Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Forty-Third Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, 30205-30206 [2018-13767]

Download as PDF Federal Register / Vol. 83, No. 124 / Wednesday, June 27, 2018 / 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–NFA–2018–02. 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 website (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 website 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 principal office of NFA. 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 publicly available. All submissions should refer to File Number SR–NFA– 2018–02 and should be submitted on or before July 18, 2018. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.10 Eduardo A. Aleman, Assistant Secretary. [FR Doc. 2018–13763 Filed 6–26–18; 8:45 am] daltland on DSKBBV9HB2PROD with NOTICES BILLING CODE 8011–01–P 10 17 CFR 200.30–3(a)(73). VerDate Sep<11>2014 16:58 Jun 26, 2018 Jkt 244001 SECURITIES AND EXCHANGE COMMISSION [Release No. 34–83493; File No. S7–24–89] Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Forty-Third Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis June 21, 2018. Pursuant to Section 11A of the Securities Exchange Act of 1934 (‘‘Act’’),1 and Rule 608 thereunder,2 notice is hereby given that on June 5, 2018, the Participants 3 in the Joint SelfRegulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for NasdaqListed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis (‘‘NASDAQ/UTP Plan,’’ ‘‘UTP Plan’’ or ‘‘Plan’’) filed with the Securities and Exchange Commission (‘‘Commission’’) a proposal to amend the NASDAQ/UTP Plan.4 The amendment represents Amendment No. 43 to the NASDAQ/ UTP Plan (‘‘Amendment’’). The Amendment seeks to effectuate changes that certain Participants have made to their names and addresses, as set forth in Section I(A) of the Nasdaq/UTP Plan and to update the listing of Participant identifying codes set forth in Section VIII(C) of the Plan. Pursuant to Rule 608(b)(3)(ii) under Regulation NMS,5 the Participants have designated the Amendment as concerned solely with the 1 15 U.S.C. 78k–1. CFR 242.608. 3 The Participants are: Cboe BYX Exchange, Inc.; Cboe BZX Exchange, Inc.; Cboe EDGA Exchange, Inc.; Cboe EDGX Exchange, Inc.; Cboe Exchange, Inc.; Chicago Stock Exchange, Inc.; Financial Industry Regulatory Authority, Inc.; Investors Exchange LLC; Nasdaq BX, Inc.; Nasdaq ISE, LLC; Nasdaq PHLX LLC; The Nasdaq Stock Market LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE American LLC; and NYSE National, Inc. (collectively, the ‘‘Participants’’). 4 The Plan governs the collection, processing, and dissemination on a consolidated basis of quotation information and transaction reports in Eligible Securities for each of its Participants. This consolidated information informs investors of the current quotation and recent trade prices of Nasdaq securities. It enables investors to ascertain from one data source the current prices in all the markets trading Nasdaq securities. The Plan serves as the required transaction reporting plan for its Participants, which is a prerequisite for their trading Eligible Securities. See Securities Exchange Act Release No. 55647 (April 19, 2007), 72 FR 20891 (April 26, 2007). 5 17 CFR 242.608(b)(3)(ii). 2 17 PO 00000 Frm 00111 Fmt 4703 Sfmt 4703 30205 administration of the Nasdaq/UTP Plan and as a ‘‘Ministerial Amendment’’ under Section XVI of the Plan. As a result, the Amendment was effective upon filing and was submitted by the Chairman of the Plan’s Operating Committee. The Commission is publishing this notice to solicit comments from interested persons on the proposed Amendment. Set forth in Sections I and II is the statement of the purpose and summary of the Amendment, along with the information required by Rules 608(a) and 601(a) under the Act, prepared and submitted by the Participants to the Commission. I. Rule 608(a) A. Purpose of the Amendments The Amendment effectuates changes that certain Participants have made to their names and addresses, as set forth in Section I(A) of the UTP Plan and updates the listing of Participant identifying codes set forth in Section VIII(C) of the UTP Plan. B. Governing or Constituent Documents Not applicable. C. Implementation of the Amendments Because the Amendment constitutes a ‘‘Ministerial Amendment’’ under Section XVI of the UTP Plan, the Chairman of the UTP Plan’s Operating Committee may submit the Amendment to the Commission on behalf of the Participants in the UTP Plan. Because the Participants have designated the Amendment as concerned solely with the administration of the Plan, the Amendment is effective upon filing with the Commission. D. Development and Implementation Phases Not applicable. E. Analysis of Impact on Competition The Participants assert that the Amendment does not impose any burden on competition because it simply effectuates a