settlement period and low original margin requirements compared
to the total amount of original margin held by ICE Clear Europe for
Energy Contracts. As a result, the impact on the total F&O Guaranty
Fund and its breakdown among clearing members for the next scheduled
Guaranty Fund period is expected to be minimal, in light of ICE Clear
Europe's overall energy clearing activities and Guaranty Fund
methodology.
ICE Clear Europe submits revised Parts 1, 2, 3, 4, 6, 19 and new
Part 22 of its Rules (along with certain other conforming and
clarifying Rule and Procedure amendments) and new Parts E and J to the
Delivery Procedures to reflect the delivery arrangements in relation to
the Natural Gas Spot Contracts (along with certain other conforming and
clarifying Rule and Procedure amendments). The text of the proposed
Rule and Procedure amendments were submitted in Exhibit 5 of ICE Clear
Europe's filing, with additions underlined and deletions in
strikethrough text.
In Part 1 of the Rules, Rule 101 is modified to add new defined
terms and revise existing definitions in connection with the ICE Endex
Continental and ICE Endex UK clearing relationships, including
designation of ICE Endex Continental and ICE Endex UK as Markets for
which ICE Clear Europe provides clearing services and the addition of
defined terms and other revisions to integrate Natural Gas Spot
Contracts into the existing ICE Clear Europe clearing framework for
energy contracts in the F&O product category. In particular,
definitions relating to ICE Endex Continental and ICE Endex UK, and
related definitions for their respective contracts, matched contracts,
transactions and rules have been added.
In addition, certain conforming changes and clarifications have
been made to definitions relating to delivery. The definition of
``Delivery Facility'' has been revised to clarify that it also includes
certain facilities and systems for gas and power transactions. The
definition of ``Force Majeure Event'' has been expanded to include
disruptions or blackouts of gas or electricity transmission systems and
actions and omissions by Markets. Certain definitions related to gas
transactions, such as ``National Grid,'' ``Network
[[Page 35419]]
Code'' and ``Trade Nomination'' have also been added. The definition of
``Non-DCM/Swap'' has been revised to clarify the distinction between
spot and futures transactions for purposes of applicable CFTC
requirements. Certain other general updates to definitions have been
made, including addition of definitions for ``MiFID'' and ``MiFID II''.
In Rule 102(f), ICE Endex UK Rules and ICE Endex Continental Rules
have been added to the list of priorities of relevant documents, and
certain cross-references have been amended. Rule 102(r) has been
revised to take into account ICE Clear Europe's status granted by a
relevant Delivery Facility or Market. New Rule 102(y) has been added to
provide that the provisions of the Rules relating to Repositories will
not apply to Contracts that are not derivatives for purposes of MiFID
or MiFID II (such as gas spot transactions). Rule 105 has been modified
to provide for the cessation of relevant business following a loss of
status from a Delivery Facility or Market. Additionally, the existing
four month notice period provided by ICE Clear Europe in the case of
certain service terminations has been shortened in the event that
action by a Regulatory Authority, Delivery Facility or Market takes
effect within a shorter period. Rule 106(a) has been modified to permit
disclosures of information pursuant to requirements under the UK's
Uniform Network Code (``Network Code''), Fluxys Belgium Rules,
Huberator Terms or the GTS Rules for gas transactions. Rule 109(b)(v)
has been revised to contemplate amendments to the Rules in order to
maintain ICE Clear Europe's status granted by a Delivery Facility or
Market. The limitations on ICE Clear Europe's liability in Rule 111
have been revised in Rule 111(c) to apply to certain actions, omissions
or failures by a Market or a Delivery Facility.
In Part 2 of the Rules, Rule 201 has been revised to provide that
in order to be a Clearing Member for Natural Gas Spot Contracts, the
applicable nominated Transferor and Transferee for delivery under the
transactions must be a member of the applicable market (or have
arrangements in place to permit the Clearing Member to manage a default
with respect to such an entity) and satisfy certain other requirements
relevant to delivery under the relevant gas transactions. Rule 202 has
been revised to add an explicit requirement that the Clearing Member
comply with any applicable Market Rules and Delivery Facility rules and
agreements, as applicable.
