Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Adopt the Third Party Connectivity Service Under Rules 7034(b) and 7051, 60768-60771 [2016-21130]
Download as PDF
60768
Federal Register / Vol. 81, No. 171 / Friday, September 2, 2016 / Notices
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–78713; File No. SR–
Nasdaq–2016–120]
Self-Regulatory Organizations; The
Nasdaq Stock Market LLC; Notice of
Filing of Proposed Rule Change To
Adopt the Third Party Connectivity
Service Under Rules 7034(b) and 7051
August 29, 2016.
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 August
16, 2016, The Nasdaq Stock Market LLC
(‘‘Nasdaq’’ or ‘‘Exchange’’) filed with the
Securities and Exchange Commission
(‘‘SEC’’ or ‘‘Commission’’) the proposed
rule change as described in Items I, II,
and III below, which Items have been
prepared by the Exchange. 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 the Substance
of the Proposed Rule Change
The Exchange proposes to adopt the
Third Party Connectivity Service under
Rules 7034(b) and 7051.
The text of the proposed rule change
is available on the Exchange’s Web site
at https://nasdaq.cchwallstreet.com, at
the principal office of the Exchange, and
at the Commission’s Public Reference
Room.
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
Exchange 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 these
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.
mstockstill on DSK3G9T082PROD with NOTICES
A. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
1. Purpose
The Exchange is proposing to adopt
the Third Party Connectivity Service
under Rules 7034(b) and 7051, in light
of increased capacity requirements,
1 15
2 17
U.S.C. 78s(b)(1).
CFR 240.19b–4.
VerDate Sep<11>2014
18:25 Sep 01, 2016
Jkt 238001
including recent changes to the
Consolidated Tape Association (‘‘CTA’’)
and Options Price Reporting Authority
(‘‘OPRA’’) feeds 3 as well as planned
changes to the Unlisted Trading
Privileges Plan (‘‘UTP’’) data feed
requirements.4
Background
Under both Rules 7034 and 7051, the
Exchange assesses fees for various
means to connect to the Exchange.
Under Rule 7034 the Exchange provides
charges for co-location services, and
subparagraph (b) of the rule provides
the fees assessed for connectivity, which
include capacity options ranging from 1
Gb copper connectivity to 10 Gb Ultra
fiber connectivity. Co-location services
are a suite of hardware, power,
telecommunication, and other ancillary
products and services that allow market
participants and vendors to place their
trading and communications equipment
in close physical proximity to the
quoting and execution facilities of the
Exchange and other Nasdaq, Inc.
markets.5 By contrast, under Rule 7051
the Exchange provides fees for 10 Gb, 1
Gb and 1 Gb Ultra direct circuit
connections, to customers who are not
co-located at the Exchange’s data center.
Thus, direct connectivity subscribers are
not located within the Exchange’s data
center, but rather connect to it through
third-party direct connection carriers.6
3 See https://www.nyse.com/publicdocs/ctaplan/
notifications/trader-update/CTA%20
SIP%201Q16%20Consolidated%20Data%20
Operating%20Metrics%20Report.pdf; see also,
https://www.opradata.com/specs/opra_bandwidth_
apr2016.pdf.
4 The Exchange is also making minor technical
changes to Rules 7034(b) and 7051 to remove rule
text concerning temporary waivers of fees that have
since expired.
5 The Exchange provides co-location services and
imposes fees through its wholly-owned subsidiary
Nasdaq Technology Services LLC and pursuant to
agreements with the owner/operator of its data
center where both the Exchange’s quoting and
trading facilities and co-located customer
equipment are housed. Users of co-location services
include private extranet providers, data vendors, as
well as Exchange members and non-members. The
Exchange notes that co-location customers are not
provided any separate or superior means of direct
access to Exchange quoting and trading facilities in
contrast to non-co-location customers. Nor does the
Exchange offer any separate or superior means of
access to the Exchange quoting and trading facilities
as among co-location customers themselves within
in the datacenter. Likewise, the Exchange does not
make available to co-located customers any market
data or data feed product or service for data going
into, or out of, Exchange systems that is not
likewise available to all the Exchange members.
Finally, all orders sent to the Exchange enter the
market center through same central system quote
and order gateway regardless of whether the sender
is co-located in the Exchange data center or not.
6 See https://www.nasdaqtrader.com/content/
ProductsServices/Trading/direct_connect_
providers.pdf.
PO 00000
Frm 00100
Fmt 4703
Sfmt 4703
Subscribers to the connectivity
options provided under Rules 7034(b)
and 7051 may use the connectivity
provided to link them to the Exchange
for order entry and to receive
proprietary data feeds, to receive public
quote feeds from Securities Information
Processors (‘‘SIPs’’),7 and to connect to
facilities of FINRA, such as the FINRA/
Nasdaq TRF.8 The Exchange provides
various co-location and direct
connectivity options based on the
capacity of the connection. A subscriber
generally determines the capacity of the
connection it needs based on the
number of data services it wishes to
receive and its estimated usage for
trading and trade reporting purposes;
however, the Exchange will inform a
subscriber that a certain connectivity
option will not suffice for the use it
proposes when the connection is clearly
insufficient.
The Exchange has observed a steady
increase in the capacity requirements of
the various data services to which a
member may connect through the
connectivity options under Rules
7034(b) and 7051. The increased
capacity requirements are reducing the
number of data feeds that may be
provided in any single connectivity
option. In addition to increased capacity
requirements of proprietary data feeds,
the CTA and OPRA SIPs recently
increased their capacity requirements.