change in the names and addresses of certain Participants. For the same reasons, the Participants do not believe that the Amendment introduces terms that are unreasonably discriminatory for purposes of Section 11A(c)(1)(D) of the Exchange Act. F. Written Understanding or Agreements Relating to Interpretation of, or Participation in, Plan Not applicable. G. Approval by Sponsors in Accordance With Plan See Item I.C. above. E:\FR\FM\27JNN1.SGM 27JNN1 30206 Federal Register / Vol. 83, No. 124 / Wednesday, June 27, 2018 / Notices H. Description of Operation of Facility Contemplated by the Proposed Amendments Not applicable. I. Terms and Conditions of Access Not applicable. J. Method of Determination and Imposition, and Amount of, Fees and Charges Not applicable. K. Method and Frequency of Processor Evaluation Not applicable. L. Dispute Resolution Not applicable. II. Rule 601(a) A. Equity Securities for Which Transaction Reports Shall be Required by the Plan Not applicable. B. Reporting Requirements Not applicable. C. Manner of Collecting, Processing, Sequencing, Making Available and Disseminating Last Sale Information Not applicable. D. Manner of Consolidation Not applicable. E. Standards and Methods Ensuring Promptness, Accuracy and Completeness of Transaction Reports Not applicable. F. Rules and Procedures Addressed to Fraudulent or Manipulative Dissemination Not applicable. G. Terms of Access to Transaction Reports Not applicable. daltland on DSKBBV9HB2PROD with NOTICES [FR Doc. 2018–13767 Filed 6–26–18; 8:45 am] BILLING CODE 8011–01–P III. Solicitation of Comments The Commission seeks general comments on the Amendment. Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed Amendment is consistent with the Act. Comments may be submitted by any of the following methods: VerDate Sep<11>2014 16:58 Jun 26, 2018 Jkt 244001 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 File No. S7–24–89. 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 website (https://www.sec.gov/rules/ sro.shtml). Copies of the submission, all written statements with respect to the proposed Amendment that are filed with the Commission, and all written communications relating to the proposed Amendment 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 website 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 website viewing and printing at the principal office of the Plans. 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 S7–24–89 and should be submitted on or before July 18, 2018. By the Commission. Eduardo A. Aleman, Assistant Secretary. H. Identification of Marketplace of Execution Not applicable. 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 S7– 24–89 on the subject line. SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meetings FEDERAL REGISTER CITATION OF PREVIOUS ANNOUNCEMENT: To be published. PREVIOUSLY ANNOUNCED TIME AND DATE OF THE MEETING: Thursday, June 28, 2018. The following matter will also be considered during the 2 p.m. Closed Meeting scheduled for Thursday, June 28, 2018: Report on an investigation. CHANGES IN THE MEETING: PO 00000 Frm 00112 Fmt 4703 Sfmt 4703 CONTACT PERSON FOR MORE INFORMATION: For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 551– 5400. Dated: June 22, 2018. Jill M. Peterson, Assistant Secretary. [FR Doc. 2018–13888 Filed 6–25–18; 11:15 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–83491; File No. SR–NFA– 2018–01] Self-Regulatory Organizations; National Futures Association; Notice of Filing and Immediate Effectiveness of Proposed Technical Amendment to the Interpretive Notice to NFA Compliance Rule 2–9: Special Supervisory Requirements for Members Registered as Broker-Dealers Under Section 15(b)(11) of the Securities Exchange Act of 1934 June 21, 2018. Pursuant to Section 19(b)(7) of the Securities Exchange Act of 1934 (‘‘Exchange Act’’),1 and Rule 19b–7 under the Exchange Act,2 notice is hereby given that on June 14, 2018, National Futures Association (‘‘NFA’’) filed with the Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) the proposed rule change described in Items I, II, and III below, which Items have been prepared by NFA. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. On August 30, 2017, NFA also filed this proposed rule change with the Commodity Futures Trading Commission (‘‘CFTC’’) and requested that the CFTC make a determination that review of the proposed rule change of NFA is not necessary. By letter dated September 15, 2017, the CFTC notified NFA of its determination not to review the proposed rule change.3 The text of the proposed rule change is available at the self-regulatory organization’s office, on the NFA’s website at www.nfa.futures.org, and at the SEC’s Public Reference Room. 1 15 U.S.C. 78s(b)(7). CFR 240.19b–7. 3 See letter from Eileen T. Flaherty, Director, CFTC to Carol A. Wooding, General Counsel, NFA (‘‘Letter’’). 2 17 E:\FR\FM\27JNN1.SGM 27JNN1

