Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan Governing the Consolidated Audit Trail To Add MIAX Emerald LLC, as a Participant, 8356-8357 [2019-04084]

Download as PDF 8356 Federal Register / Vol. 84, No. 45 / Thursday, March 7, 2019 / Notices otherwise becomes effective pursuant to Section 11A of the Act and Rule 608 thereunder. II. Effectiveness of the OLPP Amendment The foregoing OLPP amendment has become effective pursuant to Rule 608(b)(3)(iii) 10 because it has been designated by the sponsors as involving solely technical or ministerial matters. At any time within sixty days of the filing of the amendment, the Commission may summarily abrogate the amendment and require that it be refiled pursuant to paragraph (a)(1) of Rule 608,11 if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or the maintenance of fair and orderly markets, to remove impediments to, and perfect the mechanisms of, a national market system or otherwise in furtherance of the purposes of the Act. III. Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the amendment is consistent with the Act. Comments may be submitted by any of the following methods: amozie on DSK9F9SC42PROD 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 4– 443 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 4–443. 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 plan that are filed with the Commission, and all written communications relating to the plan 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 10 17 11 17 CFR 242.608(b)(3)(iii). CFR 242.608(b)(1). VerDate Sep<11>2014 17:13 Mar 06, 2019 Jkt 247001 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 MIAX Emerald’s principal office. 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 4–443, and should be submitted on or before March 28, 2019. By the Commission. Eduardo A. Aleman, Deputy Secretary. [FR Doc. 2019–04082 Filed 3–6–19; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–85230; File No. 4–698] Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan Governing the Consolidated Audit Trail To Add MIAX Emerald LLC, as a Participant March 1, 2019. Pursuant to Section 11A(a)(3) of the Securities Exchange Act of 1934 (‘‘Act’’) 1 and Rule 608 thereunder,2 notice is hereby given that on February 21, 2019, MIAX Emerald, LLC (‘‘MIAX Emerald’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘Commission’’) an amendment to the Plan Governing the Consolidated Audit Trail (‘‘Plan’’).3 The amendment adds MIAX Emerald as a Participant to the Plan. The Commission is publishing this notice to solicit comments on the amendment from interested persons. I. Description and Purpose of the Amendment The amendment to the CAT NMS Plan adds MIAX Emerald as a Participant.4 The CAT NMS Plan 1 15 U.S.C. 78k–1(a)(3). CFR 242.608. 3 The Commission approved the CAT NMS Plan on November 16, 2016. See Securities Exchange Act Release No. 79318, 81 FR 84695 (November 23, 2016). 4 See Section 1.1 of the CAT NMS Plan. The term ‘‘Participant’’ is defined in the CAT NMS Plan as any Person that becomes a Participant as permitted by this Agreement, in such Person’s capacity as a Participant in the Company (it being understood that the Participants shall comprise the ‘‘members’’ 2 17 PO 00000 Frm 00062 Fmt 4703 Sfmt 4703 provides that any Person 5 approved by the Commission as a national securities exchange or national securities association under the Exchange Act may become a Participant by submitting to the Company a completed application in the form provided by the Company.6 As a condition to admission as a Participant, said Person shall: (i) Execute a counterpart of the CAT NMS Plan, at which time Exhibit A shall be amended to reflect