Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Exchange's Name Change, 49879-49880 [2017-23370]
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Federal Register / Vol. 82, No. 207 / Friday, October 27, 2017 / Notices
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.
Persons submitting comments are
cautioned that we do not redact or edit
personal identifying information from
comment submissions. You should
submit only information that you wish
to make available publicly. All
submissions should refer to File
Number SR–BatsBZX–2017–69 and
should be submitted on or before
November 17, 2017.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.9
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017–23377 Filed 10–26–17; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–81917; File No. SR–
NASDAQ–2017–111]
Self-Regulatory Organizations; The
NASDAQ Stock Market LLC; Notice of
Filing and Immediate Effectiveness of
Proposed Rule Change Relating to the
Exchange’s Name Change
October 23, 2017.
asabaliauskas on DSKBBXCHB2PROD with NOTICES
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 October
18, 2017, 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 Substance of
the Proposed Rule Change
The Exchange proposes to amend its
rules as well as certain corporate
documents of the Exchange to reflect
legal name changes.
The text of the proposed rule change
is available on the Exchange’s Web site
at https://nasdaq.cchwallstreet.com, at
9 17
CFR 200.30–3(a)(12).
U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.
1 15
VerDate Sep<11>2014
17:54 Oct 26, 2017
Jkt 244001
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 aspects of such
statements.
A. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
1. Purpose
The purpose of this filing is to reflect
in the Exchange’s governing documents
(and the governing documents of its
parent company) 3 and the Exchange’s
Rulebook a non-substantive corporate
branding change to the Exchange’s
name.4 Specifically, current references
will be changed as follows:
• References to ‘‘NASDAQ’’ will be
changed to ‘‘Nasdaq’’
• References to ‘‘The NASDAQ Stock
Market LLC’’ or ‘‘NASDAQ Stock
Market LLC’’ will be changed to ‘‘The
Nasdaq Stock Market LLC’’
• References to ‘‘NASDAQ PHLX LLC’’
or ‘‘NASDAQ PHLX’’ will be changed
to ‘‘Nasdaq PHLX LLC’’ or ‘‘Nasdaq
PHLX’’
• References to ‘‘NASDAQ BX, Inc.’’ or
‘‘NASDAQ BX’’ will be changed to
‘‘Nasdaq BX, Inc.’’ or ‘‘Nasdaq BX’’
• References to ‘‘NASDAQ OMX PSX’’
or ‘‘NASDAQ PSX’’ will be changed
to ‘‘Nasdaq PSX’’
• References to ‘‘The NASDAQ OMX
Group, Inc.’’ or ‘‘NASDAQ OMX
Group, Inc.’’ will be changed to
‘‘Nasdaq, Inc’’ 5
• In addition to the preceding
changes, all references to ‘‘OMX’’ will
be removed from the Rulebook.6
3 The Exchange proposes to amend: (i) The
Certificate of Formation; (ii) Second Amended
Limited Liability Company Agreement; (iii) ByLaws; and (iv) Rule Book.
4 NASDAQ PHLX LLC and NASDAQ BX, Inc. will
also be filing similar rule changes.
5 See Securities Exchange Act Release No. 75421
(July 10, 2015), 80 FR 42136 (July 16, 2015) (SR–
BSECC–2015–001, SR–BX–2015–030, SR–
NASDAQ–2015–058, SR–Phlx–2015–46, SR–SCCP–
2015–01).
6 Id.
PO 00000
Frm 00099
Fmt 4703
Sfmt 4703
49879
• References to ‘‘NASDAQ Options
Market LLC’’ will be replaced with
‘‘The Nasdaq Options Market LLC’’
• References to ‘‘NASDAQ Execution
Services, LLC’’ will be changed to
‘‘Nasdaq Execution Services, LLC’’
• In all instances where the word
‘‘the’’ should have been capitalized,
(e.g., Rule 4758(b)(1)), the Exchange will
make the appropriate correction.
No other changes are being proposed
in this filing. The Exchange represents
that these changes are concerned solely
with the administration of the Exchange
and do not affect the meaning,
administration, or enforcement of any
rules of the Exchange or the rights,
obligations, or privileges of Exchange
members or their associated persons in
any way. Accordingly, this filing is
being submitted under Rule 19b–4(f)(3).