Moreover, the UTP SIP Operating
Committee approved a migration plan
for the UTP SIP to the Nasdaq, Inc.’s
INET technology for the UTP data
services. The new enhanced technology
will significantly increase the data
transmitted, handling a minimum peak
rate of two million messages per second,
per data feed. The initial capacity
recommendation per multicast group is
1.7 Gb.9 In light of the increased data
provided by the enhanced SIPs, current
connectivity will not be adequate to
support all SIP data through a
connection less than 10 Gb. Customers
currently using 1 Gb circuits to connect
to the UTP feeds will need to upgrade
to 10 Gb circuits due to the increase in
bandwidth requirements for the new
7 The SIPs link the U.S. markets by processing
and consolidating all protected bid/ask quotes and
trades from every registered exchange trading venue
and FINRA into a single data feed, and they
disseminate and calculate critical regulatory
information, including the National Best Bid and
Offer, Limit Up Limit Down price bands, short sale
restrictions and regulatory halts.
8 See https://www.nasdaqtrader.com/
Trader.aspx?id=DPSpecs for a list of proprietary
feeds. See https://www.nasdaqtrader.com/content/
ProductsServices/trading/NasdaqThirdParty
Services.pdf for a list of third party services and
feeds.
9 See https://www.nasdaqtrader.com/Trader
News.aspx?id=utp2016-13.
E:\FR\FM\02SEN1.SGM
02SEN1
Federal Register / Vol. 81, No. 171 / Friday, September 2, 2016 / Notices
feeds. Migration of the UTP SIP to the
Exchange’s INET technology is
scheduled to occur on October 10, 2016,
and current subscribers receiving SIP
data through a 1 Gb connection under
Rules 7034(b) or 7051 would be
compelled to upgrade to a 10 Gb
connection to continue receiving UTP
SIP data.
Proposed New Connectivity
mstockstill on DSK3G9T082PROD with NOTICES
To address the issue caused by the
increased capacity requirements of data
feeds, the Exchange is proposing to
segregate connectivity to the Exchange
and its proprietary data feeds from
connectivity to third party services and
data feeds, including SIP data feeds. The
Exchange is proposing to offer the new
Third Party Connectivity Service to both
non-co-location and co-location
customers alike, which will enable
customers to receive third party market
data feeds, including SIP data, and other
non-exchange services.10 The Exchange
will offer this to customers in both 10
Gb Ultra and 1 Gb Ultra hand-offs.11 To
receive the SIP feeds, customers must
subscribe to the 10 Gb Ultra
connectivity options under Rules
7034(b) and 7051(b). The proposed 1 Gb
Ultra Third Party Connectivity Service
options under Rules 7034(b) and
7051(b) will support data feeds from
other exchanges and markets only.12
The Exchange notes that it is not
offering 10 Gb connectivity under the
proposed Third Party Connectivity
Service because the current 10 Gb
option uses older technology switches,
which the Exchange would have to
procure to [sic] in order to include in
the proposed new service and which
would not provide an adequate
performance margin for future
enhancements to the data feeds.
Customers seeking connectivity to the
Exchange and its proprietary data feeds
may continue to do so through the
10 Third Party Services includes not only SIP data
feeds, but also data feeds from other exchanges and
markets. For example, Third Party Connectivity will
support connectivity to the FINRA/Nasdaq Trade
Reporting Facility, BATS Depth Feeds, and NYSE
Feeds. See https://www.nasdaqtrader.com/content/
ProductsServices/trading/
NasdaqThirdPartyServices.pdf for a list of third
party services and feeds. A customer must
separately subscribe to the third party services to
which it connects with a Third Party Connectivity
subscription.
11 A hand-off includes either a 1 Gb Ultra or 10
Gb Ultra switch port and a cross connect.
12 For example, a customer may use the 1 Gb
Ultra Third Party Connectivity Service for
connecting to facilities of FINRA, such as the
FINRA/Nasdaq Trade Reporting Facility for trade
reporting purposes. FINRA publishes bandwidth
reports for its services and facilities. See, e.g.,
https://www.finra.org/file/equity-data-feedbandwidth-report.
VerDate Sep<11>2014
18:25 Sep 01, 2016
Jkt 238001
existing connectivity options under
Rules 7034(b) and Rule 7051(a).13
The Exchange notes that, as is the
case with current connectivity options,
customers that do not wish to subscribe
to the Third Party Connectivity Service
may alternatively connect through an
extranet provider or a market data
redistributor.
Last, the Exchange is proposing to
offer services currently available to
Direct Connectivity subscribers under
Rule 7051 to subscribers to Third Party
Services. Specifically, the Exchange
currently offers Optional Cable Router
and Per U of Cabinet Space services for
its direct connectivity options under
Rule 7051. The Exchange provides
customers who are not co-located in the
Exchange’s data center, but require
shared cabinet space and power for
optional routers, switches, or modems
to support their direct circuit
connections. The Exchange assesses an
install fee of $925 per router, switch or
modem, and monthly fees of $150 for
space based on a unit height of
approximately 1.75 inches, commonly
called a ‘‘U’’ space, and a maximum
power of 125 Watts per U space. The
Exchange is proposing to also offer these
services to customers of the Third Party
Connectivity Service because they may
have the same connectivity needs as
customers of the existing Direct
Connectivity service.
Proposed New Fees
The Exchange is proposing to assess
fees for Third Party Connectivity
Service under Rules 7034(b) and
7051(b). Under Rules 7034(b) and
7051(b), the Exchange is proposing to
assess an installation fee of $1,500 for
installation of either a 10 Gb Ultra or 1
Gb Ultra Third Party Services colocation or direct connectivity
subscription, as applicable. The
Exchange is proposing to assess an
ongoing monthly fee of $5,000 for a 10
Gb Ultra connection and $2,000 for a 1
Gb Ultra connection, under each of the
rules. The Exchange is proposing to
waive all of these fees through October
31, 2016.
