Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols To Add Investors Exchange, LLC as a Party Thereto, 87645-87646 [2016-29043]

Download as PDF Federal Register / Vol. 81, No. 233 / Monday, December 5, 2016 / Notices sradovich on DSK3GMQ082PROD with NOTICES Form N–CSR, SEC File No. 270–512, OMB Control No. 3235–0570 Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (the ‘‘Commission’’) is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget (‘‘OMB’’) for extension and approval. Form N–CSR (17 CFR 249.331 and 274.128) is a combined reporting form used by registered management investment companies (‘‘funds’’) to file certified shareholder reports under the Investment Company Act of 1940 (15 U.S.C. 80a–1 et seq.) (‘‘Investment Company Act’’) and the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (‘‘Exchange Act’’). Specifically, Form N–CSR is to be used for reports under section 30(b)(2) of the Investment Company Act (15 U.S.C. 80a–29(b)(2)) and section 13(a) or 15(d) of the Exchange Act (15 U.S.C. 78m(a) and 78o(d)), filed pursuant to rule 30b2–1(a) under the Investment Company Act (17 CFR 270.30b2–1(a)). Reports on Form N–CSR are to be filed with the Securities and Exchange Commission (‘‘Commission’’) no later than 10 days after the transmission to stockholders of any report that is required to be transmitted to stockholders under rule 30e–1 under the Investment Company Act (17 CFR 270.30e–1). The information filed with the Commission permits the verification of compliance with securities law requirements and assures the public availability and dissemination of the information. Form N–CSR is filed semi-annually, and the Commission estimates that there are 3,449 respondents with 11,642 portfolios. The Commission further estimates that the hour burden for preparing and filing a report on Form N–CSR is 7.21 hours per portfolio. The total annual hour burden for Form N– CSR, therefore, is estimated to be 167,878 hours. We estimate that the cost burden of preparing and filing a report on Form N–CSR is $132.35 and therefore estimate that the total annual cost burden associated with Form N– CSR is $3,081,637. Estimates of average burden hours and costs are made solely for purposes of the Paperwork Reduction Act, and are not derived from a comprehensive or even representative survey or study of the costs of Commission rules and forms. Compliance with the information collection requirements of Form N–CSR is mandatory. Responses to the VerDate Sep<11>2014 19:12 Dec 02, 2016 Jkt 241001 collection of information will not be kept confidential. An agency may not conduct or sponsor, and a person is not required to respond to a collection of information unless it displays a currently valid OMB control number. Written comments are invited on: (a) Whether the collection of information is necessary for the proper performance of the functions of the Commission, including whether the information has practical utility; (b) the accuracy of the Commission’s estimate of the burden of the collection of information; (c) ways to enhance the quality, utility, and clarity of the information collected; and (d) ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology. Consideration will be given to comments and suggestions submitted in writing within 60 days of this publication. Please direct your written comments to Pamela Dyson, Chief Information Officer, Securities and Exchange Commission, c/o Remi Pavlik-Simon, 100 F Street NE., Washington, DC 20549; or send an email to: PRA_ Mailbox@sec.gov. All submissions should refer to File Number 270–512. This file number should be included on the subject line if email is used. The Commission will post all comments on the Commission’s Internet Web site (https://www.sec.gov). All comments received will be posted without change; we do not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. Dated: November 22, 2016. Robert W. Errett, Deputy Secretary. [FR Doc. 2016–29083 Filed 12–2–16; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–79422; File No. 4–533] Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols To Add Investors Exchange, LLC as a Party Thereto November 29, 2016. Pursuant to Section 11A(a)(3) of the Securities Exchange Act of 1934 PO 00000 Frm 00116 Fmt 4703 Sfmt 4703 87645 (‘‘Act’’) 1 and Rule 608 thereunder,2 notice is hereby given that on November 4, 2016, Investors Exchange, LLC (‘‘IEX’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘Commission’’) an amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols (‘‘Symbology Plan’’ or ‘‘Plan’’).3 The amendment proposes to add IEX as a party to the Symbology Plan. The Commission is publishing this notice to solicit comments on the proposed amendment from interested persons. I. Description and Purpose of the Amendment The current parties to the Symbology Plan are BATS Exchange, Inc. (‘‘BATS’’), NASDAQ OMX BX, Inc. (‘‘BX’’), BOX Options Exchange, LLC (‘‘BOX’’), Chicago Board Options Exchange, Incorporated (‘‘CBOE’’), CHX, EDGA Exchange, Inc. (‘‘EDGA’’), EDGX Exchange, Inc. (‘‘EDGX’’), FINRA, the International Securities Exchange, LLC (‘‘ISE’’), Nasdaq, New York Stock Exchange, LLC (‘‘NYSE’’), NYSE MKT LLC (‘‘NYSE MKT’’), and NYSE Arca, Inc. (‘‘NYSE Arca’’), NSX and Phlx.4 1 15 U.S.C. 78k–1(a)(3). CFR 242.608. 3 On November 6, 2008, the Commission approved the Symbology Plan that was originally proposed by the Chicago Stock Exchange, Inc. (‘‘CHX’’), The Nasdaq Stock Market, Inc. (n/k/a The Nasdaq Stock Market LLC) (‘‘Nasdaq’’), National Association of Securities Dealers, Inc. (‘‘NASD’’) (n/ k/a Financial Industry Regulatory Authority, Inc. (‘‘FINRA’’)), National Stock Exchange, Inc. (‘‘NSX’’), and Philadelphia Stock Exchange, Inc. (‘‘Phlx’’), subject to certain changes. See Securities Exchange Act Release No. 58904, 73 FR 67218 (November 13, 2008) (File No. 4–533). 