In lieu of providing a copy of the
marked changes, the Exchange
represents that it will make the
necessary non-substantive revisions to
the Certificate of Formation, Second
Amended Limited Liability Company
Agreement, By-Laws, the Rulebook and
post updated versions of each on the
Exchange’s Web site pursuant to Rule
19b–4(m)(2).
The Exchange notes that the following
references are not being amended in the
Exchange’s governing documents and
the Exchange’s Rulebook:
• Any name with a trademark (TM) or
service mark (SM) attached to the name.
• Any references in the Certificate of
Formation or Second Amended Limited
Liability Company Agreement which
references [sic] a prior name of the
Exchange and reflects [sic] a historical
date wherein that name was in effect.
2. Statutory Basis
The Exchange believes that its
proposal is consistent with Section 6(b)
of the Act,7 in general, and furthers the
objectives of Section 6(b)(5) of the Act,8
in particular, in that it is designed to
promote just and equitable principles of
trade, 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 by
avoiding confusion with the name. The
Exchange proposes to conform its name
to that of its parent, Nasdaq Inc., by
changing the capitalization in the word
‘‘NASDAQ’’ to ‘‘Nasdaq.’’ The Exchange
also proposes to amend the names of
affiliated markets in a similar manner,
by changing the name ‘‘NASDAQ’’ to
‘‘Nasdaq.’’ The name change of the
Exchange as well as other name changes
7 15
8 15
E:\FR\FM\27OCN1.SGM
U.S.C. 78f(b).
U.S.C. 78f(b)(5).
27OCN1
49880
Federal Register / Vol. 82, No. 207 / Friday, October 27, 2017 / Notices
to related entities are non-substantive
changes. No changes to the ownership
or structure of the Exchange have taken
place.
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. The name
change will align with the parent
company, Nasdaq, Inc.
C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received From
Members, Participants, or Others
No written comments were either
solicited or received.
III. Date of Effectiveness of the
Proposed Rule Change and Timing for
Commission Action
Pursuant to Section 19(b)(3)(A) of the
Act 9 and Rule 19b–4(f)(3) thereunder,10
the Exchange has designated this
proposal as one that is concerned solely
with the administration of the selfregulatory organization, and therefore
has become effective.
At any time within 60 days of the
filing of the proposed rule change, the
Commission summarily may
temporarily suspend such rule change if
it appears to the Commission that such
action is necessary or appropriate in the
public interest, for the protection of
investors, or otherwise in furtherance of
the purposes of the Act. If the
Commission takes such action, the
Commission shall institute proceedings
to determine whether the proposed rule
should be approved or 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:
asabaliauskas on DSKBBXCHB2PROD with NOTICES
Electronic Comments
• Use the Commission’s Internet
comment form (https://www.sec.gov/
rules/sro.shtml); or
• Send an email to rule-comments@
sec.gov. Please include File Number SR–
NASDAQ–2017–111 on the subject line.
Paper Comments
• Send paper comments in triplicate
to Secretary, Securities and Exchange
9 15
U.S.C. 78s(b)(3)(A).
CFR 240.19b–4(f)(3).
10 17
VerDate Sep<11>2014
17:54 Oct 26, 2017
Commission, 100 F Street NE.,
Washington, DC 20549–1090.
All submissions should refer to File
Number SR–NASDAQ–2017–111. 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 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.
Persons submitting comments are
cautioned that we do not redact or edit
personal identifying information from
comment submissions. You should
submit only information that you wish
to make available publicly. All
submissions should refer to File
Number SR–NASDAQ–2017–111, and
should be submitted on or before
November 17, 2017.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.11
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017–23370 Filed 10–26–17; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Investment Company Act Release No.
32866; 812–14796]
Blackstone/GSO Floating Rate
Enhanced Income Fund, et al.
October 23, 2017.
Securities and Exchange
Commission (‘‘Commission’’).
ACTION: Notice.
AGENCY:
Notice of application for an order
under sections 6(c) and 23(c)(3) of the
11 17
Jkt 244001
PO 00000
CFR 200.30–3(a)(12).