In Part 3 of the Rules, new Rule 305 addresses the interaction of
the Rules and the Network Code for ICE Endex UK transactions, including
prevention of double recoveries and treatment of certain payments in
respect of cash calls under the Network Code.
Changes to Part 4 of the Rules incorporate Natural Gas Spot
Contracts into the procedures for submission of contracts for clearing
and establishment of cleared contracts. New Rule 404(a)(x) extends ICE
Clear Europe's discretion to avoid a Contract or Transaction in
circumstances where, solely in respect of Natural Gas Spot Transactions
or Contracts, a trade nomination has been rejected by National Grid.
Various other relevant clarifying and conforming changes concerning
transactions resulting from errors have also been incorporated.
Rule 602 has been revised to provide expressly that ICE Clear
Europe may request a Market to withdraw orders on that Market if a
Clearing Member's positions exceed applicable position limits. Certain
other corrections and updates to cross-references have been made in
Part 6 of the Rules.
As provided in new Rule 1906, ICE Clear Europe's sponsored
principal model for individual segregation will not be available for
Natural Gas Spot Contracts.
New Part 22 of the Rules adopts certain transitional provisions
relating to the launch of clearing for Natural Gas Spot Contracts. In
particular, Rules 2203 and 2204 address the termination of the clearing
of Natural Gas Spot Contracts by APX Continental and APX UK and the
commencement of clearing in those contracts by ICE Clear Europe. Rule
2205 requires Clearing Members for such contracts to have deposited the
requisite amounts in the F&O Guaranty Fund and satisfy the appropriate
Original Margin requirements prior to the Launch Time. Rule 2206 also
allocates responsibility for certain disciplinary matters as among ICE
Clear Europe and APX Continental and APX UK.
ICE Clear Europe also proposes to amend its Delivery Procedures to
add a new Part E for ICE Endex UK Natural Gas Spot Contracts and a new
Part J for ICE Endex Continental Natural Gas Spot Contracts. (Other
parts of the Delivery Procedures have been renumbered accordingly and
various cross-references have been updated as necessary.) The Delivery
Procedures amendments set forth specifications for delivery of natural
gas under the Natural Gas Spot Contracts, including relevant
definitions and a detailed delivery timetable. The amendments also
address invoicing and payment for delivery. The amendments provide for
calculation by ICE Clear Europe of buyer's and seller's security to
cover delivery obligations and related liabilities, costs or charges,
as well as procedures to address failed deliveries. The revised
procedures also set out various documentation requirements for the
relevant parties. A conforming change is also made in Paragraph 5 of
the Delivery Procedures.
ICE Clear Europe also proposes various conforming and clarifying
amendments to the Clearing Procedures, Membership Procedures and
General Contract Terms. The Clearing Procedures have been amended to
add a reference to ICE Clear Europe's Managed File Transfer Service,
which is used for reporting and data file downloads. The Clearing
Procedures have also been modified to clarify the cash settlement
amount for F&O Contracts entered into on the last day of trading. The
Membership Procedures have been amended to update references to
relevant EU capital regulations, as well as to make conforming changes
to various information and notice requirements and delete certain
obsolete references. The General Contract Terms have been amended to
incorporate conforming changes relating to the Natural Gas Spot
Contracts.
2. Statutory Basis
ICE Clear Europe believes that the proposed rule change is
consistent with the requirements of Section 17A of the Act \5\ and the
regulations thereunder applicable to it, including the standards under
Rule 17Ad-22,\6\ and in particular is consistent with the prompt and
accurate clearance and settlement of securities transactions and
derivative agreements, contracts and transactions cleared by ICE Clear
Europe, the safeguarding of securities and funds in the custody or
control of ICE Clear Europe and the protection of investors and the
public interest, within the meaning of Section 17A(b)(3)(F) of the
Act.\7\ Specifically, the amendments will provide for clearing of
Natural Gas Spot Contracts, consistent with ICE Clear Europe's existing
clearing arrangements. The Natural Gas Spot Contracts are spot
contracts in natural gas commodities that underlie natural gas futures
and options contracts traded on the ICE Endex market and cleared by ICE
Clear Europe. ICE Clear Europe believes that the Natural Gas Spot
Contracts present a similar risk profile to other ICE Endex contracts
currently cleared by ICE Clear Europe, and that ICE Clear Europe's
existing financial safeguards and
[[Page 35420]]
resources, risk management, systems and operational arrangements are
sufficient to support clearing of such products (and address physical
delivery under such products). The other changes set forth in the
proposed amendments are generally intended to conform, clarify and
update various other provisions of the Rules and Procedures, and are
consistent with the prompt and accurate clearance and settlement of
securities and derivative agreements, contracts and transactions.