4 On November 18, 2008, ISE filed with the Commission an amendment to the Plan to add ISE as a member to the Plan. See Securities and Exchange Act Release No. 59024 (November 26, 2008), 73 FR 74538 (December 8, 2008) (File No. 4– 533). On December 22, 2008, NYSE, NYSE Arca, and NYSE Alternext (n/k/a NYSE MKT) (‘‘NYSE Group Exchanges’’), and CBOE filed with the Commission amendments to the Plan to add the NYSE Group Exchanges and CBOE as members to the Plan. See Securities Exchange Act Release No. 59162 (December 24, 2008), 74 FR 132 (January 2, 2009) (File No. 4–533). On December 24, 2008, BSE (n/k/a BX) filed with the Commission an amendment to the Plan to add BSE as a member to the Plan. See Securities Exchange Act Release No. 59187 (December 30, 2008), 74 FR 729 (January 7, 2009) (File No. 4–533). On September 30, 2009, BATS filed with the Commission an amendment to the Plan to add BATS as a member to the Plan. See Securities Exchange Act Release No. 60856 (October 21, 2009), 74 FR 55276 (October 27, 2009) (File No. 4–533). On July 7, 2010, EDGA and EDGX filed with the Commission an amendment to the Plan to add EDGA and EDGX, each as a party to the Symbology Plan. See Securities Exchange Act Release No. 62573 (July 26, 2010), 75 FR 45682 (August 3, 2010) (File No. 4–533). On May 7, 2012, BOX filed with the Commission an amendment to the Plan to add BOX as a member to the Plan. See Securities and 2 17 E:\FR\FM\05DEN1.SGM Continued 05DEN1 87646 Federal Register / Vol. 81, No. 233 / Monday, December 5, 2016 / Notices The proposed amendment to the Symbology Plan would add IEX as a party to the Symbology Plan. A selfregulatory organization (‘‘SRO’’) may become a party to the Symbology Plan if it satisfies the requirements of Section I(c) of the Plan. Specifically, an SRO may become a party to the Symbology Plan if: (i) It maintains a market for the listing or trading of Plan Securities 5 in accordance with rules approved by the Commission; (ii) it signs a current copy of the Plan; and (iii) it pays to the other parties a proportionate share of the aggregate development costs, based upon the number of symbols reserved by the new party during the first twelve (12) months of such party’s membership.6 IEX has submitted a signed copy of the Symbology Plan to the Commission in accordance with the requirement set forth in the Symbology Plan regarding new parties to the plan. Additionally, IEX represented that it maintains a market for the listing or trading of Plan Securities. Finally, IEX has agreed to pay all costs required by IEX pursuant to the Symbology Plan, including its proportionate share of the aggregate development costs previously paid by the other parties to the Processor. II. Effectiveness of the Proposed Symbology Plan Amendment The foregoing proposed Symbology Plan amendment has become effective pursuant to Rule 608(b)(3)(iii) 7 because it involves solely technical or ministerial matters. At any time within sixty days of the filing of the amendment, the Commission may summarily abrogate the amendment and require that it be refiled pursuant to paragraph (b)(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 Act. sradovich on DSK3GMQ082PROD with NOTICES Jkt 241001 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 4–533. 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 Plan that are filed with the Commission, and all written communications relating to the Plan 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 Parties’ principal offices. 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 4–533, and should be submitted on or before December 27, 2016. [FR Doc. 2016–29043 Filed 12–2–16; 8:45 am] BILLING CODE 8011–01–P Exchange Act Release No. 34–66957 (May 10, 2012), 77 FR 28904 (May 16, 2012). 5 ‘‘Plan Securities’’ are defined in the Symbology Plan as securities that: (i) Are NMS securities as currently defined in Rule 600(a)(46) under the Act; and (ii) any other equity securities quoted, traded and/or trade reported through an SRO facility. 6 Sections I(c) and V(a) of the Plan. 7 17 CFR 242.608(b)(3)(iii). 8 17 CFR 242.608(b)(1). 19:12 Dec 02, 2016 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 4– 533 on the subject line. By the Commission. Robert W. Errett, Deputy Secretary. III. Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the Amendment is VerDate Sep<11>2014 consistent with the Act. Comments may be submitted by any of the following methods: SMALL BUSINESS ADMINISTRATION Delegation of Authority U.S. Small Business Administration. ACTION: Notice of delegation of authority. AGENCY: PO 00000 Frm 00117 Fmt 4703 Sfmt 4703 This document provides the public with notice of the delegation of authority for certain activities related to the licensing of small business investment companies by the Administrator of the Small Business Administration (SBA) to the Agency Licensing Committee. FOR FURTHER INFORMATION CONTACT: Carol Fendler, Office of Investment and Innovation, U.S. Small Business Administration, 409 3rd Street SW., Washington, DC 20416; (202) 205–7559 or carol.fendler@sba.gov. SUPPLEMENTARY INFORMATION: This document provides the public with notice of the Administrator’s delegation of authority to the Agency Licensing Committee to review and recommend to the Administrator for approval applications for licenses to operate as a small business investment company under the Small Business Investment Act of 1958, as amended. This delegation of authority reads as follows: Pursuant to the authority vested in me pursuant to section 301 of the Small Business Investment Act of 1958, as amended, the authority to take any and all actions necessary to review applications for licensing under section 301 of the Small Business Investment Act of 1958, as amended, and to recommend to the Administrator which such applications should be approved is delegated to the Agency Licensing Committee. The Agency Licensing Committee shall be composed of the following members: Deputy Administrator, Chair Associate Administrator for Capital Access Associate Administrator for Investment and Innovation Associate Administrator for Government Contracting and Business Development Deputy General Counsel Chief Financial Officer This authority revokes all other authorities granted by the Administrator to recommend and approve applications for a license to operate as a small business investment company under the Small Business Investment Act of 1958, as amended. This authority may not be re-delegated; however, in the event that the person serving in one of the positions listed as a member of the Agency Licensing Committee is absent from the office, as defined in SBA Standard Operating Procedure 00 01 2, Chapter 3, paragraph 2, or is unable to perform the functions and duties of his or her position, the individual serving in an acting capacity, pursuant to a SUMMARY: E:\FR\FM\05DEN1.SGM 05DEN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 81, Number 233 (Monday, December 5, 2016)]
[Notices]
[Pages 87645-87646]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-29043]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-79422; File No. 4-533]