Frm 00100
Fmt 4703
Sfmt 4703
Investment Company Act of 1940 (the
‘‘Act’’) for an exemption from rule 23c–
3 under the Act.
SUMMARY OF APPLICATION: Applicants
request an order under sections 6(c) and
23(c)(3) of the Act for an exemption
from certain provisions of rule 23c–3 to
permit certain registered closed-end
investment companies to make
repurchase offers on a monthly basis.
APPLICANTS: Blackstone/GSO Floating
Rate Enhanced Income Fund
(‘‘BGFREI’’), GSO/Blackstone Debt
Funds Management LLC (the
‘‘Adviser’’), and Blackstone Advisory
Partners L.P. (the ‘‘Distributor’’).
FILING DATES: The application was filed
on July 3, 2017 and amended on
October 17, 2017.
HEARING OR NOTIFICATION OF HEARING: An
order granting the requested relief will
be issued unless the Commission orders
a hearing. Interested persons may
request a hearing by writing to the
Commission’s Secretary and serving
applicants with a copy of the request,
personally or by mail. Hearing requests
should be received by the Commission
by 5:30 p.m. on November 17, 2017, and
should be accompanied by proof of
service on the applicants, in the form of
an affidavit, or, for lawyers, a certificate
of service. Pursuant to rule 0–5 under
the Act, hearing requests should state
the nature of the writer’s interest, any
facts bearing upon the desirability of a
hearing on the matter, the reason for the
request, and the issues contested.
Persons who wish to be notified of a
hearing may request notification by
writing to the Commission’s Secretary.
ADDRESSES: Secretary, U.S. Securities
and Exchange Commission, 100 F Street
NE., Washington, DC 20549–1090;
Applicants: 345 Park Avenue, 31st
Floor, New York, NY 10154.
FOR FURTHER INFORMATION CONTACT:
Asen Parachkevov, Senior Counsel, or
David Marcinkus, Branch Chief, at (202)
551–6821 (Division of Investment
Management, Chief Counsel’s Office).
SUPPLEMENTARY INFORMATION: The
following is a summary of the
application. The complete application
may be obtained via the Commission’s
Web site by searching for the file
number, or for an applicant using the
Company name box, at https://
www.sec.gov/search/search.htm or by
calling (202) 551–8090.
Applicants’ Representations
1. BGFREI is a Delaware statutory
trust that is registered under the Act as
a continuously offered, non-diversified,
closed-end management investment
company that will be operated as an
E:\FR\FM\27OCN1.SGM
27OCN1
]]>Agencies
[Federal Register Volume 82, Number 207 (Friday, October 27, 2017)]
[Notices]
[Pages 49879-49880]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2017-23370]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-81917; File No. SR-NASDAQ-2017-111]
Self-Regulatory Organizations; The NASDAQ Stock Market LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change
Relating to the Exchange's Name Change
October 23, 2017.
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 October 18, 2017, 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 Substance
of the Proposed Rule Change
The Exchange proposes to amend its rules as well as certain
corporate documents of the Exchange to reflect legal name changes.
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 aspects of such
statements.
A. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change
1. Purpose
The purpose of this filing is to reflect in the Exchange's
governing documents (and the governing documents of its parent company)
\3\ and the Exchange's Rulebook a non-substantive corporate branding
change to the Exchange's name.\4\ Specifically, current references will
be changed as follows:
---------------------------------------------------------------------------
\3\ The Exchange proposes to amend: (i) The Certificate of
Formation; (ii) Second Amended Limited Liability Company Agreement;
(iii) By-Laws; and (iv) Rule Book.
\4\ NASDAQ PHLX LLC and NASDAQ BX, Inc. will also be filing
similar rule changes.
