Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Regarding Investments of the iShares Bloomberg Roll Select Commodity Strategy ETF, 5124 [2019-02739]
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Federal Register / Vol. 84, No. 34 / Wednesday, February 20, 2019 / Notices
U.S. Code citation
Civil monetary penalty description
15 U.S.C. 80b–3(i) (Investment Advisers Act
Sec. 203(i)).
For natural person ..........................................
For any other person .....................................
For natural person/fraud ................................
For any other person/fraud ............................
For natural person/fraud/substantial losses or
risk of losses to others or gains to self.
For any other person/fraud/substantial losses
or risk of losses to others or gain to self.
For natural person ..........................................
For any other person .....................................
For natural person/fraud ................................
For any other person/fraud ............................
For natural person/fraud/substantial losses or
risk of losses to others.
For any other person/fraud/substantial losses
or risk of losses to others.
For natural person ..........................................
For any other person .....................................
For natural person ..........................................
For any other person .....................................
15 U.S.C. 80b–9(e) (Investment Advisers Act
Sec. 209(e)).
15 U.S.C.
Act Sec.
15 U.S.C.
Act Sec.
7215(c)(4)(D)(i) (Sarbanes-Oxley
105(c)(4)(D)(i)).
7215(c)(4)(D)(ii) (Sarbanes-Oxley
105(c)(4)(D)(ii)).
Pursuant to the 2015 Act and 17 CFR
201.1001, the adjusted penalty amounts
in this notice (and all penalty
adjustments performed pursuant to the
2015 Act) apply to penalties imposed
after the date the adjustment is effective
for violations that occurred after
November 2, 2015, the 2015 Act’s
enactment date. These penalty amounts
supersede the amounts in the 2018
Adjustment.14 For violations that
occurred on or before November 2,
2015, the penalty amounts in Table I to
17 CFR 201.1001 continue to apply.15
By the Commission.
Dated: February 13, 2019.
Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2019–02699 Filed 2–19–19; 8:45 am]
BILLING CODE 8011–01–P
14 The penalty amounts in this notice are being
published in the Federal Register and will not be
added to the Code of Federal Regulations in
accordance with the 2015 Act and 17 CFR
201.1001(b). See 28 U.S.C. 2461 note Sec. 4(a)(2);
17 CFR 201.1001(b). In addition to being published
in the Federal Register, the penalty amounts in this
notice will be made available on the Commission’s
website at https://www.sec.gov/enforce/civilpenalties-inflation-adjustments.htm, as detailed in
17 CFR 201.1001(b). This website also lists the
penalty amounts for violations that occurred on or
before November 2, 2015.
15 17 CFR 201.1001(a).
VerDate Sep<11>2014
17:16 Feb 19, 2019
Jkt 247001
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–85117; File No. SR–
NYSEArca–2018–83]
Self-Regulatory Organizations; NYSE
Arca, Inc.; Notice of Designation of a
Longer Period for Commission Action
on a Proposed Rule Change Regarding
Investments of the iShares Bloomberg
Roll Select Commodity Strategy ETF
February 13, 2019.
On December 19, 2018, NYSE Arca,
Inc. 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 regarding
investments of the iShares Bloomberg
Roll Select Commodity Strategy ETF,
shares of which are currently listed and
traded on the Exchange under NYSE
Arca Rule 8.600–E (‘‘Managed Fund
Shares’’). The proposed rule change was
published for comment in the Federal
Register on December 31, 2018.3 The
Commission has received no comment
letters on the proposed rule change.
Section 19(b)(2) of the Act 4 provides
that within 45 days of the publication of
notice of the filing of a proposed rule
change, or within such longer period up
1 15
U.S.C. 78s(b)(1).
CFR 240.19b–4.
3 See Securities Exchange Act Release No.
84931(December 21, 2018), 83 FR 67741.
4 15 U.S.C. 78s(b)(2).
2 17
PO 00000
Frm 00079
Fmt 4703
Sfmt 4703
2018
adjustment
penalty
amounts
CPI–U
multiplier
2019
adjusted
penalty
amounts
9,239
92,383
92,383
461,916
184,767
1.02522
1.02522
1.02522
1.02522
1.02522
9,472
94,713
94,713
473,566
189,427
923,831
1.02522
947,130
9,239
92,383
92,383
461,916
184,767
1.02522
1.02522
1.02522
1.02522
1.02522
9,472
94,713
94,713
473,566
189,427
923,831
1.02522
947,130
136,052
2,721,050
1,020,394
20,407,871
1.02522
1.02522
1.02522
1.02522
139,483
2,789,675
1,046,128
20,922,558
to 90 days as the Commission may
designate if it finds 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 February 14,
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.
Accordingly, the Commission, pursuant
to Section 19(b)(2) of the Act,5
designates March 31, 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–NYSEArca–2018–83).
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.6
Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2019–02739 Filed 2–19–19; 8:45 am]
BILLING CODE 8011–01–P
5 Id.
6 17
E:\FR\FM\20FEN1.SGM
CFR 200.30–3(a)(31).
20FEN1
]]>Agencies
[Federal Register Volume 84, Number 34 (Wednesday, February 20, 2019)]
[Notices]
[Page 5124]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-02739]
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SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-85117; File No. SR-NYSEArca-2018-83]
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of
Designation of a Longer Period for Commission Action on a Proposed Rule
Change Regarding Investments of the iShares Bloomberg Roll Select
Commodity Strategy ETF
February 13, 2019.
On December 19, 2018, NYSE Arca, Inc. 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 regarding investments of the
iShares Bloomberg Roll Select Commodity Strategy ETF, shares of which
are currently listed and traded on the Exchange under NYSE Arca Rule
8.600-E (``Managed Fund Shares''). The proposed rule change was
published for comment in the Federal Register on December 31, 2018.\3\
The Commission has received no comment letters on the proposed rule
change.
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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. 84931(December 21,
2018), 83 FR 67741.
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Section 19(b)(2) of the Act \4\ provides that within 45 days of the
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 finds 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 February 14, 2019. The Commission is extending this 45-day time
period.
---------------------------------------------------------------------------
\4\ 15 U.S.C. 78s(b)(2).
---------------------------------------------------------------------------
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. Accordingly, the
Commission, pursuant to Section 19(b)(2) of the Act,\5\ designates
March 31, 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-NYSEArca-2018-83).
---------------------------------------------------------------------------
\5\ Id.
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\6\
---------------------------------------------------------------------------
\6\ 17 CFR 200.30-3(a)(31).
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Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2019-02739 Filed 2-19-19; 8:45 am]
BILLING CODE 8011-01-P