Agencies

[Federal Register Volume 83, Number 124 (Wednesday, June 27, 2018)]
[Notices]
[Pages 30205-30206]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-13767]


-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-83493; File No. S7-24-89]


Joint Industry Plan; Notice of Filing and Immediate Effectiveness 
of the Forty-Third Amendment to the Joint Self-Regulatory Organization 
Plan Governing the Collection, Consolidation and Dissemination of 
Quotation and Transaction Information for Nasdaq-Listed Securities 
Traded on Exchanges on an Unlisted Trading Privileges Basis

June 21, 2018.
    Pursuant to Section 11A of the Securities Exchange Act of 1934 
(``Act''),\1\ and Rule 608 thereunder,\2\ notice is hereby given that 
on June 5, 2018, the Participants \3\ in the Joint Self-Regulatory 
Organization Plan Governing the Collection, Consolidation and 
Dissemination of Quotation and Transaction Information for Nasdaq-
Listed Securities Traded on Exchanges on an Unlisted Trading Privileges 
Basis (``NASDAQ/UTP Plan,'' ``UTP Plan'' or ``Plan'') filed with the 
Securities and Exchange Commission (``Commission'') a proposal to amend 
the NASDAQ/UTP Plan.\4\ The amendment represents Amendment No. 43 to 
the NASDAQ/UTP Plan (``Amendment''). The Amendment seeks to effectuate 
changes that certain Participants have made to their names and 
addresses, as set forth in Section I(A) of the Nasdaq/UTP Plan and to 
update the listing of Participant identifying codes set forth in 
Section VIII(C) of the Plan.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78k-1.
    \2\ 17 CFR 242.608.
    \3\ The Participants are: Cboe BYX Exchange, Inc.; Cboe BZX 
Exchange, Inc.; Cboe EDGA Exchange, Inc.; Cboe EDGX Exchange, Inc.; 
Cboe Exchange, Inc.; Chicago Stock Exchange, Inc.; Financial 
Industry Regulatory Authority, Inc.; Investors Exchange LLC; Nasdaq 
BX, Inc.; Nasdaq ISE, LLC; Nasdaq PHLX LLC; The Nasdaq Stock Market 
LLC; New York Stock Exchange LLC; NYSE Arca, Inc.; NYSE American 
LLC; and NYSE National, Inc. (collectively, the ``Participants'').
    \4\ The Plan governs the collection, processing, and 
dissemination on a consolidated basis of quotation information and 
transaction reports in Eligible Securities for each of its 
Participants. This consolidated information informs investors of the 
current quotation and recent trade prices of Nasdaq securities. It 
enables investors to ascertain from one data source the current 
prices in all the markets trading Nasdaq securities. The Plan serves 
as the required transaction reporting plan for its Participants, 
which is a prerequisite for their trading Eligible Securities. See 
Securities Exchange Act Release No. 55647 (April 19, 2007), 72 FR 
20891 (April 26, 2007).
---------------------------------------------------------------------------