the status of said Person as a Participant (including said Person’s address for purposes of notices delivered pursuant to the CAT NMS Plan); and (ii) pay a fee to the Company as set forth in the Plan (the ‘‘Participation Fee’’).7 The amendment to the Plan reflecting the admission of a new Participant shall be effective only when: (x) It is approved by the Commission in accordance with Rule 608 or otherwise becomes effective pursuant to Rule 608; and (y) the prospective Participant pays the Participation Fee.8 MIAX Emerald has executed a copy of the current CAT NMS Plan, amended to include MIAX Emerald in the List of Parties (including the address of MIAX Emerald), paid the applicable Participation Fee and provided each current Plan Participant with a copy of the executed and amended Plan.9 II. Effectiveness of the Proposed Linkage Plan Amendment The foregoing Plan amendment has become effective pursuant to Rule 608(b)(3)(iii) 10 because it has been designed by the sponsors as involving solely technical or ministerial matters. At any time within sixty days of the filing of this amendment, the Commission may summarily abrogate of the Company (as the term ‘‘member’’ is defined in Section 18–101(11) of the Delaware Act)). The term ‘‘Company’’ is defined in the CAT NMS Plan as the CAT NMS, LLC, which is the company jointly owned by the Participants responsible for creating, operating and maintaining the CAT. See Preamble and Recitals to the CAT NMS Plan. 5 See Section 1.1 of the CAT NMS Plan. The term ‘‘Person’’ is defined as means any individual, partnership, limited liability company, corporation, joint venture, trust, business trust, cooperative or association and any heirs, executors, administrators, legal representatives, successors and assigns of such Person where the context so permits. 6 See Section 3.3 of the CAT NMS Plan. MIAX Emerald was approved as a national securities exchange on December 13, 2016. See Securities and Exchange Act Release No. 84891, 83 FR 67421 (December 28, 2018)(File No. 10–233). 7 See Section 3.3 of the CAT NMS Plan. 8 Id. 9 See Letter from Barbara J. Comly, Executive Vice President, General Counsel, and Corporate Secretary, dated February 19, 2019, to Brent J. Fields, Secretary, Commission. 10 17 CFR 242.608(b)(3)(iii). E:\FR\FM\07MRN1.SGM 07MRN1 8357 Federal Register / Vol. 84, No. 45 / Thursday, March 7, 2019 / Notices the amendment and require that it be refiled pursuant to paragraph (a)(1) of Rule 608,11 if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or the maintenance of fair and orderly markets, to remove impediments to, and perfect the mechanisms of, a national market system or otherwise in furtherance of the purposes of the Act. III. Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether the amendment is consistent with the Act. Comments may be submitted by any of the following methods: amozie on DSK9F9SC42PROD 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 4– 698 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 4–698. 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 20549–1090, 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 11 17 CFR 242.608(a)(1). VerDate Sep<11>2014 17:13 Mar 06, 2019 Jkt 247001 comment submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number 4–698 and should be submitted on or before March 28, 2019. By the Commission. Eduardo A. Aleman, Deputy Secretary. [FR Doc. 2019–04084 Filed 3–6–19; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Securities Exchange Act of 1934; Release No. 85227/March 1, 2019] Notice of Intent To Cancel Registration of Certain Municipal Advisors Pursuant to Section 15b(C)(3) of the Securities Exchange Act of 1934 Notice