Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information), 1809 [2019-00943]

Download as PDF Federal Register / Vol. 84, No. 24 / Tuesday, February 5, 2019 / Notices ACTION: Notice. SECURITIES AND EXCHANGE COMMISSION The Postal Service gives notice of filing a request with the Postal Regulatory Commission to add a domestic shipping services contract to the list of Negotiated Service Agreements in the Mail Classification Schedule’s Competitive Products List. SUMMARY: Date of required notice: February 5, 2019. DATES: FOR FURTHER INFORMATION CONTACT: The United States Postal Service® hereby gives notice that, pursuant to 39 U.S.C. 3642 and 3632(b)(3), on December 27, 2018, it filed with the Postal Regulatory Commission a USPS Request to Add Priority Mail Contract 503 to Competitive Product List. Documents are available at www.prc.gov, Docket Nos. MC2019–67, CP2019–72. SUPPLEMENTARY INFORMATION: Elizabeth Reed, Attorney, Corporate and Postal Business Law. [FR Doc. 2019–01074 Filed 2–4–19; 8:45 am] BILLING CODE 7710–12–P POSTAL SERVICE Product Change—Priority Mail Express and Priority Mail Negotiated Service Agreement ACTION: Postal ServiceTM. Notice. The Postal Service gives notice of filing a request with the Postal Regulatory Commission to add a domestic shipping services contract to the list of Negotiated Service Agreements in the Mail Classification Schedule’s Competitive Products List. SUMMARY: Date of required notice: February 5, 2019. DATES: FOR FURTHER INFORMATION CONTACT: Elizabeth Reed, 202–268–3179. The United States Postal Service® hereby gives notice that, pursuant to 39 U.S.C. 3642 and 3632(b)(3), on December 28, 2018, it filed with the Postal Regulatory Commission a USPS Request to Add Priority Mail Express & Priority Mail Contract 84 to Competitive Product List. Documents are available at www.prc.gov, Docket Nos. MC2019–74, CP2019–79. SUPPLEMENTARY INFORMATION: Elizabeth Reed, Attorney, Corporate and Postal Business Law. [FR Doc. 2019–01097 Filed 2–4–19; 8:45 am] BILLING CODE 7710–12–P VerDate Sep<11>2014 17:22 Feb 04, 2019 Jkt 247001 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information) January 30, 2019. Elizabeth Reed, 202–268–3179. AGENCY: [Release No. 34–85003; File No. SR–FINRA– 2018–040] On November 28, 2018, Financial Industry Regulatory Authority, Inc. (‘‘FINRA’’) filed with the Securities and Exchange Commission (‘‘Commission’’), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’) 1 and Rule 19b–4 thereunder,2 a proposed rule change to amend paragraph (a)(3) of FINRA Rule 4512 (Customer Account Information) to permit the use of electronic signatures and to clarify the scope of the rule. The proposed rule change was published for comment in the Federal Register on December 17, 2018.3 The Commission has received two comment letters regarding the proposed rule change.4 Section 19(b)(2) of the Act 5 provides that, within 45 days of publication of notice of the filing of a proposed rule change, or within such longer period up to 90 days as the Commission may designate if it find such longer period to be appropriate and publishes its reasons for so finding, or as to which the selfregulatory organization consents, the Commission shall either approve the proposed rule change, disapprove the proposed rule change, or institute proceedings to determine whether the proposed rule change should be disapproved. The 45th day after publication of the notice for this proposed rule change is January 31, 2019. The Commission is extending this 45-day time period. The Commission finds it appropriate to designate a longer period within which to take action on the proposed rule change so that it has sufficient time to consider the proposed rule change.6 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 See Securities Exchange Act Release No. 84788 (December 11, 2018), 83 FR 64609 (December 17, 2018). 4 See Letter from Paul J. Tolley, Senior Vice President, Chief Compliance Officer, Commonwealth Financial Network, dated December 31, 2018; letter from Kevin Zambrowicz, Associate General Counsel & Managing Director, SIFMA, dated January 7, 2019. 5 15 U.S.C. 78s(b)(2). 6 By letter dated December 27, 2018, FINRA also consented to extending to March 17, 2019 the time period for Commission action on SR–FINRA–2018– 2 17 PO 00000 Frm 00112 Fmt 4703 Sfmt 4703 1809 Accordingly, the Commission, pursuant to Section 19(b)(2) of the Act,7 designates March 17, 2019, as the date by which the Commission shall either approve or disapprove, or institute proceedings to determine whether to disapprove, the proposed rule change (File No. SR–FINRA–2018–040). For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.8 Eduardo A. Aleman, Deputy Secretary. [FR Doc. 2019–00943 Filed 2–4–19; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Submission for OMB Review; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of FOIA Services, 100 F Street NE, Washington, DC 20549–2736. Extension: Rule 17e–1, SEC File No. 270–224, OMB Control No. 3235–0217 Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (‘‘Paperwork Reduction Act’’), the Securities and Exchange Commission (the ‘‘Commission’’) has submitted to the Office of Management and Budget (‘‘OMB’’) a request for extension of the previously approved collection of information described below. Rule 17e–1 (17 CFR 270.17e–1) under the Investment Company Act of 1940 (15 U.S.C. 80a–1 et seq.) (the ‘‘Investment Company Act’’) deems a remuneration as ‘‘not exceeding the usual and customary broker’s commission’’ for purposes of Section 17(e)(2)(A) of the Act (15 U.S.C. 80a– 17(e)(2)(A)) if, among other things, a registered investment company’s (‘‘fund’s’’) board of directors has adopted procedures reasonably designed to provide that the remuneration to an affiliated broker is reasonable and fair compared to that received by other brokers in connection with comparable transactions involving similar securities being purchased or sold on a securities exchange during a comparable period of time and the board makes and approves such changes as it deems necessary. In addition, each quarter, the board must determine that 040. See https://www.finra.org/sites/default/files/ rule_filing_file/SR-FINRA-2018-40-Extension-1.pdf. 7 15 U.S.C. 78s(b)(2). 8 17 CFR 200.30–3(a)(31). E:\FR\FM\05FEN1.SGM 05FEN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 84, Number 24 (Tuesday, February 5, 2019)]
[Notices]
[Page 1809]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-00943]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-85003; File No. SR-FINRA-2018-040]