2. Statutory Basis
The Exchange believes that its
proposal is consistent with section 6(b)
of the Act,14 in general, and furthers the
objectives of sections 6(b)(4) and 6(b)(5)
of the Act,15 in particular, in that it
13 The Exchange is placing the current
connectivity options of Rule 7051 under a new
paragraph (a). The proposed Direct Connectivity to
Third Party Services will fall under a new
paragraph (b) of Rule 7051.
14 15 U.S.C. 78f(b).
15 15 U.S.C. 78f(b)(4) and (5).
PO 00000
Frm 00101
Fmt 4703
Sfmt 4703
60769
provides for the equitable allocation of
reasonable dues, fees and other charges
among members and issuers and other
persons using any facility or system
which the Exchange operates or
controls, and is designed to prevent
fraudulent and manipulative acts and
practices, to promote just and equitable
principles of trade, to foster cooperation
and coordination with persons engaged
in regulating, clearing, settling,
processing information with respect to,
and facilitating transactions in
securities, to remove impediments to
and perfect the mechanism of a free and
open market and a national market
system, and, in general, to protect
investors and the public interest; and
are [sic] not designed to permit unfair
discrimination between customers,
issuers, brokers, or dealers.
The Exchange believes that the
proposal facilitates transactions in
securities, removes impediments to and
perfects the mechanism of a free and
open market and a national market
system, and, in general, protects
investors and the public interest by
ensuring that market participants are
provided with adequate capacity to
receive data feeds, and to access trading
and trade reporting venues in times of
high demand. As noted above, the everincreasing demand for capacity has
strained current connectivity options.
As an example, the UTP SIP data feeds
will require significantly greater
capacity than current UTP SIP data
feeds. The Exchange is segregating the
various services and data feeds that may
be connected to between existing and
proposed connectivity options based on
whether the service or data feed is
provided by the Exchange or by a third
party. The Exchange notes that there is
no difference in the connectivity
provided under the current analogous
connectivity options and the proposed
connectivity. Thus, a subscriber to an
Exchange service or data feed over a 10
Gb Ultra co-location connectivity option
under Rule 7051(a), for example, will
have the same connectivity that a
subscriber to a third party data feed over
a 10 Gb Ultra co-location connectivity
option under Rule 7051(b) [sic]. The
Exchange determined to segregate the
services and data feeds as proposed
because it is the most efficient means to
allocate the services and it will assist
subscribers with risk management, since
Exchange connectivity will be separated
from third party services and data feeds.
The Exchange believes that [sic]
proposed fees are reasonable because
they are comparable to the fees
currently assessed for analogous
connectivity under Rules 7034(b) and
7051. In terms of the installation fees,
E:\FR\FM\02SEN1.SGM
02SEN1
mstockstill on DSK3G9T082PROD with NOTICES
60770
Federal Register / Vol. 81, No. 171 / Friday, September 2, 2016 / Notices
the proposed fees are identical to the
installation fees assessed for analogous
connectivity under Rules 7034(b) and
7051. The proposed monthly fees are
less than the monthly fees assessed for
analogous connectivity under Rules
7034(b) and 7051. Specifically, a
subscriber to a 1 Gb Ultra Third Party
Connectivity Service option under the
proposed rules will pay $500 less than
a subscriber to the analogous 1 Gb Ultra
connectivity options under Rules
7034(b) and 7051. The Exchange
believes that the installation fees are
reasonable because they cover the costs
the Exchange incurs in installing the
hardware necessary to connect the
subscriber, and they are identical to the
fees assessed for installation of the same
equipment for the analogous co-location
and direct connectivity options under
current Rules 7034(b) and 7051. The
Exchange believes that the proposed
monthly fees are reasonable because
they are set at a level high enough for
the Exchange to cover the ongoing
expenses it incurs in offering the
connectivity options and to make a
profit, while also reducing the economic
burden placed on subscribers that will
be compelled to subscribe to new Third
Party Connectivity Service offerings
under Rules 7034(b) and 7051(b). In this
regard, the Exchange notes that, to the
extent a market participant subscribes to
an Exchange connectivity option under
Rules 7034(b) and 7051 for connectivity
to the market for trading and/or
proprietary data feeds, it will invariably
need to subscribe to one of the existing
co-location or direct connectivity
options under those rules. Because the
capacity requirements are increasing,
subscribers will be compelled to
subscribe to new connectivity to meet
the increased capacity requirements.
The Exchange is proposing to assess a
lower monthly fee for third party
connectivity because many current
subscribers will be compelled to
subscribe to a new connectivity option
under the proposed new rules. The
Exchange believes that the proposed
installation fee waiver is reasonable
because it will reduce the burden on
customers that will be compelled to
subscribe to new connectivity due to the
increased demands of the data feeds.
The Exchange believes that the
proposed new fees are an equitable
allocation and are not unfairly
discriminatory because the Exchange
will apply the same fees to all
subscribers to the same connectivity
option. The Exchange notes that,
although the ongoing monthly fees are
less than the comparable connectivity
offered to subscribers to the Exchange
VerDate Sep<11>2014
18:25 Sep 01, 2016
Jkt 238001
services and data feeds, these fees are
not unfairly discriminatory because the
lower fees are designed to account for
the fact that most members will be
required to acquire a new connectivity
subscription due to the change. In this
regard, the Exchange has assessed the
impact of the new fees and found that
the majority of current subscribers will
need to subscribe to a Third Party
Connectivity Service subscription;
however, the Exchange notes that in the
absence of the new service, the same
current subscribers would be compelled
to subscribe to a new connectivity
option under the current rules, with
certain subscribers that do not currently
have a 10 Gb Ultra connection and that
receive a SIP feed through a 1 Gb
subscription being compelled to
subscribe to a 10 Gb Ultra co-location
subscription under Rule 7034(b) at
$15,000 per month or a 10 Gb direct
connectivity option under Rule 7051 at
$7,500 per month. Both of these options
would represent a significant premium
over the proposed Third Party
Connectivity Service 10 Gb Ultra
offerings under Rules 7034(b) and
7051(b) at $5,000 per month each.
