Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Forty-Sixth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, 65446-65447 [2019-25803]

Download as PDF 65446 Federal Register / Vol. 84, No. 229 / Wednesday, November 27, 2019 / Notices interest, and hereby waives the operative delay and designates the proposed rule change as operative upon filing.12 At any time within 60 days of the filing of such proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act. If the Commission takes such action, the Commission shall institute proceedings under Section 19(b)(2)(B) 13 of the Act to determine whether the proposed rule change should be approved or 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– NYSE–2019–64 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–NYSE–2019–64. 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 12 For purposes only of waiving the operative delay for this proposal, the Commission has considered the proposed rule’s impact on efficiency, competition, and capital formation. See 15 U.S.C. 78c(f). 13 15 U.S.C. 78s(b)(2)(B). 14 17 CFR 200.30–3(a)(12). VerDate Sep<11>2014 20:21 Nov 26, 2019 Jkt 250001 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–NYSE–2019–64 and should be submitted on or before December 18, 2019. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.14 Eduardo Aleman, Deputy Secretary. [FR Doc. 2019–25706 Filed 11–26–19; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–87594; File No. S7–24–89] Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Forty-Sixth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis November 22, 2019. Pursuant to Section 11A of the Securities Exchange Act of 1934 (‘‘Act’’) 1 and Rule 608 thereunder,2 notice is hereby given that on October 24, 2019,3 the Participants 4 in the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation 1 15 U.S.C. 78k–1(a)(3). CFR 242.608. 3 See Letter from Robert Books, Chairman, Operating Committee, UTP Plan, to Vanessa Countryman, Secretary, Commission, dated October 23, 2019. 4 The Participants are: Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., The Investors’ Exchange LLC, Long-Term Stock Exchange, Inc., Nasdaq BX, Inc., Nasdaq ISE, LLC, Nasdaq PHLX, Inc., The Nasdaq Stock Market LLC, New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc. (collectively, the ‘‘Participants’’). 2 17 PO 00000 Frm 00100 Fmt 4703 Sfmt 4703 and Dissemination of Quotation and Transaction Information for NasdaqListed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis (‘‘UTP Plan’’ or ‘‘Plan’’) filed with the Securities and Exchange Commission (‘‘Commission’’) a proposal to amend the UTP Plan. The amendment represents the Forty-Sixth Amendment to the Plan (‘‘Amendment’’). Under the Amendment, the Participants propose to add Long-Term Stock Exchange, Inc. (‘‘LTSE’’) as a Participant to the Plan and effectuate changes that certain Participants have made to their names and addresses. The proposed Amendment has been filed by the Participants pursuant to Rule 608(b)(3)(ii) under Regulation NMS 5 as concerned solely with the administration of the Plan and as a ‘‘Ministerial Amendment’’ under Section XVI of the Plan. As a result, the Amendment becomes effective upon filing and was submitted by the Chair of the Plan’s Operating Committee. The Commission is publishing this notice to solicit comments on the Amendment from interested persons. Set forth in Sections I and II is the statement of the purpose and summary of the Amendment, along with the information required by Rules 608(a) and 601(a) under the Act, prepared and submitted by the Participants to the Commission. I. Rule 608(a) A. Purpose of the Amendment The above-captioned Amendment adds LTSE as a Participant to the UTP Plan and effectuates changes that certain Participants have made to their names and addresses, as set forth in Section I(A) of the UTP Plan and to update the listing of Participant identifying codes set forth in Section VIII(C) of the UTP Plan. B. Governing or Constituent Documents Not applicable. C. Implementation of Amendment Because the Amendment constitutes a ‘‘Ministerial Amendment’’ under Section XVI of the UTP Plan, the Chair of the UTP Plan’s Operating Committee may submit the Amendment to the Commission on behalf of the Participants in the UTP Plan. Because the Participants designate the Amendment as concerned solely with the administration of the UTP Plan, the Amendment becomes effective upon filing with the Commission. 5 17 CFR 242.608(b)(2). E:\FR\FM\27NON1.SGM 27NON1 Federal Register / Vol. 84, No. 229 / Wednesday, November 27, 2019 / Notices D. Development and Implementation Phases E. Standards and Methods Ensuring Promptness, Accuracy and Completeness of Transaction Reports Not applicable. Not applicable. E. Analysis of Impact on Competition The Amendment does not impose any burden on competition because they simply add LTSE as a Participant to the UTP Plan and effectuates a change in the names and addresses of certain Participants. LTSE has completed the required steps to be added to the Plans, and the Amendment represents the final step to officially add LTSE as a Participant. For the same reasons, the Participants do not believe that the Amendment introduces terms that are unreasonably discriminatory for purposes of Section 1lA(c)(l)(D) of the Act. F. Written Understanding or Agreement Relating to Interpretation of, or Participating in Plan Not applicable. G. Approval by Sponsors in Accordance With Plan See Item I.C. above. H. Description of Operation of Facility Contemplated by the Proposed Amendment Not applicable. I. Terms and Conditions of Access Not applicable. J. Method of Determination and Imposition and Amount of, Fees and Charges Not applicable. K. Method and Frequency of Processor Evaluation Not applicable. L. Dispute Resolution Not applicable. II. Regulation NMS Rule 601(a) A. Equity Securities for Which Transaction Reports Shall Be Required by the Plan Not applicable. B. Reporting Requirements Not applicable. C. Manner of Collecting, Processing, Sequencing, Making Available and Disseminating Last Sale Information Not applicable. D. Manner of Consolidation Not applicable. VerDate Sep<11>2014 20:21 Nov 26, 2019 Jkt 250001 F. Rules and Procedures Addressed to Fraudulent or Manipulative Dissemination Not applicable. G. Terms of Access to Transaction Reports Not applicable. H. Identification of Marketplace of Execution Not applicable. III. Solicitation of Comments The Commission seeks comments on the Amendment. Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed 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 S7– 24–89 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 S7–24–89. 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 website (https://www.sec.gov/rules/ sro.shtml). Copies of the submission, all written statements with respect to the proposed Amendment that are filed with the Commission, and all written communications relating to the proposed Amendment 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 website viewing and printing at the principal office of the Plan. All comments PO 00000 Frm 00101 Fmt 4703 Sfmt 4703 65447 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 S7–24–89 and should be submitted on or before December 12, 2019. By the Commission. Eduardo A. Aleman, Deputy Secretary. [FR Doc. 2019–25803 Filed 11–26–19; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–87595; 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 LongTerm Stock Exchange LLC as a Participant November 22, 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 October 18, 2019, Long-Term Stock Exchange LLC (‘‘LTSE’’ 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 LTSE 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 LTSE as a Participant.4 The CAT NMS Plan provides that any Person 5 approved by the Commission as 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) (order approving the CAT NMS Plan). 4 Defined in Section 1.1 of the Plan as follows: ‘‘Participant’’ means each Person identified as such on Exhibit A hereto, and 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)). 5 Defined in Section 1.1 of the Plan as follows: ‘‘Person’’ means any individual, partnership, 2 17 E:\FR\FM\27NON1.SGM Continued 27NON1

