Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 37 to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis To Add the Investors Exchange LLC as a Participant, 60395-60396 [2016-21021]

Download as PDF Federal Register / Vol. 81, No. 170 / Thursday, September 1, 2016 / Notices summarily abrogate the amendment and require that it be refiled pursuant to paragraph (a)(1) of Rule 608,9 if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or the maintenance of fair and orderly markets, to remove impediments to, and perfect the mechanisms of, a national market system or otherwise in furtherance of the purposes of the Exchange Act. III. Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the amendment is consistent with the Exchange Act. Comments may be submitted by any of the following methods: asabaliauskas on DSK3SPTVN1PROD with NOTICES 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– CTA/CQ–2016–01 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–CTA/CQ–2016–01.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 plan amendment that are filed with the Commission, and all written communications relating to the amendment 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 office of the Chicago Stock Exchange. All comments received will be posted without change; the Commission does not edit personal 9 17 CFR 242.608(a)(1). VerDate Sep<11>2014 17:14 Aug 31, 2016 Jkt 238001 identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR–CTA/ CQ–2016–01 and should be submitted on or before September 22, 2016. By the Commission. Brent J. Fields, Secretary. [FR Doc. 2016–21022 Filed 8–31–16; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–78700; File No. S7–24–89] Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 37 to the Joint SelfRegulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis To Add the Investors Exchange LLC as a Participant August 26, 2016. Pursuant to Section 11A(a)(3) of the Securities Exchange Act of 1934 (‘‘Exchange Act’’) 1 and Rule 608 thereunder,2 notice is hereby given that on August 11, 2016 the Participants in the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis (‘‘NASDAQ/UTP Plan’’ or ‘‘Plan’’) 3 filed with the Securities and Exchange Commission (‘‘Commission’’) 4 an amendment to the Plan to add Investors Exchange LLC (‘‘IEX’’) as a Participant 5 to the Plan. The Commission is publishing this notice to solicit comments on the amendment from interested persons. I. Description and Purpose of the Plan Amendment As noted above, the amendment to the Plan adds the IEX as a Participant. On June 17, 2016, the Commission issued 1 15 U.S.C. 78k–1(a)(3). CFR 242.608. 3 See, e.g., Securities Exchange Act Release No. 55647 (April 19, 2007) 72 FR 20891 (April 26, 2007). 4 See Letter from Emily Kasparov, Chairman, Operating Committee, NASDAQ UTP Plan, to Brent J. Fields, Secretary, Securities and Exchange Commission, dated August 10, 2016. 5 The term ‘‘Participant’’ is defined as a registered national securities exchange or national securities association that is a signatory to the Plan 2 17 PO 00000 Frm 00058 Fmt 4703 Sfmt 4703 60395 an order granting IEX’s application for registration as a national securities exchange.6 A condition of the Commission’s approval was the requirement for IEX to join the Plan. Under Section I.B of the Plan, any other national securities association or national securities exchange, in whose market Eligible Securities become traded, may become a Participant, provided that said organization executes a copy of the Plan and pays its share of development costs, as specified in the Plan. The amendment is effective upon filing with the Commission in accordance with Rule 608 of Regulation NMS. IEX has satisfied all requirements under the Plan, and has executed a copy of the Plan currently in effect, with the only change being the addition of its name to the Plan. Accordingly, all of the Plan requirements for effecting an amendment to the Plan to add IEX as a Participant have been satisfied. II. Effectiveness of the Proposed Plan Amendment The foregoing Plan amendment has become effective pursuant to Rule 608(b)(3)(iii) of the Exchange Act 7 because it involves solely technical or ministerial matters. At any time within sixty days of the filing of this amendment, the Commission may summarily abrogate the amendment and require that it be refiled pursuant to paragraph (a)(1) of Rule 608,8 if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or the maintenance of fair and orderly markets, to remove impediments to, and perfect the mechanisms of, a national market system or otherwise in furtherance of the purposes of the Exchange Act. III. Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the amendment is consistent with the Exchange 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 S7– 24–89 on the subject line. 6 See Securities Exchange Act Release No. 78101 (June 17, 2016), 81 FR 41141 (June 23, 2016). 7 17 CFR 242.608(b)(3)(iii). 8 17 CFR 242.608(a)(1). E:\FR\FM\01SEN1.SGM 01SEN1 60396 Federal Register / Vol. 81, No. 170 / Thursday, September 1, 2016 / Notices 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 S7–24–89. 