Existing clients that currently have
multiple connections to the Exchange
subscribed to under Rules 7034(b) and
7051 may realize a fee decrease by
segregating its [sic] data feeds under the
proposal. For example, a client that has
four 10 Gb connections under Rule 7051
is currently assessed a total monthly fee
of $30,000. If that client subscribes to
two 10 Gb Ultra Third Party Services
Direct Connections under new Rule
7051(b) in lieu of two existing 10 Gb
connections, the client would be
assessed a total monthly fee of
$25,000.16 The Exchange notes that a
client currently subscribing to a single
10 Gb option under Rules 7034(b) or
7051(a) will have to additionally
subscribe to a new 10 Gb Ultra Third
Party Service option under the proposed
rules at a cost of $5,000 per month in
addition to its existing 10 Gb
connectivity, if the client wanted to
continue receiving connectivity to
Nasdaq and its proprietary data feeds.
This client will pay $5,000 in additional
monthly fees, but will be receiving an
additional/separate 10G connection,
which enables for additional capacity
growth and separation of data feeds flow
and access to Third Party services. This
additional connection would have cost
$7,500 to $15,000 more per month, if
not for the proposed change. Last, the
Exchange believes that waiving the
16 The client would not be assessed a fee of
$1,500 per installation if it subscribes before
October 31, 2016.
PO 00000
Frm 00102
Fmt 4703
Sfmt 4703
installation fees of the new service
through October 31, 2016 is an equitable
allocation and is not unfairly
discriminatory because the Exchange
will apply the waiver to all subscribers
to the new service, and the waiver is
limited to a reasonable time for
customers to act to addresses [sic] the
issues caused by the increased capacity
requirements of the SIP feeds.
B. Self-Regulatory Organization’s
Statement on Burden on Competition
The Exchange does not believe that
the proposed rule change will impose
any burden on competition not
necessary or appropriate in furtherance
of the purposes of the Act. In terms of
inter-market competition, the Exchange
notes that it operates in a highly
competitive market in which market
participants can readily favor competing
venues if they deem fee levels at a
particular venue to be excessive.
Moreover, market participants have
many other options to choose from to
connect to the Exchange, other than the
proposed connectivity of this filing. In
such an environment, the Exchange
must act cautiously when increasing or
implementing a new fee because market
participants may easily unsubscribe to
the Exchange’s connectivity options and
instead contract with a third-party
connectivity provider. As discussed
above, the capacity requirements of the
data feeds and services to [sic] which
the current connectivity options under
Rules 7034(b) and 7051 provide have
grown significantly, leaving the
Exchange with the option of decreasing
the number of services and data feeds
that may be linked with any given
connectivity option, which would in
turn require subscribers to have more
connectivity subscriptions to maintain
the status quo in terms of data feeds and
services, or, alternatively, dividing the
services itself in a manner it deems best
and offering a lower monthly price
based on that division. Here, the
Exchange has selected the latter, and
determined that the most efficient and
logical divide is to distinguish between
Exchange data feeds and services and
those of third parties. For these reasons,
the Exchange does not believe that any
of the proposed changes will impair the
ability of members or competing order
execution venues to maintain their
competitive standing in the financial
markets. Because there are numerous
competitive alternatives to Exchange’s
connectivity options, it is likely that the
Exchange will lose market share as a
result of the changes if they are
unattractive to market participants.
E:\FR\FM\02SEN1.SGM
02SEN1
Federal Register / Vol. 81, No. 171 / Friday, September 2, 2016 / Notices
C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received From
Members, Participants, or Others
The Exchange has neither solicited
nor received written comments on the
proposed rule change.
III. Date of Effectiveness of the
Proposed Rule Change and Timing for
Commission Action
Within 45 days of the date of
publication of this notice in the Federal
Register or within such longer period
up to 90 days (i) as the Commission may
designate if it finds such longer period
to be appropriate and publishes its
reasons for so finding or (ii) as to which
the self-regulatory organization
consents, the Commission will: (a) By
order approve or disapprove such
proposed rule change; or (b) institute
proceedings to determine whether the
proposed rule change should be
disapproved.
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
offices 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 Number SR–
Nasdaq–2016–120, and should be
submitted on or before September 23,
2016.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.17
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016–21130 Filed 9–1–16; 8:45 am]
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:
BILLING CODE 8011–01–P
SMALL BUSINESS ADMINISTRATION
[Disaster Declaration #14775 and #14776]
Oklahoma Disaster Number OK–00105
U.S. Small Business
Administration.
ACTION: Amendment 1.
Electronic Comments
AGENCY:
• 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–
Nasdaq–2016–120 on the subject line.
SUMMARY:
mstockstill on DSK3G9T082PROD with NOTICES
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–Nasdaq–2016–120. 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
VerDate Sep<11>2014
18:25 Sep 01, 2016
Jkt 238001
This is an amendment of the
Presidential declaration of a major
disaster for Public Assistance Only for
the State of OKLAHOMA (FEMA–4274–
DR), dated 07/15/2016.
Incident: Severe Storms and Flooding.
Incident Period: 06/11/2016 through
06/13/2016.
Effective Date: 08/24/2016.
Physical Loan Application Deadline
Date: 09/13/2016.
Economic Injury (EIDL) Loan
Application Deadline Date: 04/17/2017.
ADDRESSES: Submit completed loan
applications to: U.S. Small Business
Administration, Processing and
Disbursement Center, 14925 Kingsport
Road, Fort Worth, TX 76155.
FOR FURTHER INFORMATION CONTACT: A.
Escobar, Office of Disaster Assistance,
U.S. Small Business Administration,
409 3rd Street SW., Suite 6050,
Washington, DC 20416.
