Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend Certain Exchange Disciplinary Rules To Facilitate the Reintegration of Certain Regulatory Functions From Financial Industry Regulatory Authority, Inc., 61857 [2015-26031]
Download as PDF
<![CDATA[
Federal Register / Vol. 80, No. 198 / Wednesday, October 14, 2015 / Notices
determine whether the proposed rule
should be approved or disapproved.
IV. Solicitation of Comments
Interested persons are invited to
submit written data, views and
arguments concerning the foregoing,
including whether the proposal 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 rulecomments@sec.gov. Please include File
No. SR–BATS–2015–77 on the subject
line.
Paper Comments
tkelley on DSK3SPTVN1PROD with NOTICES
• 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 No.
SR–BATS–2015–77. 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 will also be available for
inspection and copying at the principal
office 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 No. SR–BATS–
2015–77 and should be submitted on or
before November 4, 2015.
18 17
CFR 200.30–3(a)(12).
VerDate Sep<11>2014
16:39 Oct 13, 2015
Jkt 238001
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.18
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2015–26033 Filed 10–13–15; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–76088; File No. SR–NYSE–
2015–35]
Self-Regulatory Organizations; New
York Stock Exchange LLC; Notice of
Designation of a Longer Period for
Commission Action on a Proposed
Rule Change, as Modified by
Amendment Nos. 1 and 2, To Amend
Certain Exchange Disciplinary Rules
To Facilitate the Reintegration of
Certain Regulatory Functions From
Financial Industry Regulatory
Authority, Inc.
On August 5, 2015, New York Stock
Exchange LLC (‘‘Exchange’’) filed with
the Securities and Exchange
Commission (‘‘Commission’’) pursuant
to section 19(b)(1) of the Securities
Exchange Act of 1934 (‘‘Act’’) 1 and Rule
19b–4 thereunder,2 a proposed rule
change amending certain of its
disciplinary rules to facilitate the
reintegration of certain regulatory
functions from Financial Industry
Regulatory Authority, Inc.. On August
14, 2015, the Exchange filed
Amendment No. 1 to the proposed rule
change, which amended and replaced
the proposed rule change in its entirety.
The proposed rule change, as modified
by Amendment No. 1, was published in
the Federal Register on August 24,
2015.3 On October 6, 2015, the
Exchange filed Amendment No. 2 to the
proposal. No comments were received
on the proposed rule change.
Section 19(b)(2) of the Act 4 provides
that within 45 days of the publication of
notice of the filing of a proposed rule
change, or within such longer period up
to 90 days as the Commission may
designate if it finds such longer period
to be appropriate and publishes its
reasons for so finding or as to which the
self-regulatory organization consents,
the Commission shall either approve the
proposed rule change, disapprove the
proposed rule change, or institute
proceedings to determine whether the
1 15
U.S.C. 19s(b)(1).
CFR 240.19b–4.
3 See Securities Exchange Act Release No. 75721
(August 18, 2015), 80 FR 51334.
4 15 U.S.C. 78s(b)(2).
2 17
Frm 00068
Fmt 4703
proposed rule change should be
disapproved. The 45th day for this filing
is October 8, 2015. The Commission is
extending this 45-day time period. The
Commission finds it appropriate to
designate a longer period within which
to take action on the proposed rule
change so that it has sufficient time to
consider this proposed rule change, as
modified by Amendment Nos. 1 and 2.
Accordingly, the Commission,
pursuant to section 19(b)(2) of the Act,5
designates November 22, 2015, as the
date by which the Commission should
either approve or disapprove, or
institute proceedings to determine
whether to disapprove, the proposed
rule change (File No. SR–NYSE–2015–
35).
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.6
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2015–26031 Filed 10–13–15; 8:45 am]
BILLING CODE 8011–01–P
October 7, 2015.
PO 00000
61857
Sfmt 4703
SECURITIES AND EXCHANGE
COMMISSION
[Investment Company Act Release No.
31863; File No. 812–14533]
CLA Strategic Allocation Fund and
CLA Asset Management, LLC; Notice
of Application
October 7, 2015.