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 plan amendment that are filed with the Commission, and all written communications relating to the amendment 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 the filing also will be available for inspection and copying at the principal office of the Chicago Stock 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 S7–24–89 and should be submitted on or before September 22, 2016. By the Commission. Brent J. Fields, Secretary. [FR Doc. 2016–21021 Filed 8–31–16; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION asabaliauskas on DSK3SPTVN1PROD with NOTICES [Release No. IC–32239] Notice of Applications for Deregistration Under Section 8(f) of the Investment Company Act of 1940 August 26, 2016. The following is a notice of applications for deregistration under section 8(f) of the Investment Company Act of 1940 for the month of August 2016. A copy of each application may be obtained via the Commission’s Web site by searching for the file number, or for VerDate Sep<11>2014 17:14 Aug 31, 2016 Jkt 238001 an applicant using the Company name box, at https://www.sec.gov/search/ search.htm or by calling (202) 551– 8090. An order granting each application will be issued unless the SEC orders a hearing. Interested persons may request a hearing on any application by writing to the SEC’s Secretary at the address below and serving the relevant applicant with a copy of the request, personally or by mail. Hearing requests should be received by the SEC by 5:30 p.m. on September 20, 2016, and should be accompanied by proof of service on applicants, in the form of an affidavit or, for lawyers, a certificate of service. Pursuant to Rule 0–5 under the Act, hearing requests should state the nature of the writer’s interest, any facts bearing upon the desirability of a hearing on the matter, the reason for the request, and the issues contested. Persons who wish to be notified of a hearing may request notification by writing to the Commission’s Secretary. ADDRESSES: The Commission: Secretary, U.S. Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549–1090. FOR FURTHER INFORMATION CONTACT: HaeSung Lee, Attorney-Adviser, at (202) 551–7345 or Chief Counsel’s Office at (202) 551–6821; SEC, Division of Investment Management, Chief Counsel’s Office, 100 F Street NE., Washington, DC 20549–8010. Applicant’s Address: 2806 Flintrock Trace, Suite A204, Austin, Texas 78738. American Funds Tax-Exempt Series I [File No. 811–04653] Paramount Access Fund [File No. 811– 22579] Summary: Applicant seeks an order declaring that it has ceased to be an investment company. Applicant has transferred its assets to Tax-Exempt Bond Fund of America and, on June 17, 2016, made a final distribution to its shareholders based on net asset value. Expenses of $161,000 incurred in connection with the reorganization were paid by applicant’s investment adviser. Filing Date: The application was filed on June 20, 2016. Applicant’s Address: 6455 Irvine Center Drive, Irvine, California 92618. Summary: Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. Applicant has never made a public offering of its securities and does not propose to make a public offering or engage in business of any kind. Filing Date: The application was filed on July 28, 2016. Applicant’s Address: c/o Paramount Access Advisors, LLC, Millennium Tower, Suite 1200, 15455 N. Dallas Pkwy, Addison, Texas 75001. Newmark Risk-Managed Opportunistic Fund [File No. 811–08993] Dreyfus Municipal Money Market Fund, Inc. [File No. 811–02946] Summary: Applicant seeks an order declaring that it has ceased to be an investment company. On December 31, 2015, applicant made a liquidating distribution to its shareholders, based on net asset value. Expenses of $350 incurred in connection with the liquidation were paid by applicant’s investment adviser. Filing Date: The application was filed on June 21, 2016. Summary: Applicant seeks an order declaring that it has ceased to be an investment company. Applicant has transferred its assets to General Municipal Money Market Fund and, on November 13, 2015, made a final distribution to its shareholders based on net asset value. Expenses of $169,000 incurred in connection with the reorganization were paid by applicant’s investment adviser. PO 00000 Frm 00059 Fmt 4703 Sfmt 4703 Berwyn Funds [File No. 811–04963] Summary: Applicant seeks an order declaring that it has ceased to be an investment company. Applicant has transferred its assets to Investment Managers Series Trust and, on April 29, 2016, made a final distribution to its shareholders based on net asset value. Expenses of $780,729 incurred in connection with the reorganization were paid by applicant’s investment adviser. Filing Date: The application was filed on July 27, 2016. Applicant’s Address: c/o Chartwell Investment Partners, LLC, 1189 Lancaster Avenue, Berwyn, Pennsylvania 19312. Paramount Institutional Access Fund [File No. 811–22580] Summary: Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. Applicant has never made a public offering of its securities and does not propose to make a public offering or engage in business of any kind. Filing Dates: The application was filed on July 28, 2016, and amended on August 19, 2016. Applicant’s Address: c/o Paramount Access Advisors, LLC, Millennium Tower, Suite 1200, 15455 N. Dallas Pkwy, Addison, Texas 75001. E:\FR\FM\01SEN1.SGM 01SEN1

