Order Granting Petition for Review and Scheduling Filing of Statements, 42340 [2018-17958]
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42340
Federal Register / Vol. 83, No. 162 / Tuesday, August 21, 2018 / Notices
the Commission will: (a) By order
approve or disapprove such proposed
rule change, or (b) institute proceedings
to determine whether the proposed rule
change should be 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 rule-comments@
sec.gov. Please include File Number SR–
CboeBZX–2018–058 on the subject line.
Paper Comments
sradovich on DSK3GMQ082PROD with NOTICES
• 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–CboeBZX–2018–058. 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 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–CboeBZX–2018–058, and
VerDate Sep<11>2014
17:31 Aug 20, 2018
Jkt 244001
should be submitted on or before
September 11, 2018.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.69
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018–17957 Filed 8–20–18; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Securities Exchange Act of 1934; Release
No. 34–83856/August 15, 2018]
Order Granting Petition for Review and
Scheduling Filing of Statements
In the Matter of Financial Industry
Regulatory Authority, Inc.
For an Order Granting the Approval of
Proposed Rule Change to Adopt FINRA
Rule 1113 (Restriction Pertaining to New
Member Applications) and to Amend the
FINRA Rule 9520 Series (Eligibility
Proceedings) (File No. SR–FINRA–2010–
056)
This matter comes before the
Securities and Exchange Commission
(‘‘Commission’’) on petition to review
the approval, pursuant to delegated
authority, of the Financial Industry
Regulatory Authority, Inc. (‘‘FINRA’’)
proposed rule change to adopt FINRA
Rule 1113 (Restriction Pertaining to
New Member Applications) and to
amend the FINRA Rule 9520 Series
(Eligibility Proceedings).
On November 15, 2010, the
Commission issued a notice of filing of
the proposed rule change filed with the
Commission pursuant to Section
19(b)(1) of the Securities Exchange Act
of 1934 (‘‘Exchange Act’’) 1 and Rule
19b–4 2 thereunder.3 The proposed rule
change was published for comment in
the Federal Register on November 22,
2010.4 On February 18, 2011, after
consideration of the record for the
proposed rule change, the Division of
Trading and Markets (‘‘Division’’),
pursuant to delegated authority,5
approved the proposed rule change
(‘‘Approval Order’’).6
On March 4, 2011, pursuant to
Commission Rule of Practice 430,7
Manuel P. Asensio (‘‘Asensio’’) filed a
69 17
CFR 200.30–3(a)(12).
U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.
3 See Exchange Act Release No. 63316 (Nov. 15,
2010), 75 FR 71166 (Nov. 22, 2010) (File No. SR–
FINRA–2010–056).
4 See Id.
5 17 CFR 200.30 3(a)(12).
6 See Exchange Act Release No. 63933 (Feb. 18,
2011), 76 FR 10629 (Feb. 25, 2011).
7 17 CFR 201.430.
1 15
PO 00000
Frm 00089
Fmt 4703
Sfmt 4703
petition for review of the Approval
Order. Pursuant to Commission Rule of
Practice 431(e), the Approval Order was
stayed by the filing with the
Commission of a notice of intention to
petition for review.8 Pursuant to Rule
431 of the Rules of Practice,9 the
petition for review of the Approval
Order is granted. Further, the
Commission hereby establishes that any
party to the action or other person may
file a written statement in support of or
in opposition to the Approval Order on
or before September 5.
For the reasons stated above, it is
hereby:
Ordered that Asensio’s petition for
review of the Division’s action to
approve the proposed rule change by
delegated authority be Granted; and
It is further Ordered that any party or
other person may file a statement in
support of or in opposition to the action
made pursuant to delegated authority on
or before September 5.
It is further Ordered that the Approval
Order shall remain stayed pending
further order by the Commission.