is given that the Securities and Exchange Commission (the ‘‘Commission’’) intends to issue an order or orders, pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934 (the ‘‘Act’’), cancelling the registrations of municipal advisors whose names appear in the attached Appendix, herein referred to as the ‘‘registrants’’. Section 15B(c)(3) of the Act provides, in pertinent part, that if the Commission finds that any municipal advisor registered under Section 15B is no longer in existence or has ceased to do business as a municipal advisor, the Commission, by order, shall cancel the registration of such municipal advisor. The Commission finds that each registrant listed in the attached Appendix (i) has not made any municipal advisor form submissions to the Commission through the Commission’s Electronic Data Gathering and Retrieval (‘‘EDGAR’’) system since 1/1/2016, and/or (ii) does not have an associated person, for whom there is a Form MA–I available on EDGAR, who is qualified, under Municipal Securities Rulemaking Board (MSRB) Rule G–3, to lawfully engage in municipal advisory activities. Accordingly, the Commission finds that each of the registrants listed in the attached Appendix is either (i) no longer in existence or (ii) has ceased to do business as a municipal advisor. Notice is also given that any interested person may, by April 1, 2019, at 5:30 p.m. Eastern Time, submit to the Commission in writing a request for a hearing on the cancellation of the registration of any registrant listed in the attached Appendix, accompanied by a statement as to the nature of such person’s interest, the reason for such PO 00000 Frm 00063 Fmt 4703 Sfmt 4703 person’s request, and the issues, if any, of fact or law proposed to be controverted, and the writer may request to be notified if the Commission should order a hearing thereon. Any such communications should be addressed to the SEC’s Secretary at the address below. At any time after April 1, 2019, the Commission may issue an order or orders cancelling the registrations of any or all of the registrants listed in the attached Appendix, upon the basis of the information stated above, unless an order or orders for a hearing on the cancellation shall be issued upon request or upon the Commission’s own motion. Persons who requested a hearing, or to be advised as to whether a hearing is ordered, will receive any notices and orders issued in this matter, including the date of the hearing (if ordered) and any postponements thereof. Any registrant whose registration is cancelled under delegated authority may appeal that decision directly to the Commission in accordance with Rules 430 and 431 of the Commission’s rules of practice (17 CFR 201.430 and 431). ADDRESSES: The Commission: Secretary, U.S. Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549–1090. FOR FURTHER INFORMATION CONTACT: Ahmed Abonamah, Senior Counsel to the Director, at 202–551–5680; U.S. Securities and Exchange Commission, Office of Municipal Securities, 100 F Street NE, Washington, DC 20549. For the Commission, by the Office of Municipal Securities, pursuant to delegated authority.1 Eduardo A. Aleman, Deputy Secretary. Appendix SEC ID No. 867–01224 867–01674 867–01163 867–01889 ......... ......... ......... ......... 867–01050 ......... 867–01722 ......... 867–00750 ......... 867–00802 ......... 867–01653 ......... 1 17 Full legal name Aureus Partners, Inc. BBC Consulting LLC. Benecke Robert. BRANDYWINE INVESTMENT SECURITIES, LLC. Braun Research Consulting, LLC. DENNING & COMPANY LLC. Evergreen Capital Advisors, Inc. Financial Consulting Solutions Group, Inc. Frontera Consultants RGV, LLC. CFR 200.30–3a(a)(1)(ii). E:\FR\FM\07MRN1.SGM 07MRN1