Agencies

[Federal Register Volume 84, Number 229 (Wednesday, November 27, 2019)]
[Notices]
[Pages 65446-65447]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-25803]


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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-87594; File No. S7-24-89]


Consolidated Tape Association; Notice of Filing and Immediate 
Effectiveness of the Forty-Sixth Amendment to the Joint Self-Regulatory 
Organization Plan Governing the Collection, Consolidation and 
Dissemination of Quotation and Transaction Information for Nasdaq-
Listed Securities Traded on Exchanges on an Unlisted Trading Privileges 
Basis

November 22, 2019.
    Pursuant to Section 11A of the Securities Exchange Act of 1934 
(``Act'') \1\ and Rule 608 thereunder,\2\ notice is hereby given that 
on October 24, 2019,\3\ the Participants \4\ in the Joint Self-
Regulatory Organization Plan Governing the Collection, Consolidation 
and Dissemination of Quotation and Transaction Information for Nasdaq-
Listed Securities Traded on Exchanges on an Unlisted Trading Privileges 
Basis (``UTP Plan'' or ``Plan'') filed with the Securities and Exchange 
Commission (``Commission'') a proposal to amend the UTP Plan. The 
amendment represents the Forty-Sixth Amendment to the Plan 
(``Amendment''). Under the Amendment, the Participants propose to add 
Long-Term Stock Exchange, Inc. (``LTSE'') as a Participant to the Plan 
and effectuate changes that certain Participants have made to their 
names and addresses.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78k-1(a)(3).
    \2\ 17 CFR 242.608.
    \3\ See Letter from Robert Books, Chairman, Operating Committee, 
UTP Plan, to Vanessa Countryman, Secretary, Commission, dated 
October 23, 2019.
    \4\ The Participants are: Cboe BYX Exchange, Inc., Cboe BZX 
Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., 
Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., 
The Investors' Exchange LLC, Long-Term Stock Exchange, Inc., Nasdaq 
BX, Inc., Nasdaq ISE, LLC, Nasdaq PHLX, Inc., The Nasdaq Stock 
Market LLC, New York Stock Exchange LLC, NYSE American LLC, NYSE 
Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc. 
(collectively, the ``Participants'').
---------------------------------------------------------------------------