Self-Regulatory Organizations; Financial Industry Regulatory 
Authority, Inc.; Notice of Designation of a Longer Period for 
Commission Action on a Proposed Rule Change Relating to FINRA Rule 4512 
(Customer Account Information)

January 30, 2019.
    On November 28, 2018, Financial Industry Regulatory Authority, Inc. 
(``FINRA'') filed with the Securities and Exchange Commission 
(``Commission''), pursuant to Section 19(b)(1) of the Securities 
Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4 thereunder,\2\ a 
proposed rule change to amend paragraph (a)(3) of FINRA Rule 4512 
(Customer Account Information) to permit the use of electronic 
signatures and to clarify the scope of the rule. The proposed rule 
change was published for comment in the Federal Register on December 
17, 2018.\3\ The Commission has received two comment letters regarding 
the proposed rule change.\4\
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 84788 (December 11, 
2018), 83 FR 64609 (December 17, 2018).
    \4\ See Letter from Paul J. Tolley, Senior Vice President, Chief 
Compliance Officer, Commonwealth Financial Network, dated December 
31, 2018; letter from Kevin Zambrowicz, Associate General Counsel & 
Managing Director, SIFMA, dated January 7, 2019.
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    Section 19(b)(2) of the Act \5\ provides that, within 45 days of 
publication of notice of the filing of a proposed rule change, or 
within such longer period up to 90 days as the Commission may designate 
if it find such longer period to be appropriate and publishes its 
reasons for so finding, or as to which the self-regulatory organization 
consents, the Commission shall either approve the proposed rule change, 
disapprove the proposed rule change, or institute proceedings to 
determine whether the proposed rule change should be disapproved. The 
45th day after publication of the notice for this proposed rule change 
is January 31, 2019. The Commission is extending this 45-day time 
period.
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    \5\ 15 U.S.C. 78s(b)(2).
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    The Commission finds it appropriate to designate a longer period 
within which to take action on the proposed rule change so that it has 
sufficient time to consider the proposed rule change.\6\ Accordingly, 
the Commission, pursuant to Section 19(b)(2) of the Act,\7\ designates 
March 17, 2019, as the date by which the Commission shall either 
approve or disapprove, or institute proceedings to determine whether to 
disapprove, the proposed rule change (File No. SR-FINRA-2018-040).
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    \6\ By letter dated December 27, 2018, FINRA also consented to 
extending to March 17, 2019 the time period for Commission action on 
SR-FINRA-2018-040. See https://www.finra.org/sites/default/files/rule_filing_file/SR-FINRA-2018-40-Extension-1.pdf.
    \7\ 15 U.S.C. 78s(b)(2).

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\8\
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    \8\ 17 CFR 200.30-3(a)(31).
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Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2019-00943 Filed 2-4-19; 8:45 am]
BILLING CODE 8011-01-P

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