Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Adopt Flexible Exchange Options (“FLEX Options”) With a Contract Multiplier of One (“FLEX Micro Options”), 17123 [2020-06391]
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Federal Register / Vol. 85, No. 59 / Thursday, March 26, 2020 / Notices
is unable to comply with such
Exempted Provisions; and
(3) If a transfer agent knows or
believes that it has been unable to
maintain the books and records it is
required to maintain pursuant to
Section 17A and the rules thereunder, a
complete and accurate description of
the type of books and records that were
not maintained, the names of the issuers
for whom such books and records were
not maintained, the extent of the failure
to maintain such books and records, and
the steps taken to ameliorate any such
failure to maintain such books and
records.
(b) The Exempted Provisions do not
include, and this order does not provide
relief from, Rule 17Ad–12 under the
Exchange Act. Transfer agents affected
by COVID–19 that have custody or
possession of any security holder or
issuer funds or securities shall continue
to comply with the requirements of Rule
17Ad–12 under the Exchange Act. If a
transfer agent’s operations, facilities, or
systems are significantly affected as a
result of COVID–19 such that the
transfer agent believes its compliance
with Rule 17Ad–12 could be negatively
affected, to the extent possible, all
security holder or issuer funds that
remain in the custody of the transfer
agent should be maintained in a
separate bank account held for the
exclusive benefit of security holders
until such funds are properly processed,
transferred, or remitted.
The notification required under (a)
above shall be emailed to:
tradingandmarkets@sec.gov.
The Commission encourages
registered transfer agents and the issuers
for whom they act to inform affected
security holders whom they should
contact concerning their accounts, their
access to funds or securities, and other
shareholder concerns. If feasible, issuers
and their transfer agents should place a
notice on their websites or provide toll
free numbers to respond to inquiries.
By the Commission.
J. Matthew DeLesDernier,
Assistant Secretary.
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–88459; File No. SR–CBOE–
2020–010]
Self-Regulatory Organizations; Cboe
Exchange, Inc.; Notice of Withdrawal
of Proposed Rule Change To Adopt
Flexible Exchange Options (‘‘FLEX
Options’’) With a Contract Multiplier of
One (‘‘FLEX Micro Options’’)
March 23, 2020.
On February 4, 2020, Cboe Exchange,
Inc. (‘‘Exchange’’) filed with the
Securities and Exchange Commission
(‘‘Commission’’), pursuant to Section
19(b)(1) of the Securities Exchange Act
of 1934 (‘‘Exchange Act’’) 1 and Rule
19b–4 thereunder,2 a proposed rule
change to adopt flexible exchange
options (‘‘FLEX options’’) with a
contract multiplier of one (‘‘FLEX Micro
Options’’).
The proposed rule change was
published for comment in the Federal
Register on February 24, 2020.3 The
Commission has received no comments
on the proposed rule change. On March
11, 2020, the Exchange withdrew the
proposed rule change (SR–CBOE–2020–
010).
In its filing with the Commission, the
Exchange included statements
concerning the purpose of and basis for
the proposed rule change and discussed
any comments it received on the
proposed rule change. The text of these
statements may be examined at the
places specified in Item IV below. The
Exchange has prepared summaries, set
forth in sections A, B, and C below, of
the most significant aspects of such
statements.
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–88443; File No. SR–ISE–
2020–12]
Self-Regulatory Organizations; Nasdaq
ISE, LLC; Notice of Filing and
Immediate Effectiveness of Proposed
Rule Change To Amend the Exchanges
Pricing Schedule at Options 7, Section
4, Titled Complex Order Fees and
Rebates
March 20, 2020.
U.S.C. 78s(b)(1).
CFR 240.19b–4.
3 See Securities Exchange Act Release No. 88232
(Feb. 18, 2020), 85 FR 10491.
4 17 CFR 200.30–3(a)(12).
1 15 U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.
lotter on DSKBCFDHB2PROD with NOTICES
PO 00000
Frm 00083
Fmt 4703
A. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
1. Purpose
1 15
Jkt 250001
The Exchange proposes to amend the
Exchange’s Pricing Schedule at Options
7, Section 4, titled ‘‘Complex Order Fees
and Rebates.’’
The Exchange originally filed the
proposed pricing changes on March 2,
2020 (SR–ISE–2020–09). On March 10,
2020, the Exchange withdrew that filing
and submitted this filing.
The text of the proposed rule change
is available on the Exchange’s website at
https://ise.cchwallstreet.com/, at the
principal office of the Exchange, and at
the Commission’s Public Reference
Room.
[FR Doc. 2020–06391 Filed 3–25–20; 8:45 am]
2 17
17:20 Mar 25, 2020
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
II. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
[FR Doc. 2020–06292 Filed 3–25–20; 8:45 am]
VerDate Sep<11>2014
notice is hereby given that on March 10,
2020, Nasdaq ISE, LLC (‘‘ISE’’ or
‘‘Exchange’’) filed with the Securities
and Exchange Commission (‘‘SEC’’ or
‘‘Commission’’) the proposed rule
change as described in Items I and II
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.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.4
J. Matthew DeLesDernier,
Assistant Secretary.
Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934
(‘‘Act’’),1 and Rule 19b–4 thereunder,2
BILLING CODE 8011–01–P
17123
Sfmt 4703
The Exchange proposes to amend the
Exchange’s Pricing Schedule at Options
7, Section 4, titled ‘‘Complex Order Fees
and Rebates’’ to decrease certain rebate
tiers to attract Priority Customer
Complex Order flow to ISE.
Today, ISE offers a nine tier Priority
Customer Complex Order rebate
structure as follows:
E:\FR\FM\26MRN1.SGM
26MRN1
]]>Agencies
[Federal Register Volume 85, Number 59 (Thursday, March 26, 2020)]
[Notices]
[Page 17123]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-06391]
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SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-88459; File No. SR-CBOE-2020-010]
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of
Withdrawal of Proposed Rule Change To Adopt Flexible Exchange Options
(``FLEX Options'') With a Contract Multiplier of One (``FLEX Micro
Options'')
March 23, 2020.
On February 4, 2020, Cboe Exchange, Inc. (``Exchange'') filed with
the Securities and Exchange Commission (``Commission''), pursuant to
Section 19(b)(1) of the Securities Exchange Act of 1934 (``Exchange
Act'') \1\ and Rule 19b-4 thereunder,\2\ a proposed rule change to
adopt flexible exchange options (``FLEX options'') with a contract
multiplier of one (``FLEX Micro Options'').
---------------------------------------------------------------------------
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------
The proposed rule change was published for comment in the Federal
Register on February 24, 2020.\3\ The Commission has received no
comments on the proposed rule change. On March 11, 2020, the Exchange
withdrew the proposed rule change (SR-CBOE-2020-010).
---------------------------------------------------------------------------
\3\ See Securities Exchange Act Release No. 88232 (Feb. 18,
2020), 85 FR 10491.
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\4\
---------------------------------------------------------------------------
\4\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-06391 Filed 3-25-20; 8:45 am]
BILLING CODE 8011-01-P