References to ``NASDAQ'' will be changed to ``Nasdaq''
References to ``The NASDAQ Stock Market LLC'' or ``NASDAQ
Stock Market LLC'' will be changed to ``The Nasdaq Stock Market LLC''
References to ``NASDAQ PHLX LLC'' or ``NASDAQ PHLX'' will be
changed to ``Nasdaq PHLX LLC'' or ``Nasdaq PHLX''
References to ``NASDAQ BX, Inc.'' or ``NASDAQ BX'' will be
changed to ``Nasdaq BX, Inc.'' or ``Nasdaq BX''
References to ``NASDAQ OMX PSX'' or ``NASDAQ PSX'' will be
changed to ``Nasdaq PSX''
References to ``The NASDAQ OMX Group, Inc.'' or ``NASDAQ OMX
Group, Inc.'' will be changed to ``Nasdaq, Inc'' \5\
---------------------------------------------------------------------------
\5\ See Securities Exchange Act Release No. 75421 (July 10,
2015), 80 FR 42136 (July 16, 2015) (SR-BSECC-2015-001, SR-BX-2015-
030, SR-NASDAQ-2015-058, SR-Phlx-2015-46, SR-SCCP-2015-01).
In addition to the preceding changes, all references to
``OMX'' will be removed from the Rulebook.\6\
---------------------------------------------------------------------------
\6\ Id.
References to ``NASDAQ Options Market LLC'' will be replaced
with ``The Nasdaq Options Market LLC''
References to ``NASDAQ Execution Services, LLC'' will be
changed to ``Nasdaq Execution Services, LLC''
In all instances where the word ``the'' should have been
capitalized, (e.g., Rule 4758(b)(1)), the Exchange will make the
appropriate correction.
No other changes are being proposed in this filing. The Exchange
represents that these changes are concerned solely with the
administration of the Exchange and do not affect the meaning,
administration, or enforcement of any rules of the Exchange or the
rights, obligations, or privileges of Exchange members or their
associated persons in any way. Accordingly, this filing is being
submitted under Rule 19b-4(f)(3). In lieu of providing a copy of the
marked changes, the Exchange represents that it will make the necessary
non-substantive revisions to the Certificate of Formation, Second
Amended Limited Liability Company Agreement, By-Laws, the Rulebook and
post updated versions of each on the Exchange's Web site pursuant to
Rule 19b-4(m)(2).
The Exchange notes that the following references are not being
amended in the Exchange's governing documents and the Exchange's
Rulebook:
Any name with a trademark (TM) or service mark (SM)
attached to the name.
Any references in the Certificate of Formation or Second
Amended Limited Liability Company Agreement which references [sic] a
prior name of the Exchange and reflects [sic] a historical date wherein
that name was in effect.
2. Statutory Basis
The Exchange believes that its proposal is consistent with Section
6(b) of the Act,\7\ in general, and furthers the objectives of Section
6(b)(5) of the Act,\8\ in particular, in that it is designed to promote
just and equitable principles of trade, 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 by
avoiding confusion with the name. The Exchange proposes to conform its
name to that of its parent, Nasdaq Inc., by changing the capitalization
in the word ``NASDAQ'' to ``Nasdaq.'' The Exchange also proposes to
amend the names of affiliated markets in a similar manner, by changing
the name ``NASDAQ'' to ``Nasdaq.'' The name change of the Exchange as
well as other name changes
[[Page 49880]]
to related entities are non-substantive changes. No changes to the
ownership or structure of the Exchange have taken place.
---------------------------------------------------------------------------
\7\ 15 U.S.C. 78f(b).
\8\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------
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. The name change will align with
the parent company, Nasdaq, Inc.
C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others
No written comments were either solicited or received.
III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action
Pursuant to Section 19(b)(3)(A) of the Act \9\ and Rule 19b-4(f)(3)
thereunder,\10\ the Exchange has designated this proposal as one that
is concerned solely with the administration of the self-regulatory
organization, and therefore has become effective.
---------------------------------------------------------------------------
\9\ 15 U.S.C. 78s(b)(3)(A).
\10\ 17 CFR 240.19b-4(f)(3).
---------------------------------------------------------------------------
At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings to
determine whether the proposed rule should be approved or 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 [email protected]. Please include
File Number SR-NASDAQ-2017-111 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-2017-111. 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 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. Persons submitting
comments are cautioned that we do not redact or edit personal
identifying information from comment submissions. You should submit
only information that you wish to make available publicly. All
submissions should refer to File Number SR-NASDAQ-2017-111, and should
be submitted on or before November 17, 2017.
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\11\
---------------------------------------------------------------------------
\11\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2017-23370 Filed 10-26-17; 8:45 am]
BILLING CODE 8011-01-P
