SEC Small Business Capital Formation Advisory Committee, 38688-38689 [2019-16901]

Download as PDF 38688 Federal Register / Vol. 84, No. 152 / Wednesday, August 7, 2019 / Notices jspears on DSK3GMQ082PROD with NOTICES 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 plan that are filed with the Commission, and all written communications relating to the proposed 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 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 plan also will be available for inspection and copying at the principal offices of the Participating Organizations. 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 4–566 and should be submitted on or before August 28, 2019. V. Discussion The Commission finds that the Plan, as proposed to be amended, is consistent with the factors set forth in Section 17(d) of the Act 14 and Rule 17d–2 thereunder 15 in that it is necessary or appropriate in the public interest and for the protection of investors, fosters cooperation and coordination among SROs, and removes impediments to and fosters the development of the national market system. The Commission continues to believe that the Plan, as amended, should reduce unnecessary regulatory duplication by allocating regulatory responsibility for the surveillance, investigation, and enforcement of Common Rules to FINRA. Accordingly, the proposed amendment to the Plan promotes efficiency by consolidating these regulatory functions in a single SRO. Under paragraph (c) of Rule 17d–2, the Commission may, after appropriate notice and comment, declare a plan, or any part of a plan, effective. In this instance, the Commission believes that appropriate notice and comment can take place after the proposed amendment is effective. The amendment adds LTSE as a Participant to the Plan and reflects the name change of Chicago Stock Exchange, Inc. to 14 15 15 17 U.S.C. 78q(d). CFR 240.17d–2. VerDate Sep<11>2014 16:49 Aug 06, 2019 Jkt 247001 NYSE Chicago, Inc.16 The Commission believes that the current amendment to the Plan does not raise any new regulatory issues that the Commission has not previously considered, and therefore believes that the amended Plan should become effective without any undue delay. VI. Conclusion This order gives effect to the amended Plan submitted to the Commission that is contained in File No. 4–566. It is therefore ordered, pursuant to Section 17(d) of the Act,17 that the Plan, as amended, filed with the Commission pursuant to Rule 17d–2 on July 15, 2019, is hereby approved and declared effective. It is further ordered that the Participating Organizations are relieved of those regulatory responsibilities allocated to FINRA under the amended Plan to the extent of such allocation. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.18 Jill M. Peterson, Assistant Secretary. [FR Doc. 2019–16819 Filed 8–6–19; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release Nos. 33–10666; 34–86552; File No. 265–32] SEC Small Business Capital Formation Advisory Committee Securities and Exchange Commission. ACTION: Notice of meeting. AGENCY: The Securities and Exchange Commission Small Business Capital Formation Advisory Committee, established pursuant to Section 40 of the Securities Exchange Act of 1934 as added by the SEC Small Business Advocate Act of 2016, is providing notice that it will hold a public meeting. The public is invited to submit written statements to the Committee. DATES: The meeting will be held on Tuesday, August 13, 2019, from 9:30 a.m. to 3:30 p.m. (CT) and will be open SUMMARY: to the public. Seating will be on a firstcome, first-served basis. Written statements should be received on or before August 12, 2019. The meeting will be held at Creighton University, in The President’s Fitzgerald Boardroom on the fourth floor of the Mike and Josie Harper Center, located at 602 North 20th Street, Omaha, Nebraska 68178. The meeting will be webcast on the Commission’s website at www.sec.gov. Written statements may be submitted by any of the following methods: ADDRESSES: Electronic Statements • Use the Commission’s internet submission form (https://www.sec.gov/ rules/other.shtml); or • Send an email message to rulecomments@sec.gov. Please include File Number 265–32 on the subject line; or Paper Statements • Send paper statements to Vanessa A. Countryman, Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549–1090. All submissions should refer to File No. 265–32. This file number should be included on the subject line if email is used. To help us process and review your statement more efficiently, please use only one method. The Commission will post all statements on the SEC’s website at www.sec.gov. Statements also 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. (ET). All statements received will be posted without change; we do not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. Julie Z. Davis, Senior Special Counsel, Office of the Advocate for Small Business Capital Formation, at (202) 551–5407, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549–3628. FOR FURTHER INFORMATION CONTACT: The meeting will be open to the public. Persons needing special accommodations because of a disability should notify the contact person listed in the section above entitled FOR FURTHER INFORMATION CONTACT. The agenda for the meeting includes matters relating to rules and regulations affecting small and emerging companies under the federal securities laws. SUPPLEMENTARY INFORMATION: 16 The Commission notes that the most recent prior amendment to the Plan, which, among other things, provided for the adjustment of total trades by separating out bunched or bundled trades by a Participating Organization when determining a Participant’s Percentage of Publicly Reported Trades in the calculation of quarterly fees, was published for comment and the Commission did not receive any comments thereon. See supra note 11. 