By the Commission.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018–17958 Filed 8–20–18; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–83850; File No. SR–FICC–
2018–008]
Self-Regulatory Organizations; Fixed
Income Clearing Corporation; Notice of
Filing of Proposed Rule Change To
Apply Government Securities Division
Corporation Default Rule to Sponsored
Members and Make Other Changes
August 15, 2018.
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 August 6,
2018, Fixed Income Clearing
Corporation (‘‘FICC’’) filed with the
Securities and Exchange Commission
(‘‘Commission’’) the proposed rule
change as described in Items I, II and III
below, which Items have been prepared
by the clearing agency. The Commission
is publishing this notice to solicit
comments on the proposed rule change
from interested persons.
8 17
CFR 201.431(e).
CFR 201.431.
1 15 U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.
9 17
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]]>Agencies
[Federal Register Volume 83, Number 162 (Tuesday, August 21, 2018)]
[Notices]
[Page 42340]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2018-17958]
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SECURITIES AND EXCHANGE COMMISSION
[Securities Exchange Act of 1934; Release No. 34-83856/August 15, 2018]
Order Granting Petition for Review and Scheduling Filing of
Statements
In the Matter of Financial Industry Regulatory Authority, Inc.
For an Order Granting the Approval of Proposed Rule Change to Adopt
FINRA Rule 1113 (Restriction Pertaining to New Member Applications)
and to Amend the FINRA Rule 9520 Series (Eligibility Proceedings)
(File No. SR-FINRA-2010-056)
This matter comes before the Securities and Exchange Commission
(``Commission'') on petition to review the approval, pursuant to
delegated authority, of the Financial Industry Regulatory Authority,
Inc. (``FINRA'') proposed rule change to adopt FINRA Rule 1113
(Restriction Pertaining to New Member Applications) and to amend the
FINRA Rule 9520 Series (Eligibility Proceedings).
On November 15, 2010, the Commission issued a notice of filing of
the proposed rule change filed with the Commission pursuant to Section
19(b)(1) of the Securities Exchange Act of 1934 (``Exchange Act'') \1\
and Rule 19b-4 \2\ thereunder.\3\ The proposed rule change was
published for comment in the Federal Register on November 22, 2010.\4\
On February 18, 2011, after consideration of the record for the
proposed rule change, the Division of Trading and Markets
(``Division''), pursuant to delegated authority,\5\ approved the
proposed rule change (``Approval Order'').\6\
---------------------------------------------------------------------------
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b-4.
\3\ See Exchange Act Release No. 63316 (Nov. 15, 2010), 75 FR
71166 (Nov. 22, 2010) (File No. SR-FINRA-2010-056).
\4\ See Id.
\5\ 17 CFR 200.30 3(a)(12).
\6\ See Exchange Act Release No. 63933 (Feb. 18, 2011), 76 FR
10629 (Feb. 25, 2011).
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On March 4, 2011, pursuant to Commission Rule of Practice 430,\7\
Manuel P. Asensio (``Asensio'') filed a petition for review of the
Approval Order. Pursuant to Commission Rule of Practice 431(e), the
Approval Order was stayed by the filing with the Commission of a notice
of intention to petition for review.\8\ Pursuant to Rule 431 of the
Rules of Practice,\9\ the petition for review of the Approval Order is
granted. Further, the Commission hereby establishes that any party to
the action or other person may file a written statement in support of
or in opposition to the Approval Order on or before September 5.
---------------------------------------------------------------------------
\7\ 17 CFR 201.430.
\8\ 17 CFR 201.431(e).
\9\ 17 CFR 201.431.
---------------------------------------------------------------------------
For the reasons stated above, it is hereby:
Ordered that Asensio's petition for review of the Division's action
to approve the proposed rule change by delegated authority be Granted;
and
It is further Ordered that any party or other person may file a
statement in support of or in opposition to the action made pursuant to
delegated authority on or before September 5.
It is further Ordered that the Approval Order shall remain stayed
pending further order by the Commission.
By the Commission.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-17958 Filed 8-20-18; 8:45 am]
BILLING CODE 8011-01-P