Joint Industry Plan; Notice of Filing and Immediate Effectiveness 
of Amendment to the National Market System Plan for the Selection and 
Reservation of Securities Symbols To Add Investors Exchange, LLC as a 
Party Thereto

November 29, 2016.
    Pursuant to Section 11A(a)(3) of the Securities Exchange Act of 
1934 (``Act'') \1\ and Rule 608 thereunder,\2\ notice is hereby given 
that on November 4, 2016, Investors Exchange, LLC (``IEX'' or 
``Exchange'') filed with the Securities and Exchange Commission 
(``Commission'') an amendment to the National Market System Plan for 
the Selection and Reservation of Securities Symbols (``Symbology Plan'' 
or ``Plan'').\3\ The amendment proposes to add IEX as a party to the 
Symbology Plan. The Commission is publishing this notice to solicit 
comments on the proposed amendment from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78k-1(a)(3).
    \2\ 17 CFR 242.608.
    \3\ On November 6, 2008, the Commission approved the Symbology 
Plan that was originally proposed by the Chicago Stock Exchange, 
Inc. (``CHX''), The Nasdaq Stock Market, Inc. (n/k/a The Nasdaq 
Stock Market LLC) (``Nasdaq''), National Association of Securities 
Dealers, Inc. (``NASD'') (n/k/a Financial Industry Regulatory 
Authority, Inc. (``FINRA'')), National Stock Exchange, Inc. 
(``NSX''), and Philadelphia Stock Exchange, Inc. (``Phlx''), subject 
to certain changes. See Securities Exchange Act Release No. 58904, 
73 FR 67218 (November 13, 2008) (File No. 4-533).
---------------------------------------------------------------------------