17 15 U.S.C. 78q(d). 18 17 CFR 200.30–3(a)(34). PO 00000 Frm 00102 Fmt 4703 Sfmt 4703 E:\FR\FM\07AUN1.SGM 07AUN1 Federal Register / Vol. 84, No. 152 / Wednesday, August 7, 2019 / Notices Dated: August 2, 2019. Vanessa A. Countryman, Secretary. Management Procedures and revised Unsecured Credit Limits Procedures (the ‘‘Initial Filing’’). Amendment No. 1 is intended to amend a defined term in the confidential Unsecured Credit Limits Procedures in Exhibit 5. The proposed rule changes in the Initial Filing are otherwise unchanged. [FR Doc. 2019–16901 Filed 8–6–19; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–86539; File No. SR–ICEEU– 2019–012] Self-Regulatory Organizations; ICE Clear Europe Limited; Notice of Filing of Partial Amendment No. 1 to Proposed Rule Change To Revise the ICE Clear Europe Treasury and Banking Services Policy, Liquidity Management Procedures, Investment Management Procedures and Unsecured Credit Limits Procedures August 1, 2019. jspears on DSK3GMQ082PROD with NOTICES On July 5, 2019, ICE Clear Europe Limited (‘‘ICE Clear Europe’’) 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 proposed rule change SR–ICEEU 2019–012 to adopt a new Treasury and Banking Services Policy, new Liquidity Management Procedures, new Investment Management Procedures, and revised Unsecured Credit Limits Procedures. The proposed rule change was published for comment in the Federal Register on July 25, 2019.3 On July 30, 2019, ICE Clear Europe filed Partial Amendment No. 1 to the proposed rule change. Pursuant to Section 19(b)(1) of the Act 4 and Rule 19b–4 thereunder 5 the Commission is publishing notice of this Partial Amendment No.1 to the proposed rule change as described in Item I below. The Commission is publishing this notice to solicit comment on Partial Amendment No. 1 from interested persons. I. Clearing Agency’s Statement of the Terms of Substance of Partial Amendments to the Proposed Rule Change ICE Clear Europe submits this partial amendment (‘‘Amendment No. 1’’) to its previously submitted rule changes to adopt a new Treasury and Banking Services Policy, new Liquidity Management Procedures and Investment 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 Securities Exchange Act Release No. 34–86413 (July 19, 2019), 84 FR 35892 (July 25, 2019) (SR– ICEEU–2019–012). 4 15 U.S.C. 78s(b)(1). 5 17 CFR 240.19b–4. 2 17 VerDate Sep<11>2014 16:49 Aug 06, 2019 Jkt 247001 II. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Within 45 days of the date of publication of this notice in the Federal Register or within such longer period up to 90 days (i) as the Commission may designate if it finds such longer period to be appropriate and publishes its reasons for so finding or (ii) as to which the self-regulatory organization consents, the Commission will: (A) By order approve or disapprove the proposed rule change or (B) institute proceedings to determine whether the proposed rule change should be disapproved. III. 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– ICEEU–2019–012 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 SR–ICEEU–2019–012. 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 PO 00000 Frm 00103 Fmt 4703 Sfmt 4703 38689 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 filings will also be available for inspection and copying at the principal office of ICE Clear Europe and on ICE Clear Europe’s website at https:// www.theice.com/clear-europe/ regulation. 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–ICEEU–2019–012 and should be submitted on or before August 28, 2019. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.6 Jill M. Peterson, Assistant Secretary. [FR Doc. 2019–16853 Filed 8–6–19; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–86546; File No. SR– CboeBZX–2019–068] Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the iShares California Short Maturity Muni Bond ETF of the iShares U.S. ETF Trust Under Rule 14.11(i), Managed Fund Shares August 1, 2019. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ‘‘Act’’),1 and Rule 19b–4 thereunder,2 notice is hereby given that on July 19, 2019, Cboe BZX Exchange, Inc. (the ‘‘Exchange’’ or ‘‘BZX’’) filed with the Securities and Exchange Commission (the ‘‘Commission’’) the proposed rule change as described in Items I, II and III below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. 6 17 CFR 200.30–3(a)(12). U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. 1 15 E:\FR\FM\07AUN1.SGM 07AUN1