    The proposed Amendment has been filed by the Participants pursuant 
to Rule 608(b)(3)(ii) under Regulation NMS \5\ as concerned solely with 
the administration of the Plan and as a ``Ministerial Amendment'' under 
Section XVI of the Plan. As a result, the Amendment becomes effective 
upon filing and was submitted by the Chair of the Plan's Operating 
Committee. The Commission is publishing this notice to solicit comments 
on the Amendment from interested persons. Set forth in Sections I and 
II is the statement of the purpose and summary of the Amendment, along 
with the information required by Rules 608(a) and 601(a) under the Act, 
prepared and submitted by the Participants to the Commission.
---------------------------------------------------------------------------

    \5\ 17 CFR 242.608(b)(2).
---------------------------------------------------------------------------

I. Rule 608(a)

A. Purpose of the Amendment

    The above-captioned Amendment adds LTSE as a Participant to the UTP 
Plan and effectuates changes that certain Participants have made to 
their names and addresses, as set forth in Section I(A) of the UTP Plan 
and to update the listing of Participant identifying codes set forth in 
Section VIII(C) of the UTP Plan.

B. Governing or Constituent Documents

    Not applicable.

C. Implementation of Amendment

    Because the Amendment constitutes a ``Ministerial Amendment'' under 
Section XVI of the UTP Plan, the Chair of the UTP Plan's Operating 
Committee may submit the Amendment to the Commission on behalf of the 
Participants in the UTP Plan. Because the Participants designate the 
Amendment as concerned solely with the administration of the UTP Plan, 
the Amendment becomes effective upon filing with the Commission.

[[Page 65447]]

D. Development and Implementation Phases

    Not applicable.

E. Analysis of Impact on Competition

    The Amendment does not impose any burden on competition because 
they simply add LTSE as a Participant to the UTP Plan and effectuates a 
change in the names and addresses of certain Participants. LTSE has 
completed the required steps to be added to the Plans, and the 
Amendment represents the final step to officially add LTSE as a 
Participant. For the same reasons, the Participants do not believe that 
the Amendment introduces terms that are unreasonably discriminatory for 
purposes of Section 1lA(c)(l)(D) of the Act.

F. Written Understanding or Agreement Relating to Interpretation of, or 
Participating in Plan

    Not applicable.

G. Approval by Sponsors in Accordance With Plan

    See Item I.C. above.

H. Description of Operation of Facility Contemplated by the Proposed 
Amendment

    Not applicable.

I. Terms and Conditions of Access

    Not applicable.

J. Method of Determination and Imposition and Amount of, Fees and 
Charges

    Not applicable.

K. Method and Frequency of Processor Evaluation

    Not applicable.

L. Dispute Resolution

    Not applicable.

II. Regulation NMS Rule 601(a)

A. Equity Securities for Which Transaction Reports Shall Be Required by 
the Plan

    Not applicable.

B. Reporting Requirements

    Not applicable.

C. Manner of Collecting, Processing, Sequencing, Making Available and 
Disseminating Last Sale Information

    Not applicable.

D. Manner of Consolidation

    Not applicable.

E. Standards and Methods Ensuring Promptness, Accuracy and Completeness 
of Transaction Reports

    Not applicable.

F. Rules and Procedures Addressed to Fraudulent or Manipulative 
Dissemination

    Not applicable.

G. Terms of Access to Transaction Reports

    Not applicable.

H. Identification of Marketplace of Execution

    Not applicable.

III. Solicitation of Comments

    The Commission seeks comments on the Amendment. Interested persons 
are invited to submit written data, views, and arguments concerning the 
foregoing, including whether the proposed 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 [email protected]. Please include 
File Number S7-24-89 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 S7-24-89. 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 website (https://www.sec.gov/rules/sro.shtml). Copies of 
the submission, all written statements with respect to the proposed 
Amendment that are filed with the Commission, and all written 
communications relating to the proposed Amendment 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 website viewing and printing at 
the principal office of the Plan. 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 S7-24-
89 and should be submitted on or before December 12, 2019.

    By the Commission.
Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2019-25803 Filed 11-26-19; 8:45 am]
 BILLING CODE 8011-01-P
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