Sunshine Act Meeting, 34560 [2017-15627]

Download as PDF 34560 Federal Register / Vol. 82, No. 141 / Tuesday, July 25, 2017 / Notices SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting mstockstill on DSK30JT082PROD with NOTICES 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’s Office of Compliance Inspections and Examinations (‘‘OCIE’’) will host a public conference, characterized as a ‘‘Compliance Outreach Program for Broker-Dealers,’’ on Thursday, July 27, 2017, in the Auditorium, Room L–002 at the Commission’s headquarters, 100 F Street NE., Washington, DC 20549. The conference will begin at 10:30 a.m. (ET). Seating will be on a first-come, firstserved basis. Doors will open at 9:00 a.m. Visitors will be subject to security checks. The conference will be webcast on the Commission’s Web site at www.sec.gov. On May 3, 2017, the Commission issued notice of the conference indicating that the conference is open to the public. This Sunshine Act notice is being issued because a quorum of the Commission may attend. The agenda for the conference includes: Opening remarks by Chairman Jay Clayton; a panel discussion with insights from Michael Piwowar, Commissioner, Securities and Exchange Commission, Robert Cook, President and CEO of FINRA (Financial Industry Regulatory Authority), and moderated by Peter Driscoll, Acting Director, OCIE; a panel discussion addressing certain broker-dealer hot topics, including antimoney laundering, conflicts of interest, recidivist and high risk brokers and dual registrants. Other panels include a discussion of issues relating to senior investors and those investing for retirement and a discussion addressing current cybersecurity threats impacting brokerdealers and the securities markets, including mitigation approaches. For further information, please contact Brent J. Fields from the Office of the Secretary at (202) 551–5400. Dated: July 20, 2017. Brent J. Fields, Secretary. [FR Doc. 2017–15627 Filed 7–21–17; 11:15 am] [Release No. 34–81170; File No. SR–CBOE– 2017–055] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Updates for the CBOE Fees Schedule July 19, 2017. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ‘‘Act’’),1 and Rule 19b–4 thereunder,2 notice is hereby given that on July 11, 2017, Chicago Board Options Exchange, Incorporated (‘‘Exchange’’ or ‘‘CBOE’’) filed with the Securities and Exchange Commission (the ‘‘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 make a number of changes to its Fees Schedule, effective immediately. The text of the proposed rule change is also available on the Exchange’s Web site (http://www.cboe.com/AboutCBOE/ CBOELegalRegulatoryHome.aspx), at the Exchange’s Office of the Secretary, 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 aspects of such statements. BILLING CODE 8011–01–P 1 15 2 17 VerDate Sep<11>2014 19:30 Jul 24, 2017 Jkt 241001 PO 00000 Fmt 4703 1. Purpose The Exchange proposes to make a number of changes to its Fees Schedule.3 VIX License Index Surcharge Waiver The Exchange proposes to extend the current waiver of the VIX Index License Surcharge of $0.10 per contract for Clearing Trading Permit Holder Proprietary (‘‘Firm’’) (origin codes ‘‘F’’ or ‘‘L’’) VIX orders that have a premium of $0.10 or lower and have series with an expiration of seven (7) calendar days or less. The Exchange adopted the current waiver to reduce transaction costs on expiring, low-priced VIX options, which the Exchange believed would encourage Firms to seek to close and/or roll over such positions close to expiration at low premium levels, including facilitating customers to do so, in order to free up capital and encourage additional trading. The Exchange had proposed to waive the surcharge through June 30, 2017. The Exchange proposes to extend the waiver of the surcharge through December 31, 2017, at which time the Exchange will reevaluate whether the waiver has continued to prompt Firms to close and roll over positions close to expiration at low premium levels. Extended Trading Hour Fees Waiver In order to promote and encourage trading during the Extended Trading Hours (‘‘ETH’’) session, the Exchange currently waives ETH Trading Permit and Bandwidth Packet fees for one (1) of each initial Trading Permits and one (1) of each initial Bandwidth Packet, per affiliated TPH. The Exchange notes that waiver is set to expire June 30, 2017. The Exchange also waives fees through June 30, 2017 for a CMI and FIX login ID if the CMI and/or FIX login ID is related to a waived ETH Trading Permit and/or waived Bandwidth packet. In order to continue to promote trading during ETH, the Exchange wishes to extend these waivers through December 31, 2017. RLG, RLV, RUI, AWDE, FTEM, FXTM and UKXM Transaction Fees Waiver The Exchange was recently authorized to list options on seven FTSE Russell Indexes (i.e., Russell 1000 Growth Index (‘‘RLG’’), Russell 1000 3 The Exchange initially filed the proposed fee change on June 29, 2017 (SR–CBOE–2017–053). On July 11, 2017, the Exchange withdrew that filing and submitted this filing. U.S.C. 78s(b)(1). CFR 240.19b–4. Frm 00089 A. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change Sfmt 4703 E:\FR\FM\25JYN1.SGM 25JYN1

Agencies

[Federal Register Volume 82, Number 141 (Tuesday, July 25, 2017)]
[Notices]
[Page 34560]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-15627]



[[Page 34560]]

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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's Office of Compliance Inspections and 
Examinations (``OCIE'') will host a public conference, characterized as 
a ``Compliance Outreach Program for Broker-Dealers,'' on Thursday, July 
27, 2017, in the Auditorium, Room L-002 at the Commission's 
headquarters, 100 F Street NE., Washington, DC 20549. The conference 
will begin at 10:30 a.m. (ET). Seating will be on a first-come, first-
served basis. Doors will open at 9:00 a.m. Visitors will be subject to 
security checks. The conference will be webcast on the Commission's Web 
site at www.sec.gov.
    On May 3, 2017, the Commission issued notice of the conference 
indicating that the conference is open to the public. This Sunshine Act 
notice is being issued because a quorum of the Commission may attend.
    The agenda for the conference includes: Opening remarks by Chairman 
Jay Clayton; a panel discussion with insights from Michael Piwowar, 
Commissioner, Securities and Exchange Commission, Robert Cook, 
President and CEO of FINRA (Financial Industry Regulatory Authority), 
and moderated by Peter Driscoll, Acting Director, OCIE; a panel 
discussion addressing certain broker-dealer hot topics, including anti-
money laundering, conflicts of interest, recidivist and high risk 
brokers and dual registrants.
    Other panels include a discussion of issues relating to senior 
investors and those investing for retirement and a discussion 
addressing current cybersecurity threats impacting broker-dealers and 
the securities markets, including mitigation approaches.
    For further information, please contact Brent J. Fields from the 
Office of the Secretary at (202) 551-5400.

    Dated: July 20, 2017.
Brent J. Fields,
Secretary.
[FR Doc. 2017-15627 Filed 7-21-17; 11:15 am]
 BILLING CODE 8011-01-P