Agencies

[Federal Register Volume 84, Number 45 (Thursday, March 7, 2019)]
[Notices]
[Pages 8356-8357]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-04084]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-85230; File No. 4-698]


Joint Industry Plan; Notice of Filing and Immediate Effectiveness 
of Amendment to the Plan Governing the Consolidated Audit Trail To Add 
MIAX Emerald LLC, as a Participant

March 1, 2019.
    Pursuant to Section 11A(a)(3) of the Securities Exchange Act of 
1934 (``Act'') \1\ and Rule 608 thereunder,\2\ notice is hereby given 
that on February 21, 2019, MIAX Emerald, LLC (``MIAX Emerald'' or 
``Exchange'') filed with the Securities and Exchange Commission 
(``Commission'') an amendment to the Plan Governing the Consolidated 
Audit Trail (``Plan'').\3\ The amendment adds MIAX Emerald as a 
Participant to the Plan. The Commission is publishing this notice to 
solicit comments on the amendment from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78k-1(a)(3).
    \2\ 17 CFR 242.608.
    \3\ The Commission approved the CAT NMS Plan on November 16, 
2016. See Securities Exchange Act Release No. 79318, 81 FR 84695 
(November 23, 2016).
---------------------------------------------------------------------------

I. Description and Purpose of the Amendment

    The amendment to the CAT NMS Plan adds MIAX Emerald as a 
Participant.\4\ The CAT NMS Plan provides that any Person \5\ approved 
by the Commission as a national securities exchange or national 
securities association under the Exchange Act may become a Participant 
by submitting to the Company a completed application in the form 
provided by the Company.\6\ As a condition to admission as a 
Participant, said Person shall: (i) Execute a counterpart of the CAT 
NMS Plan, at which time Exhibit A shall be amended to reflect the 
status of said Person as a Participant (including said Person's address 
for purposes of notices delivered pursuant to the CAT NMS Plan); and 
(ii) pay a fee to the Company as set forth in the Plan (the 
``Participation Fee'').\7\ The amendment to the Plan reflecting the 
admission of a new Participant shall be effective only when: (x) It is 
approved by the Commission in accordance with Rule 608 or otherwise 
becomes effective pursuant to Rule 608; and (y) the prospective 
Participant pays the Participation Fee.\8\
---------------------------------------------------------------------------

    \4\ See Section 1.1 of the CAT NMS Plan. The term 
``Participant'' is defined in the CAT NMS Plan as any Person that 
becomes a Participant as permitted by this Agreement, in such 
Person's capacity as a Participant in the Company (it being 
understood that the Participants shall comprise the ``members'' of 
the Company (as the term ``member'' is defined in Section 18-101(11) 
of the Delaware Act)). The term ``Company'' is defined in the CAT 
NMS Plan as the CAT NMS, LLC, which is the company jointly owned by 
the Participants responsible for creating, operating and maintaining 
the CAT. See Preamble and Recitals to the CAT NMS Plan.
    \5\ See Section 1.1 of the CAT NMS Plan. The term ``Person'' is 
defined as means any individual, partnership, limited liability 
company, corporation, joint venture, trust, business trust, 
cooperative or association and any heirs, executors, administrators, 
legal representatives, successors and assigns of such Person where 
the context so permits.
    \6\ See Section 3.3 of the CAT NMS Plan. MIAX Emerald was 
approved as a national securities exchange on December 13, 2016. See 
Securities and Exchange Act Release No. 84891, 83 FR 67421 (December 
28, 2018)(File No. 10-233).
    \7\ See Section 3.3 of the CAT NMS Plan.
    \8\ Id.
---------------------------------------------------------------------------

    MIAX Emerald has executed a copy of the current CAT NMS Plan, 
amended to include MIAX Emerald in the List of Parties (including the 
address of MIAX Emerald), paid the applicable Participation Fee and 
provided each current Plan Participant with a copy of the executed and 
amended Plan.\9\
---------------------------------------------------------------------------

    \9\ See Letter from Barbara J. Comly, Executive Vice President, 
General Counsel, and Corporate Secretary, dated February 19, 2019, 
to Brent J. Fields, Secretary, Commission.
---------------------------------------------------------------------------

II. Effectiveness of the Proposed Linkage Plan Amendment

    The foregoing Plan amendment has become effective pursuant to Rule 
608(b)(3)(iii) \10\ because it has been designed by the sponsors as 
involving solely technical or ministerial matters. At any time within 
sixty days of the filing of this amendment, the Commission may 
summarily abrogate

[[Page 8357]]

the amendment and require that it be refiled pursuant to paragraph 
(a)(1) of Rule 608,\11\ if it appears to the Commission that such 
action is necessary or appropriate in the public interest, for the 
protection of investors, or the maintenance of fair and orderly 
markets, to remove impediments to, and perfect the mechanisms of, a 
national market system or otherwise in furtherance of the purposes of 
the Act.
---------------------------------------------------------------------------

    \10\ 17 CFR 242.608(b)(3)(iii).
    \11\ 17 CFR 242.608(a)(1).
---------------------------------------------------------------------------

III. Solicitation of Comments

    Interested persons are invited to submit written data, views and 
arguments concerning the foregoing, including whether the 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 rule-comments@sec.gov. Please include 
File Number 4-698 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 4-698. 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 
20549-1090, 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 4-698 and should be submitted 
on or before March 28, 2019.

    By the Commission.
Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2019-04084 Filed 3-6-19; 8:45 am]
 BILLING CODE 8011-01-P
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