Agencies

[Federal Register Volume 81, Number 170 (Thursday, September 1, 2016)]
[Notices]
[Pages 60395-60396]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-21021]


-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-78700; File No. S7-24-89]


Joint Industry Plan; Notice of Filing and Immediate Effectiveness 
of Amendment No. 37 to the Joint Self-Regulatory Organization Plan 
Governing the Collection, Consolidation and Dissemination of Quotation 
and Transaction Information for Nasdaq-Listed Securities Traded on 
Exchanges on an Unlisted Trading Privileges Basis To Add the Investors 
Exchange LLC as a Participant

August 26, 2016.
    Pursuant to Section 11A(a)(3) of the Securities Exchange Act of 
1934 (``Exchange Act'') \1\ and Rule 608 thereunder,\2\ notice is 
hereby given that on August 11, 2016 the Participants in the Joint 
Self-Regulatory Organization Plan Governing the Collection, 
Consolidation and Dissemination of Quotation and Transaction 
Information for Nasdaq-Listed Securities Traded on Exchanges on an 
Unlisted Trading Privileges Basis (``NASDAQ/UTP Plan'' or ``Plan'') \3\ 
filed with the Securities and Exchange Commission (``Commission'') \4\ 
an amendment to the Plan to add Investors Exchange LLC (``IEX'') as a 
Participant \5\ to the Plan. The Commission is publishing this notice 
to solicit comments on the amendment from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78k-1(a)(3).
    \2\ 17 CFR 242.608.
    \3\ See, e.g., Securities Exchange Act Release No. 55647 (April 
19, 2007) 72 FR 20891 (April 26, 2007).
    \4\ See Letter from Emily Kasparov, Chairman, Operating 
Committee, NASDAQ UTP Plan, to Brent J. Fields, Secretary, 
Securities and Exchange Commission, dated August 10, 2016.
    \5\ The term ``Participant'' is defined as a registered national 
securities exchange or national securities association that is a 
signatory to the Plan
---------------------------------------------------------------------------

I. Description and Purpose of the Plan Amendment

    As noted above, the amendment to the Plan adds the IEX as a 
Participant. On June 17, 2016, the Commission issued an order granting 
IEX's application for registration as a national securities 
exchange.\6\ A condition of the Commission's approval was the 
requirement for IEX to join the Plan.
---------------------------------------------------------------------------

    \6\ See Securities Exchange Act Release No. 78101 (June 17, 
2016), 81 FR 41141 (June 23, 2016).
---------------------------------------------------------------------------

    Under Section I.B of the Plan, any other national securities 
association or national securities exchange, in whose market Eligible 
Securities become traded, may become a Participant, provided that said 
organization executes a copy of the Plan and pays its share of 
development costs, as specified in the Plan. The amendment is effective 
upon filing with the Commission in accordance with Rule 608 of 
Regulation NMS.
    IEX has satisfied all requirements under the Plan, and has executed 
a copy of the Plan currently in effect, with the only change being the 
addition of its name to the Plan. Accordingly, all of the Plan 
requirements for effecting an amendment to the Plan to add IEX as a 
Participant have been satisfied.

II. Effectiveness of the Proposed Plan Amendment

    The foregoing Plan amendment has become effective pursuant to Rule 
608(b)(3)(iii) of the Exchange Act \7\ because it involves solely 
technical or ministerial matters. At any time within sixty days of the 
filing of this amendment, the Commission may summarily abrogate the 
amendment and require that it be refiled pursuant to paragraph (a)(1) 
of Rule 608,\8\ if it appears to the Commission that such action is 
necessary or appropriate in the public interest, for the protection of 
investors, or the maintenance of fair and orderly markets, to remove 
impediments to, and perfect the mechanisms of, a national market system 
or otherwise in furtherance of the purposes of the Exchange Act.
---------------------------------------------------------------------------

    \7\ 17 CFR 242.608(b)(3)(iii).
    \8\ 17 CFR 242.608(a)(1).
---------------------------------------------------------------------------

III. Solicitation of Comments

    Interested persons are invited to submit written data, views and 
arguments concerning the foregoing, including whether the amendment is 
consistent with the Exchange 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 S7-24-89 on the subject line.

[[Page 60396]]

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 S7-24-89. 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 plan amendment that are filed 
with the Commission, and all written communications relating to the 
amendment 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 the filing also will be available for inspection 
and copying at the principal office of the Chicago Stock 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 S7-24-89 and should be 
submitted on or before September 22, 2016.

    By the Commission.
Brent J. Fields,
Secretary.
[FR Doc. 2016-21021 Filed 8-31-16; 8:45 am]
BILLING CODE 8011-01-P
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