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\5\ 15 U.S.C. 78q-1.
\6\ 17 CFR 240.17Ad-22.
\7\ 15 U.S.C. 78q-1(b)(3)(F).
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Clearing of the Natural Gas Spot Contracts will also satisfy the
relevant requirements of Rule 17Ad-22,\8\ as discussed below.
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\8\ 17 CFR 240.17Ad-22.
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Financial Resources. ICE Clear Europe will apply its existing
margin methodology for energy contracts to the new Natural Gas Spot
Contracts. ICE Clear Europe believes that this model will provide
sufficient margin to cover the risks from clearing such contracts. In
addition, ICE Clear Europe believes the F&O Guaranty Fund will provide
sufficient financial resources to support the clearing of Natural Gas
Spot Contracts consistent with the requirements of Rule 17Ad-22(b)(2)-
(3).\9\ ICE Clear Europe anticipates that clearing of the Natural Gas
Spot Contracts will initially require at most a de minimis change in
the size of the F&O Guaranty Fund or the energy clearing segment
thereof, if indeed any change is actually required, and the impact on
the total Guaranty Fund and its breakdown among clearing members for
the next Guaranty Fund period is expected to be minimal. The proposed
amendments do not affect ICE Clear Europe's financial resources devoted
to its security-based swap related (i.e., credit default swap) clearing
business. ICE Clear Europe further does not propose to alter the
segment of the F&O Guaranty Fund that primarily supports the Financials
& Softs contracts cleared by ICE Clear Europe.
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\9\ 17 CFR 240.17Ad-22(b)(2)-(3)
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Operational Resources. ICE Clear Europe will have the operational
and managerial capacity to clear the Natural Gas Spot Contracts as of
the commencement of clearing, consistent with the requirements of Rule
17Ad-22(d)(4).\10\ ICE Clear Europe believes that its existing systems
are appropriately scalable to handle the Natural Gas Spot Contracts,
which present a similar risk profile to other energy contracts
currently cleared by ICE Clear Europe.
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\10\ 17 CFR 240.17Ad-22(d)(4).
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Participant Requirements. ICE Clear Europe believes that the rule
amendments are consistent with the requirements of Rule 17Ad-22(d)(2)
\11\ to provide fair and open access through participation requirements
that are objective and publicly disclosed. The amendments establish
fair and objective criteria for the eligibility to clear Natural Gas
Spot Contracts. ICE Clear Europe clearing membership is available to
participants that meet such criteria. ICE Clear Europe clearing members
that wish to clear Natural Gas Spot Contracts will have to satisfy the
financial resources requirements to clear these products and continue
to do so in order to preserve their eligibility to clear Natural Gas
Spot Contracts. New requirements have been added to ensure that
relevant designated transferors and transferees under Natural Gas Spot
Contracts have appropriate access to the relevant market, or other
appropriate arrangements for default management. Clearing member
compliance with the requirements to clear Natural Gas Spot Contracts
will be monitored by ICE Clear Europe.
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\11\ 17 CFR 240.17Ad-22(d)(2).
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Settlement. ICE Clear Europe believes that the rule change will be
consistent with the requirements of Rule 17Ad-22(d)(5), (12) and (15)
\12\ as to the finality and accuracy of its daily settlement process
and avoidance of the risk to ICE Clear Europe of settlement failures.
