Sunshine Act Meeting, 70460 [2016-24731]

Download as PDF 70460 Federal Register / Vol. 81, No. 197 / Wednesday, October 12, 2016 / Notices 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 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– NYSEArca–2016–82 and should be submitted on or before November 2, 2016. Rebuttal comments should be submitted by November 16, 2016. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.35 Brent J. Fields, Secretary. [FR Doc. 2016–24577 Filed 10–11–16; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION mstockstill on DSK3G9T082PROD with NOTICES Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94–409, that the Securities and Exchange Commission will hold an open meeting on Thursday, October 13, 2016 at 10 a.m., in the Auditorium, Room L–002. The subject matters of the open meeting will be: • The Commission will consider whether to adopt new rules and forms and amendments to certain rules and forms to modernize the reporting of information by registered investment companies. • The Commission will consider whether to adopt a new rule and amendments to certain rules and forms that would provide for liquidity risk management programs and related disclosures for open-end management investment companies. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted, or postponed, please contact Brent J. Fields in the Office of the Secretary at (202) 551–5400. 35 17 CFR 200.30–3(a)(57). VerDate Sep<11>2014 20:38 Oct 11, 2016 Jkt 241001 Dated: October 6, 2016. Brent J. Fields, Secretary. [FR Doc. 2016–24731 Filed 10–7–16; 11:15 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–79055; File Nos. SR– NYSEMKT–2016–52 and SR–NYSEArca– 2016–103] Self-Regulatory Organizations; NYSE MKT LLC; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove Proposed Rule Changes To Extend the Time Within Which a Member, Member Organization, an ATP Holder, an OTP Holder, or an OTP Firm Must File a Uniform Termination Notice for Securities Industry Registration (‘‘Form U5’’) October 5, 2016. I. Introduction On June 16, 2016, NYSE MKT LLC (‘‘NYSE MKT’’) filed with the Securities and Exchange Commission (‘‘Commission’’), pursuant to Section 19(b)(1) 1 of the Securities Exchange Act of 1934 (‘‘Act’’) 2 and Rule 19b–4 thereunder,3 a proposed rule change to extend the time within which a member or member organization, or an Amex Trading Permit Holder (‘‘ATP Holder’’) must file a Form U5, or any amendments thereto. The proposed rule change was published for comment in the Federal Register on July 7, 2016.4 On July 14, 2016, NYSE Arca, Inc. (‘‘NYSE Arca’’) (NYSE MKT and NYSE Arca, each an ‘‘Exchange’’) filed with the Commission, pursuant to Section 19(b)(1) 5 of the Act and Rule 19b–4 thereunder,6 a proposed rule change to extend the time within which an Options Trading Permit Holder (‘‘OTP Holder’’) or Options Trading Permit Firm (‘‘OTP Firm’’) must file a Form U5, or any amendments thereto. The proposed rule change was published for comment in the Federal Register on July 27, 2016.7 The Commission received two comment letters regarding the proposals.8 NYSE responded to the 1 15 U.S.C.78s(b)(1). U.S.C. 78a. 3 17 CFR 240.19b–4. 4 See Securities Exchange Act Release No. 78198 (June 30, 2016), 81 FR 44363. 5 15 U.S.C.78s(b)(1). 6 17 CFR 240.19b–4. 7 See Securities Exchange Act Release No. 78381 (July 21, 2016), 81 FR 49286. 8 See letters from Judith Shaw, President, North American Securities Administrators Association, 2 15 PO 00000 Frm 00075 Fmt 4703 Sfmt 4703 NASAA Letter on August 12, 2016.9 This order institutes proceedings under Section 19(b)(2)(B) of the Act 10 to determine whether to approve or disapprove the proposed rule changes. II. Description of the Proposed Rule Changes NYSEMKT–2016–52 NYSE MKT proposes to amend its rules regarding when a member, member organization, or an ATP Holder must file a Form U5 and amendments thereto. Under Commentary .01 to NYSE MKT Rule 340, members and member organizations (collectively, ‘‘Members’’) are required to file a Form U5 and any amendment thereto with the Central Registration Depository (‘‘CRD’’) within 10 days of the date of termination of an employee that has been approved for admission to the trading floor. Under Commentary .09 to NYSE MKT Rule 341, Members must submit information concerning the termination of employment of a member, registered employee, or an officer on Form U5 within 10 days of the date of termination. Under NYSE MKT Rule 359(a), an ATP Holder that terminates an ATP Holder or approved person must file a Form U5 within 10 days of such termination. NYSE MKT proposes to amend these rules by replacing the 10-day deadline with a requirement to promptly file a Form U5 with CRD, but not later than 30 calendar days after the date of termination of a member, ATP Holder, registered employee, officer, or approved person. Further, the proposed rule change would require that any amendment to a Form U5 be promptly filed with CRD, but not later than 30 calendar days after learning of the facts or circumstances giving rise to the amendment. In addition, the proposed rule change would require that all Form U5s be provided to the terminated person concurrently with filing. NYSEArca–2016–103 Under NYSE Arca Rule 2.17(c), an OTP Holder that terminates an OTP is required to file a Form U5 or any amendment thereto within 10 business days of the termination or the occurrence requiring the amendment. Inc., dated August 3, 2016 (‘‘NASAA Letter’’) and Rick A. Fleming, Investor Advocate and Tracey L. McNeil, Ombudsman, Office of the Investor Advocate, Commission, dated October 3, 2016, to Brent J. Fields, Secretary, Commission (‘‘OIA Letter’’). 9 See letter from Elizabeth K. King, General Counsel and Corporate Secretary, New York Stock Exchange LLC, to Brent J. Fields, Secretary, Securities and Exchange Commission, dated August 12, 2016 (‘‘NYSE Letter’’). 10 15 U.S.C. 78s(b)(2)(B). E:\FR\FM\12OCN1.SGM 12OCN1

Agencies

[Federal Register Volume 81, Number 197 (Wednesday, October 12, 2016)]
[Notices]
[Page 70460]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-24731]


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SECURITIES AND EXCHANGE COMMISSION


Sunshine Act Meeting

    Notice is hereby given, pursuant to the provisions of the 
Government in the Sunshine Act, Public Law 94-409, that the Securities 
and Exchange Commission will hold an open meeting on Thursday, October 
13, 2016 at 10 a.m., in the Auditorium, Room L-002.
    The subject matters of the open meeting will be:
     The Commission will consider whether to adopt new rules 
and forms and amendments to certain rules and forms to modernize the 
reporting of information by registered investment companies.
     The Commission will consider whether to adopt a new rule 
and amendments to certain rules and forms that would provide for 
liquidity risk management programs and related disclosures for open-end 
management investment companies.
    At times, changes in Commission priorities require alterations in 
the scheduling of meeting items.
    For further information and to ascertain what, if any, matters have 
been added, deleted, or postponed, please contact Brent J. Fields in 
the Office of the Secretary at (202) 551-5400.

    Dated: October 6, 2016.
Brent J. Fields,
Secretary.
[FR Doc. 2016-24731 Filed 10-7-16; 11:15 am]
 BILLING CODE 8011-01-P
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