Agencies

[Federal Register Volume 84, Number 152 (Wednesday, August 7, 2019)]
[Notices]
[Pages 38688-38689]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-16901]


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SECURITIES AND EXCHANGE COMMISSION

[Release Nos. 33-10666; 34-86552; File No. 265-32]


SEC Small Business Capital Formation Advisory Committee

AGENCY: Securities and Exchange Commission.

ACTION: Notice of meeting.

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

SUMMARY: The Securities and Exchange Commission Small Business Capital 
Formation Advisory Committee, established pursuant to Section 40 of the 
Securities Exchange Act of 1934 as added by the SEC Small Business 
Advocate Act of 2016, is providing notice that it will hold a public 
meeting. The public is invited to submit written statements to the 
Committee.

DATES: The meeting will be held on Tuesday, August 13, 2019, from 9:30 
a.m. to 3:30 p.m. (CT) and will be open to the public. Seating will be 
on a first-come, first-served basis. Written statements should be 
received on or before August 12, 2019.

ADDRESSES: The meeting will be held at Creighton University, in The 
President's Fitzgerald Boardroom on the fourth floor of the Mike and 
Josie Harper Center, located at 602 North 20th Street, Omaha, Nebraska 
68178. The meeting will be webcast on the Commission's website at 
www.sec.gov. Written statements may be submitted by any of the 
following methods:

Electronic Statements

     Use the Commission's internet submission form (https://www.sec.gov/rules/other.shtml); or
     Send an email message to [email protected]. Please 
include File Number 265-32 on the subject line; or

Paper Statements

     Send paper statements to Vanessa A. Countryman, Secretary, 
Securities and Exchange Commission, 100 F Street NE, Washington, DC 
20549-1090.

All submissions should refer to File No. 265-32. This file number 
should be included on the subject line if email is used. To help us 
process and review your statement more efficiently, please use only one 
method. The Commission will post all statements on the SEC's website at 
www.sec.gov. Statements also 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. (ET). All statements received will be posted 
without change; we do not edit personal identifying information from 
submissions. You should submit only information that you wish to make 
available publicly.

FOR FURTHER INFORMATION CONTACT: Julie Z. Davis, Senior Special 
Counsel, Office of the Advocate for Small Business Capital Formation, 
at (202) 551-5407, Securities and Exchange Commission, 100 F Street NE, 
Washington, DC 20549-3628.

SUPPLEMENTARY INFORMATION: The meeting will be open to the public. 
Persons needing special accommodations because of a disability should 
notify the contact person listed in the section above entitled FOR 
FURTHER INFORMATION CONTACT. The agenda for the meeting includes 
matters relating to rules and regulations affecting small and emerging 
companies under the federal securities laws.


[[Page 38689]]


    Dated: August 2, 2019.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2019-16901 Filed 8-6-19; 8:45 am]
 BILLING CODE 8011-01-P
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