Securities and Exchange
Commission (‘‘Commission’’).
ACTION: Notice of an application under
section 6(c) of the Investment Company
Act of 1940 (the ‘‘Act’’) for an
exemption from sections 18(c) and 18(i)
of the Act, under sections 6(c) and
23(c)(3) of the Act for an exemption
from rule 23c–3 under the Act, and for
an order pursuant to section 17(d) of the
Act and rule 17d–1 under the Act.
AGENCY:
Summary of Application:
Applicants request an order to permit
certain registered closed-end
management investment companies to
issue multiple classes of shares and to
impose asset-based distribution fees and
early withdrawal charges (‘‘EWCs’’).
Applicants: CLA Strategic Allocation
Fund (the ‘‘Initial Fund’’) and CLA
Asset Management, LLC (the
‘‘Adviser’’).
DATES: Filing Dates: The application
was filed on August 13, 2015, and
amended on September 29, 2015.
Hearing or Notification of Hearing: An
order granting the requested relief will
SUMMARY:
5 15
6 17
E:\FR\FM\14OCN1.SGM
U.S.C. 78s(b)(2).
CFR 200.30–3(a)(31).
14OCN1
]]>Agencies
[Federal Register Volume 80, Number 198 (Wednesday, October 14, 2015)]
[Notices]
[Page 61857]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-26031]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-76088; File No. SR-NYSE-2015-35]
Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Designation of a Longer Period for Commission Action on a
Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Amend
Certain Exchange Disciplinary Rules To Facilitate the Reintegration of
Certain Regulatory Functions From Financial Industry Regulatory
Authority, Inc.
October 7, 2015.
On August 5, 2015, New York Stock Exchange LLC (``Exchange'') filed
with the Securities and Exchange Commission (``Commission'') pursuant
to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'')
\1\ and Rule 19b-4 thereunder,\2\ a proposed rule change amending
certain of its disciplinary rules to facilitate the reintegration of
certain regulatory functions from Financial Industry Regulatory
Authority, Inc.. On August 14, 2015, the Exchange filed Amendment No. 1
to the proposed rule change, which amended and replaced the proposed
rule change in its entirety. The proposed rule change, as modified by
Amendment No. 1, was published in the Federal Register on August 24,
2015.\3\ On October 6, 2015, the Exchange filed Amendment No. 2 to the
proposal. No comments were received on the proposed rule change.
---------------------------------------------------------------------------
\1\ 15 U.S.C. 19s(b)(1).
\2\ 17 CFR 240.19b-4.
\3\ See Securities Exchange Act Release No. 75721 (August 18,
2015), 80 FR 51334.
---------------------------------------------------------------------------
Section 19(b)(2) of the Act \4\ provides that within 45 days of the
publication of notice of the filing of a proposed rule change, or
within such longer period up to 90 days as the Commission may designate
if it finds such longer period to be appropriate and publishes its
reasons for so finding or as to which the self-regulatory organization
consents, the Commission shall either approve the proposed rule change,
disapprove the proposed rule change, or institute proceedings to
determine whether the proposed rule change should be disapproved. The
45th day for this filing is October 8, 2015. The Commission is
extending this 45-day time period. The Commission finds it appropriate
to designate a longer period within which to take action on the
proposed rule change so that it has sufficient time to consider this
proposed rule change, as modified by Amendment Nos. 1 and 2.
---------------------------------------------------------------------------
\4\ 15 U.S.C. 78s(b)(2).
---------------------------------------------------------------------------
Accordingly, the Commission, pursuant to section 19(b)(2) of the
Act,\5\ designates November 22, 2015, as the date by which the
Commission should either approve or disapprove, or institute
proceedings to determine whether to disapprove, the proposed rule
change (File No. SR-NYSE-2015-35).
---------------------------------------------------------------------------
\5\ 15 U.S.C. 78s(b)(2).
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\6\
---------------------------------------------------------------------------
\6\ 17 CFR 200.30-3(a)(31).
---------------------------------------------------------------------------
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2015-26031 Filed 10-13-15; 8:45 am]
BILLING CODE 8011-01-P