ICE Clear Europe will use its existing settlement procedures, account
structures and approved financial institutions as used in energy
clearing for the Natural Gas Spot Contracts, with the additional
modifications set forth in the proposed rule change addressing the
interaction with delivery facilities for such contracts. ICE Clear
Europe believes that its Rules and procedures related to settlements
(including physical settlements), as amended, appropriately identify
and manage the risks associated with settlements under Natural Gas Spot
Contracts.
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\12\ 17 CFR 240.17Ad-22(d)(5), (12) and (15).
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Default Procedures. ICE Clear Europe believes that the Rules and
its relevant procedures, as proposed to be revised, allow it to take
timely action to contain losses and liquidity pressures and to continue
meeting its obligations in the event of clearing member insolvencies or
defaults, including in respect of Natural Gas Spot Contracts, in
accordance with Rule 17Ad-22(d)(11).\13\
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\13\ 17 CFR 240.17Ad-22(d)(11).
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B. Self-Regulatory Organization's Statement on Burden on Competition
ICE Clear Europe does not believe the proposed rule change would
have any impact, or impose any burden, on competition not necessary or
appropriate in furtherance of the Act. ICE Endex Continental and ICE
Endex UK are established markets for the Natural Gas Spot Contracts,
and ICE Clear Europe does not anticipate that its becoming the clearing
house for the Natural Gas Spot Contracts will adversely affect the
trading market for those contracts on ICE Endex Continental or ICE
Endex UK. ICE Clear Europe has established fair and objective criteria
for eligibility to clear Natural Gas Spot Contracts that are
appropriate to the characteristics and requirements of those markets.
ICE Clear Europe does not believe that acceptance of the Natural Gas
Spot Contracts for clearing would adversely affect access to clearing
for clearing members or their customers or other market participants,
or materially and adversely affect the cost of clearing for market
participants. Similarly, ICE Clear Europe does not believe the proposed
change would otherwise adversely affect competition among clearing
members or for clearing services generally.
C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants or Others
Written comments relating to the proposed amendments have not been
solicited or received. ICE Clear Europe will notify the Commission of
any written comments received by ICE Clear Europe.
III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action
The foregoing rule change has become effective upon filing pursuant
to Section 19(b)(3)(A) \14\ of the Act and Rule 19b-4(f)(4)(ii) \15\
thereunder because it effects a change in an existing service of a
registered clearing agency that primarily affects the clearing
operations of the clearing agency with respect to products that are not
securities, including futures that are not security futures, swaps that
are not security-based swaps or mixed swaps, and forwards that are not
security forwards, and does not significantly affect any securities
clearing operations of the clearing agency or any rights or obligations
of the clearing agency with respect to securities clearing or persons
using such securities-clearing service.\16\ At any
[[Page 35421]]
time within 60 days of the filing of the proposed rule change, the
Commission summarily may temporarily suspend such rule change if it
appears to the Commission that such action is necessary or appropriate
in the public interest, for the protection of investors, or otherwise
in furtherance of the purposes of the Act.
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\14\ 15 U.S.C. 78s(b)(3)(A).
\15\ 17 CFR 240.19b-4(f)(4)(ii).
\16\ ICE Clear Europe notes in its filing that the proposed rule
change also contains certain conforming and clarifying changes, as
well as updates to various definitions and provisions, as discussed
herein. ICE Clear Europe believes that these changes do not
significantly affect the substantive rights or obligations of ICE
Clear Europe or its Clearing Members (or otherwise adversely affect
the safeguarding of funds or securities in the custody or control of
the Clearing House or for which it is responsible), and therefore
would also qualify for immediate effectiveness under Rule 19b-
4(f)(4)(i), 17 CFR 240.19b-4(f)(4)(i).
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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-ICEEU-2015-011 on the subject line.
Paper Comments
Send paper comments in triplicate to Secretary, Securities
and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090.
All submissions should refer to File Number SR-ICEEU-2015-011. 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 filings will also be available
for inspection and copying at the principal office of ICE Clear Europe
and on ICE Clear Europe's Web site at https://www.theice.com/clear-europe/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-
ICEEU-2015-011 and should be submitted on or before July 10, 2015.
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\17\ 17 CFR 200.30-3(a)(12).
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\17\
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2015-15043 Filed 6-18-15; 8:45 am]
BILLING CODE 8011-01-P