SUPPLEMENTARY INFORMATION: The notice
of the President’s major disaster
declaration for Private Non-Profit
organizations in the State of
OKLAHOMA, dated 07/15/2016, is
17 17
PO 00000
CFR 200.30–3(a)(12).
Frm 00103
Fmt 4703
Sfmt 4703
60771
hereby amended to include the
following areas as adversely affected by
the disaster.
Primary Counties: Tillman
All other information in the original
declaration remains unchanged.
(Catalog of Federal Domestic Assistance
Number 59008)
Lisa Lopez-Suarez,
Acting Associate Administrator for Disaster
Assistance.
[FR Doc. 2016–21127 Filed 9–1–16; 8:45 am]
BILLING CODE 8025–01–P
SURFACE TRANSPORTATION BOARD
[Docket No. AB 1239 (Sub-No. 2X)]
City of Tacoma, Department of Public
Utilities, Beltline Division—
Discontinuance of Service
Exemption—in Thurston County, WA
On August 15, 2016, the City of
Tacoma (the City) filed with the Surface
Transportation Board (Board) a petition
under 49 U.S.C. 10502 for exemption
from the prior approval requirements of
49 U.S.C. 10903 to discontinue common
carrier service over approximately 10.2
miles of rail lines consisting of the
following two segments (the Lines): (1)
From milepost 3.72Q at Quadlok to
milepost 0.0Q at St. Clair in Thurston
County, Washington (the Quadlok-St.
Clair line) and (2) from milepost 16.0B
at Belmore to milepost 9.07B at Olympia
in Thurston County, Washington (the
Belmore-Olympia line). The Lines are
owned by BNSF Railway Company
(BNSF).
In 2004, the City acquired authority
from the Board to operate over the Lines
through a lease with BSNF.1 The City
states that its lease with BNSF expired
on March 16, 2016, and that common
carrier freight service obligations under
the expired lease have now reverted
back to BNSF. According to the City,
BNSF has entered into a new operating
lease over portions of the Lines with
Genesee & Wyoming Inc.
The City states that it is not the owner
of the Lines. As the former lessee, the
City states that it does not know if the
Lines contain federally granted rightsof-way, but that any documentation in
its possession will be made available
promptly to those requesting it.
The interest of railroad employees
will be protected by the conditions set
1 See City of Tacoma, Dep’t of Pub. Utils., Beltline
Div.—Acquis. & Operation Exemption—Lakeview
Subdiv., Quadlok-St. Clair & Belmore-Olympia Rail
Lines in Pierce & Thurston Ctys., Wash., FD 34555
(STB served Oct. 19, 2004).
E:\FR\FM\02SEN1.SGM
02SEN1
Agencies
[Federal Register Volume 81, Number 171 (Friday, September 2, 2016)]
[Notices]
[Pages 60768-60771]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-21130]
[[Page 60768]]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-78713; File No. SR-Nasdaq-2016-120]
Self-Regulatory Organizations; The Nasdaq Stock Market LLC;
Notice of Filing of Proposed Rule Change To Adopt the Third Party
Connectivity Service Under Rules 7034(b) and 7051
August 29, 2016.
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 August 16, 2016, The Nasdaq Stock Market LLC (``Nasdaq'' or
``Exchange'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission'') the proposed rule change as described in
Items I, II, and III below, which Items have been prepared by the
Exchange. The Commission is publishing this notice to solicit comments
on the proposed rule change from interested persons.
---------------------------------------------------------------------------
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------
I. Self-Regulatory Organization's Statement of the Terms of the
Substance of the Proposed Rule Change
The Exchange proposes to adopt the Third Party Connectivity Service
under Rules 7034(b) and 7051.
The text of the proposed rule change is available on the Exchange's
Web site at https://nasdaq.cchwallstreet.com, at the principal office of
the Exchange, and at the Commission's Public Reference Room.
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 Exchange 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 these 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
Statutory Basis for, the Proposed Rule Change
1. Purpose
The Exchange is proposing to adopt the Third Party Connectivity
Service under Rules 7034(b) and 7051, in light of increased capacity
requirements, including recent changes to the Consolidated Tape
Association (``CTA'') and Options Price Reporting Authority (``OPRA'')
feeds \3\ as well as planned changes to the Unlisted Trading Privileges
Plan (``UTP'') data feed requirements.\4\
---------------------------------------------------------------------------
\3\ See https://www.nyse.com/publicdocs/ctaplan/notifications/trader-update/CTA%20SIP%201Q16%20Consolidated%20Data%20Operating%20Metrics%20Report.pdf; see also, https://www.opradata.com/specs/opra_bandwidth_apr2016.pdf.
\4\ The Exchange is also making minor technical changes to Rules
7034(b) and 7051 to remove rule text concerning temporary waivers of
fees that have since expired.
---------------------------------------------------------------------------
Background
Under both Rules 7034 and 7051, the Exchange assesses fees for
various means to connect to the Exchange. Under Rule 7034 the Exchange
provides charges for co-location services, and subparagraph (b) of the
rule provides the fees assessed for connectivity, which include
capacity options ranging from 1 Gb copper connectivity to 10 Gb Ultra
fiber connectivity. Co-location services are a suite of hardware,
power, telecommunication, and other ancillary products and services
that allow market participants and vendors to place their trading and
communications equipment in close physical proximity to the quoting and
execution facilities of the Exchange and other Nasdaq, Inc. markets.\5\
By contrast, under Rule 7051 the Exchange provides fees for 10 Gb, 1 Gb
and 1 Gb Ultra direct circuit connections, to customers who are not co-
located at the Exchange's data center. Thus, direct connectivity
subscribers are not located within the Exchange's data center, but
rather connect to it through third-party direct connection carriers.\6\
---------------------------------------------------------------------------
\5\ The Exchange provides co-location services and imposes fees
through its wholly-owned subsidiary Nasdaq Technology Services LLC
and pursuant to agreements with the owner/operator of its data
center where both the Exchange's quoting and trading facilities and
co-located customer equipment are housed. Users of co-location
services include private extranet providers, data vendors, as well
as Exchange members and non-members. The Exchange notes that co-
location customers are not provided any separate or superior means
of direct access to Exchange quoting and trading facilities in
contrast to non-co-location customers. Nor does the Exchange offer
any separate or superior means of access to the Exchange quoting and
trading facilities as among co-location customers themselves within
in the datacenter. Likewise, the Exchange does not make available to
co-located customers any market data or data feed product or service
for data going into, or out of, Exchange systems that is not
likewise available to all the Exchange members. Finally, all orders
sent to the Exchange enter the market center through same central
system quote and order gateway regardless of whether the sender is
co-located in the Exchange data center or not.