I. Description and Purpose of the Amendment

    The current parties to the Symbology Plan are BATS Exchange, Inc. 
(``BATS''), NASDAQ OMX BX, Inc. (``BX''), BOX Options Exchange, LLC 
(``BOX''), Chicago Board Options Exchange, Incorporated (``CBOE''), 
CHX, EDGA Exchange, Inc. (``EDGA''), EDGX Exchange, Inc. (``EDGX''), 
FINRA, the International Securities Exchange, LLC (``ISE''), Nasdaq, 
New York Stock Exchange, LLC (``NYSE''), NYSE MKT LLC (``NYSE MKT''), 
and NYSE Arca, Inc. (``NYSE Arca''), NSX and Phlx.\4\

[[Page 87646]]

The proposed amendment to the Symbology Plan would add IEX as a party 
to the Symbology Plan. A self-regulatory organization (``SRO'') may 
become a party to the Symbology Plan if it satisfies the requirements 
of Section I(c) of the Plan. Specifically, an SRO may become a party to 
the Symbology Plan if: (i) It maintains a market for the listing or 
trading of Plan Securities \5\ in accordance with rules approved by the 
Commission; (ii) it signs a current copy of the Plan; and (iii) it pays 
to the other parties a proportionate share of the aggregate development 
costs, based upon the number of symbols reserved by the new party 
during the first twelve (12) months of such party's membership.\6\
---------------------------------------------------------------------------

    \4\ On November 18, 2008, ISE filed with the Commission an 
amendment to the Plan to add ISE as a member to the Plan. See 
Securities and Exchange Act Release No. 59024 (November 26, 2008), 
73 FR 74538 (December 8, 2008) (File No. 4-533). On December 22, 
2008, NYSE, NYSE Arca, and NYSE Alternext (n/k/a NYSE MKT) (``NYSE 
Group Exchanges''), and CBOE filed with the Commission amendments to 
the Plan to add the NYSE Group Exchanges and CBOE as members to the 
Plan. See Securities Exchange Act Release No. 59162 (December 24, 
2008), 74 FR 132 (January 2, 2009) (File No. 4-533). On December 24, 
2008, BSE (n/k/a BX) filed with the Commission an amendment to the 
Plan to add BSE as a member to the Plan. See Securities Exchange Act 
Release No. 59187 (December 30, 2008), 74 FR 729 (January 7, 2009) 
(File No. 4-533). On September 30, 2009, BATS filed with the 
Commission an amendment to the Plan to add BATS as a member to the 
Plan. See Securities Exchange Act Release No. 60856 (October 21, 
2009), 74 FR 55276 (October 27, 2009) (File No. 4-533). On July 7, 
2010, EDGA and EDGX filed with the Commission an amendment to the 
Plan to add EDGA and EDGX, each as a party to the Symbology Plan. 
See Securities Exchange Act Release No. 62573 (July 26, 2010), 75 FR 
45682 (August 3, 2010) (File No. 4-533). On May 7, 2012, BOX filed 
with the Commission an amendment to the Plan to add BOX as a member 
to the Plan. See Securities and Exchange Act Release No. 34-66957 
(May 10, 2012), 77 FR 28904 (May 16, 2012).
    \5\ ``Plan Securities'' are defined in the Symbology Plan as 
securities that: (i) Are NMS securities as currently defined in Rule 
600(a)(46) under the Act; and (ii) any other equity securities 
quoted, traded and/or trade reported through an SRO facility.
    \6\ Sections I(c) and V(a) of the Plan.
---------------------------------------------------------------------------

    IEX has submitted a signed copy of the Symbology Plan to the 
Commission in accordance with the requirement set forth in the 
Symbology Plan regarding new parties to the plan. Additionally, IEX 
represented that it maintains a market for the listing or trading of 
Plan Securities. Finally, IEX has agreed to pay all costs required by 
IEX pursuant to the Symbology Plan, including its proportionate share 
of the aggregate development costs previously paid by the other parties 
to the Processor.

II. Effectiveness of the Proposed Symbology Plan Amendment

    The foregoing proposed Symbology Plan amendment has become 
effective pursuant to Rule 608(b)(3)(iii) \7\ because it involves 
solely technical or ministerial matters. At any time within sixty days 
of the filing of the amendment, the Commission may summarily abrogate 
the amendment and require that it be refiled pursuant to paragraph 
(b)(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 Act.
---------------------------------------------------------------------------

    \7\ 17 CFR 242.608(b)(3)(iii).
    \8\ 17 CFR 242.608(b)(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 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 4-533 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 4-533. 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 Plan that are filed with the Commission, 
and all written communications relating to the Plan 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 
Parties' principal offices. 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 4-533, and should be submitted on or before December 27, 
2016.

    By the Commission.
Robert W. Errett,
Deputy Secretary.
[FR Doc. 2016-29043 Filed 12-2-16; 8:45 am]
 BILLING CODE 8011-01-P

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