    Pursuant to Rule 608(b)(3)(ii) under Regulation NMS,\5\ the 
Participants have designated the Amendment as concerned solely with the 
administration of the Nasdaq/UTP Plan and as a ``Ministerial 
Amendment'' under Section XVI of the Plan. As a result, the Amendment 
was effective upon filing and was submitted by the Chairman of the 
Plan's Operating Committee. The Commission is publishing this notice to 
solicit comments from interested persons on the proposed Amendment. Set 
forth in Sections I and II is the statement of the purpose and summary 
of the Amendment, along with the information required by Rules 608(a) 
and 601(a) under the Act, prepared and submitted by the Participants to 
the Commission.
---------------------------------------------------------------------------

    \5\ 17 CFR 242.608(b)(3)(ii).
---------------------------------------------------------------------------

I. Rule 608(a)

A. Purpose of the Amendments

    The Amendment effectuates changes that certain Participants have 
made to their names and addresses, as set forth in Section I(A) of the 
UTP Plan and updates the listing of Participant identifying codes set 
forth in Section VIII(C) of the UTP Plan.

B. Governing or Constituent Documents

    Not applicable.

C. Implementation of the Amendments

    Because the Amendment constitutes a ``Ministerial Amendment'' under 
Section XVI of the UTP Plan, the Chairman of the UTP Plan's Operating 
Committee may submit the Amendment to the Commission on behalf of the 
Participants in the UTP Plan. Because the Participants have designated 
the Amendment as concerned solely with the administration of the Plan, 
the Amendment is effective upon filing with the Commission.

D. Development and Implementation Phases

    Not applicable.

E. Analysis of Impact on Competition

    The Participants assert that the Amendment does not impose any 
burden on competition because it simply effectuates a change in the 
names and addresses of certain Participants. For the same reasons, the 
Participants do not believe that the Amendment introduces terms that 
are unreasonably discriminatory for purposes of Section 11A(c)(1)(D) of 
the Exchange Act.

F. Written Understanding or Agreements Relating to Interpretation of, 
or Participation in, Plan

    Not applicable.

G. Approval by Sponsors in Accordance With Plan

    See Item I.C. above.

[[Page 30206]]

H. Description of Operation of Facility Contemplated by the Proposed 
Amendments

    Not applicable.

I. Terms and Conditions of Access

    Not applicable.

J. Method of Determination and Imposition, and Amount of, Fees and 
Charges

    Not applicable.

K. Method and Frequency of Processor Evaluation

    Not applicable.

L. Dispute Resolution

    Not applicable.

II. Rule 601(a)

A. Equity Securities for Which Transaction Reports Shall be Required by 
the Plan

    Not applicable.

B. Reporting Requirements

    Not applicable.

C. Manner of Collecting, Processing, Sequencing, Making Available and 
Disseminating Last Sale Information

    Not applicable.

D. Manner of Consolidation

    Not applicable.

E. Standards and Methods Ensuring Promptness, Accuracy and Completeness 
of Transaction Reports

    Not applicable.

F. Rules and Procedures Addressed to Fraudulent or Manipulative 
Dissemination

    Not applicable.

G. Terms of Access to Transaction Reports

    Not applicable.

H. Identification of Marketplace of Execution

    Not applicable.

III. Solicitation of Comments

    The Commission seeks general comments on the Amendment. Interested 
persons are invited to submit written data, views, and arguments 
concerning the foregoing, including whether the proposed 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 [email protected]. Please include 
File Number S7-24-89 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 File No. S7-24-89. 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 website (https://www.sec.gov/rules/sro.shtml). Copies 
of the submission, all written statements with respect to the proposed 
Amendment that are filed with the Commission, and all written 
communications relating to the proposed Amendment 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 website 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 website viewing and printing at 
the principal office of the Plans.
    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 S7-24-89 and should be 
submitted on or before July 18, 2018.

    By the Commission.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-13767 Filed 6-26-18; 8:45 am]
 BILLING CODE 8011-01-P
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