\6\ See https://www.nasdaqtrader.com/content/ProductsServices/Trading/direct_connect_providers.pdf.
---------------------------------------------------------------------------
Subscribers to the connectivity options provided under Rules
7034(b) and 7051 may use the connectivity provided to link them to the
Exchange for order entry and to receive proprietary data feeds, to
receive public quote feeds from Securities Information Processors
(``SIPs''),\7\ and to connect to facilities of FINRA, such as the
FINRA/Nasdaq TRF.\8\ The Exchange provides various co-location and
direct connectivity options based on the capacity of the connection. A
subscriber generally determines the capacity of the connection it needs
based on the number of data services it wishes to receive and its
estimated usage for trading and trade reporting purposes; however, the
Exchange will inform a subscriber that a certain connectivity option
will not suffice for the use it proposes when the connection is clearly
insufficient.
---------------------------------------------------------------------------
\7\ The SIPs link the U.S. markets by processing and
consolidating all protected bid/ask quotes and trades from every
registered exchange trading venue and FINRA into a single data feed,
and they disseminate and calculate critical regulatory information,
including the National Best Bid and Offer, Limit Up Limit Down price
bands, short sale restrictions and regulatory halts.
\8\ See https://www.nasdaqtrader.com/Trader.aspx?id=DPSpecs for a
list of proprietary feeds. See https://www.nasdaqtrader.com/content/ProductsServices/trading/NasdaqThirdPartyServices.pdf for a list of
third party services and feeds.
---------------------------------------------------------------------------
The Exchange has observed a steady increase in the capacity
requirements of the various data services to which a member may connect
through the connectivity options under Rules 7034(b) and 7051. The
increased capacity requirements are reducing the number of data feeds
that may be provided in any single connectivity option. In addition to
increased capacity requirements of proprietary data feeds, the CTA and
OPRA SIPs recently increased their capacity requirements. Moreover, the
UTP SIP Operating Committee approved a migration plan for the UTP SIP
to the Nasdaq, Inc.'s INET technology for the UTP data services. The
new enhanced technology will significantly increase the data
transmitted, handling a minimum peak rate of two million messages per
second, per data feed. The initial capacity recommendation per
multicast group is 1.7 Gb.\9\ In light of the increased data provided
by the enhanced SIPs, current connectivity will not be adequate to
support all SIP data through a connection less than 10 Gb. Customers
currently using 1 Gb circuits to connect to the UTP feeds will need to
upgrade to 10 Gb circuits due to the increase in bandwidth requirements
for the new
[[Page 60769]]
feeds. Migration of the UTP SIP to the Exchange's INET technology is
scheduled to occur on October 10, 2016, and current subscribers
receiving SIP data through a 1 Gb connection under Rules 7034(b) or
7051 would be compelled to upgrade to a 10 Gb connection to continue
receiving UTP SIP data.
---------------------------------------------------------------------------
\9\ See https://www.nasdaqtrader.com/TraderNews.aspx?id=utp2016-13.
---------------------------------------------------------------------------
Proposed New Connectivity
To address the issue caused by the increased capacity requirements
of data feeds, the Exchange is proposing to segregate connectivity to
the Exchange and its proprietary data feeds from connectivity to third
party services and data feeds, including SIP data feeds. The Exchange
is proposing to offer the new Third Party Connectivity Service to both
non-co-location and co-location customers alike, which will enable
customers to receive third party market data feeds, including SIP data,
and other non-exchange services.\10\ The Exchange will offer this to
customers in both 10 Gb Ultra and 1 Gb Ultra hand-offs.\11\ To receive
the SIP feeds, customers must subscribe to the 10 Gb Ultra connectivity
options under Rules 7034(b) and 7051(b). The proposed 1 Gb Ultra Third
Party Connectivity Service options under Rules 7034(b) and 7051(b) will
support data feeds from other exchanges and markets only.\12\ The
Exchange notes that it is not offering 10 Gb connectivity under the
proposed Third Party Connectivity Service because the current 10 Gb
option uses older technology switches, which the Exchange would have to
procure to [sic] in order to include in the proposed new service and
which would not provide an adequate performance margin for future
enhancements to the data feeds. Customers seeking connectivity to the
Exchange and its proprietary data feeds may continue to do so through
the existing connectivity options under Rules 7034(b) and Rule
7051(a).\13\
---------------------------------------------------------------------------
\10\ Third Party Services includes not only SIP data feeds, but
also data feeds from other exchanges and markets. For example, Third
Party Connectivity will support connectivity to the FINRA/Nasdaq
Trade Reporting Facility, BATS Depth Feeds, and NYSE Feeds. See
https://www.nasdaqtrader.com/content/ProductsServices/trading/NasdaqThirdPartyServices.pdf for a list of third party services and
feeds. A customer must separately subscribe to the third party
services to which it connects with a Third Party Connectivity
subscription.
\11\ A hand-off includes either a 1 Gb Ultra or 10 Gb Ultra
switch port and a cross connect.
\12\ For example, a customer may use the 1 Gb Ultra Third Party
Connectivity Service for connecting to facilities of FINRA, such as
the FINRA/Nasdaq Trade Reporting Facility for trade reporting
purposes. FINRA publishes bandwidth reports for its services and
facilities. See, e.g., https://www.finra.org/file/equity-data-feed-bandwidth-report.
\13\ The Exchange is placing the current connectivity options of
Rule 7051 under a new paragraph (a). The proposed Direct
Connectivity to Third Party Services will fall under a new paragraph
(b) of Rule 7051.
---------------------------------------------------------------------------
The Exchange notes that, as is the case with current connectivity
options, customers that do not wish to subscribe to the Third Party
Connectivity Service may alternatively connect through an extranet
provider or a market data redistributor.
Last, the Exchange is proposing to offer services currently
available to Direct Connectivity subscribers under Rule 7051 to
subscribers to Third Party Services. Specifically, the Exchange
currently offers Optional Cable Router and Per U of Cabinet Space
services for its direct connectivity options under Rule 7051. The
Exchange provides customers who are not co-located in the Exchange's
data center, but require shared cabinet space and power for optional
routers, switches, or modems to support their direct circuit
connections. The Exchange assesses an install fee of $925 per router,
switch or modem, and monthly fees of $150 for space based on a unit
height of approximately 1.75 inches, commonly called a ``U'' space, and
a maximum power of 125 Watts per U space. The Exchange is proposing to
also offer these services to customers of the Third Party Connectivity
Service because they may have the same connectivity needs as customers
of the existing Direct Connectivity service.
Proposed New Fees
The Exchange is proposing to assess fees for Third Party
Connectivity Service under Rules 7034(b) and 7051(b). Under Rules
7034(b) and 7051(b), the Exchange is proposing to assess an
installation fee of $1,500 for installation of either a 10 Gb Ultra or
1 Gb Ultra Third Party Services co-location or direct connectivity
subscription, as applicable. The Exchange is proposing to assess an
ongoing monthly fee of $5,000 for a 10 Gb Ultra connection and $2,000
for a 1 Gb Ultra connection, under each of the rules. The Exchange is
proposing to waive all of these fees through October 31, 2016.
2. Statutory Basis
The Exchange believes that its proposal is consistent with section
6(b) of the Act,\14\ in general, and furthers the objectives of
sections 6(b)(4) and 6(b)(5) of the Act,\15\ in particular, in that it
provides for the equitable allocation of reasonable dues, fees and
other charges among members and issuers and other persons using any
facility or system which the Exchange operates or controls, and is
designed to prevent fraudulent and manipulative acts and practices, to
promote just and equitable principles of trade, to foster cooperation
and coordination with persons engaged in regulating, clearing,
settling, processing information with respect to, and facilitating
transactions in securities, to remove impediments to and perfect the
mechanism of a free and open market and a national market system, and,
in general, to protect investors and the public interest; and are [sic]
not designed to permit unfair discrimination between customers,
issuers, brokers, or dealers.
---------------------------------------------------------------------------
\14\ 15 U.S.C. 78f(b).
\15\ 15 U.S.C. 78f(b)(4) and (5).
---------------------------------------------------------------------------
The Exchange believes that the proposal facilitates transactions in
securities, removes impediments to and perfects the mechanism of a free
and open market and a national market system, and, in general, protects
investors and the public interest by ensuring that market participants
are provided with adequate capacity to receive data feeds, and to
access trading and trade reporting venues in times of high demand. As
noted above, the ever-increasing demand for capacity has strained
current connectivity options. As an example, the UTP SIP data feeds
will require significantly greater capacity than current UTP SIP data
feeds. The Exchange is segregating the various services and data feeds
that may be connected to between existing and proposed connectivity
options based on whether the service or data feed is provided by the
Exchange or by a third party. The Exchange notes that there is no
difference in the connectivity provided under the current analogous
connectivity options and the proposed connectivity. Thus, a subscriber
to an Exchange service or data feed over a 10 Gb Ultra co-location
connectivity option under Rule 7051(a), for example, will have the same
connectivity that a subscriber to a third party data feed over a 10 Gb
Ultra co-location connectivity option under Rule 7051(b) [sic]. The
Exchange determined to segregate the services and data feeds as
proposed because it is the most efficient means to allocate the
services and it will assist subscribers with risk management, since
Exchange connectivity will be separated from third party services and
data feeds.
The Exchange believes that [sic] proposed fees are reasonable
because they are comparable to the fees currently assessed for
analogous connectivity under Rules 7034(b) and 7051. In terms of the
installation fees,
[[Page 60770]]
the proposed fees are identical to the installation fees assessed for
analogous connectivity under Rules 7034(b) and 7051. The proposed
monthly fees are less than the monthly fees assessed for analogous
connectivity under Rules 7034(b) and 7051. Specifically, a subscriber
to a 1 Gb Ultra Third Party Connectivity Service option under the
proposed rules will pay $500 less than a subscriber to the analogous 1
Gb Ultra connectivity options under Rules 7034(b) and 7051. The
Exchange believes that the installation fees are reasonable because
they cover the costs the Exchange incurs in installing the hardware
necessary to connect the subscriber, and they are identical to the fees
assessed for installation of the same equipment for the analogous co-
location and direct connectivity options under current Rules 7034(b)
and 7051. The Exchange believes that the proposed monthly fees are
reasonable because they are set at a level high enough for the Exchange
to cover the ongoing expenses it incurs in offering the connectivity
options and to make a profit, while also reducing the economic burden
placed on subscribers that will be compelled to subscribe to new Third
Party Connectivity Service offerings under Rules 7034(b) and 7051(b).
In this regard, the Exchange notes that, to the extent a market
participant subscribes to an Exchange connectivity option under Rules
7034(b) and 7051 for connectivity to the market for trading and/or
proprietary data feeds, it will invariably need to subscribe to one of
the existing co-location or direct connectivity options under those
rules. Because the capacity requirements are increasing, subscribers
will be compelled to subscribe to new connectivity to meet the
increased capacity requirements. The Exchange is proposing to assess a
lower monthly fee for third party connectivity because many current
subscribers will be compelled to subscribe to a new connectivity option
under the proposed new rules. The Exchange believes that the proposed
installation fee waiver is reasonable because it will reduce the burden
on customers that will be compelled to subscribe to new connectivity
due to the increased demands of the data feeds.
The Exchange believes that the proposed new fees are an equitable
allocation and are not unfairly discriminatory because the Exchange
will apply the same fees to all subscribers to the same connectivity
option. The Exchange notes that, although the ongoing monthly fees are
less than the comparable connectivity offered to subscribers to the
Exchange services and data feeds, these fees are not unfairly
discriminatory because the lower fees are designed to account for the
fact that most members will be required to acquire a new connectivity
subscription due to the change. In this regard, the Exchange has
assessed the impact of the new fees and found that the majority of
current subscribers will need to subscribe to a Third Party
Connectivity Service subscription; however, the Exchange notes that in
the absence of the new service, the same current subscribers would be
compelled to subscribe to a new connectivity option under the current
rules, with certain subscribers that do not currently have a 10 Gb
Ultra connection and that receive a SIP feed through a 1 Gb
subscription being compelled to subscribe to a 10 Gb Ultra co-location
subscription under Rule 7034(b) at $15,000 per month or a 10 Gb direct
connectivity option under Rule 7051 at $7,500 per month. Both of these
options would represent a significant premium over the proposed Third
Party Connectivity Service 10 Gb Ultra offerings under Rules 7034(b)
and 7051(b) at $5,000 per month each. Existing clients that currently
have multiple connections to the Exchange subscribed to under Rules
7034(b) and 7051 may realize a fee decrease by segregating its [sic]
data feeds under the proposal. For example, a client that has four 10
Gb connections under Rule 7051 is currently assessed a total monthly
fee of $30,000. If that client subscribes to two 10 Gb Ultra Third
Party Services Direct Connections under new Rule 7051(b) in lieu of two
existing 10 Gb connections, the client would be assessed a total
monthly fee of $25,000.\16\ The Exchange notes that a client currently
subscribing to a single 10 Gb option under Rules 7034(b) or 7051(a)
will have to additionally subscribe to a new 10 Gb Ultra Third Party
Service option under the proposed rules at a cost of $5,000 per month
in addition to its existing 10 Gb connectivity, if the client wanted to
continue receiving connectivity to Nasdaq and its proprietary data
feeds. This client will pay $5,000 in additional monthly fees, but will
be receiving an additional/separate 10G connection, which enables for
additional capacity growth and separation of data feeds flow and access
to Third Party services. This additional connection would have cost
$7,500 to $15,000 more per month, if not for the proposed change. Last,
the Exchange believes that waiving the installation fees of the new
service through October 31, 2016 is an equitable allocation and is not
unfairly discriminatory because the Exchange will apply the waiver to
all subscribers to the new service, and the waiver is limited to a
reasonable time for customers to act to addresses [sic] the issues
caused by the increased capacity requirements of the SIP feeds.
---------------------------------------------------------------------------
\16\ The client would not be assessed a fee of $1,500 per
installation if it subscribes before October 31, 2016.
---------------------------------------------------------------------------
B. Self-Regulatory Organization's Statement on Burden on Competition
The Exchange does not believe that the proposed rule change will
impose any burden on competition not necessary or appropriate in
furtherance of the purposes of the Act. In terms of inter-market
competition, the Exchange notes that it operates in a highly
competitive market in which market participants can readily favor
competing venues if they deem fee levels at a particular venue to be
excessive. Moreover, market participants have many other options to
choose from to connect to the Exchange, other than the proposed
connectivity of this filing. In such an environment, the Exchange must
act cautiously when increasing or implementing a new fee because market
participants may easily unsubscribe to the Exchange's connectivity
options and instead contract with a third-party connectivity provider.
As discussed above, the capacity requirements of the data feeds and
services to [sic] which the current connectivity options under Rules
7034(b) and 7051 provide have grown significantly, leaving the Exchange
with the option of decreasing the number of services and data feeds
that may be linked with any given connectivity option, which would in
turn require subscribers to have more connectivity subscriptions to
maintain the status quo in terms of data feeds and services, or,
alternatively, dividing the services itself in a manner it deems best
and offering a lower monthly price based on that division. Here, the
Exchange has selected the latter, and determined that the most
efficient and logical divide is to distinguish between Exchange data
feeds and services and those of third parties. For these reasons, the
Exchange does not believe that any of the proposed changes will impair
the ability of members or competing order execution venues to maintain
their competitive standing in the financial markets. Because there are
numerous competitive alternatives to Exchange's connectivity options,
it is likely that the Exchange will lose market share as a result of
the changes if they are unattractive to market participants.
[[Page 60771]]
C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others
The Exchange has neither solicited nor received written comments on
the proposed rule change.
III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action
Within 45 days of the date of publication of this notice in the
Federal Register or within such longer period up to 90 days (i) as the
Commission may designate if it finds such longer period to be
appropriate and publishes its reasons for so finding or (ii) as to
which the self-regulatory organization consents, the Commission will:
(a) By order approve or disapprove such proposed rule change; or (b)
institute proceedings to determine whether the proposed rule change
should be disapproved.
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-Nasdaq-2016-120 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-Nasdaq-2016-120. 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 offices 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 Number SR-Nasdaq-2016-
120, and should be submitted on or before September 23, 2016.
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\17\
---------------------------------------------------------------------------
\17\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016-21130 Filed 9-1-16; 8:45 am]
BILLING CODE 8011-01-P