Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Thirty-Fourth Substantive Amendment to the Second Restatement of the CTA Plan and Twenty-Fifth Substantive Amendment to the Restated CQ Plan, 46766-46767 [2020-16804]
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46766
Federal Register / Vol. 85, No. 149 / Monday, August 3, 2020 / Notices
IV. Conclusion
On the basis of the foregoing, the
Commission finds that the proposed
rule change is consistent with the
requirements of the Act, and in
particular, with the requirements of
Section 17A(b)(3)(F) of the Act 18 and
Rules 17Ad–22(e)(4) and 17Ad–
22(e)(13) thereunder.19
It is therefore ordered pursuant to
Section 19(b)(2) of the Act 20 that the
proposed rule change (SR–ICEEU–2020–
005) be, and hereby is, approved.21
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.22
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020–16705 Filed 7–31–20; 8:45 am]
2. The Commission will consider
whether to provide additional
transparency regarding the appointment
of candidates to the Investor Advisory
Committee (IAC) by publishing
procedures governing the nomination of
candidates for appointment to the IAC.
CONTACT PERSON FOR MORE INFORMATION:
For further information and to ascertain
what, if any, matters have been added,
deleted or postponed, please contact
Vanessa A. Countryman, Office of the
Secretary, at (202) 551–5400.
Dated: July 29, 2020.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2020–16903 Filed 7–30–20; 11:15 am]
BILLING CODE 8011–01–P
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
SECURITIES AND EXCHANGE
COMMISSION
I. Rule 608(a)
[Release No. 34–89416; File No. SR–CTA/
CQ–2020–01]
Sunshine Act Meetings
Notice is hereby given,
pursuant to the provisions of the
Government in the Sunshine Act, Public
Law 94–409, the Securities and
Exchange Commission will hold an
Open Meeting on Wednesday, August 5,
2020 at 10:00 a.m.
PLACE: The meeting will be held via
remote means and/or at the
Commission’s headquarters, 100 F
Street NE, Washington, DC 20549.
STATUS: This meeting will begin at 10:00
a.m. (ET) and will be open to the public
via audio webcast only on the
Commission’s website at www.sec.gov.
MATTERS TO BE CONSIDERED: 1. The
Commission will consider whether to
propose rule and form amendments that
would modernize the disclosure
framework for open-end investment
companies. The disclosure framework
would feature concise and visually
engaging shareholder reports that would
highlight information that is particularly
important for retail investors to assess
and monitor their fund investments.
The Commission also will consider
whether to propose amendments to the
advertising rules for registered
investment companies and business
development companies.
khammond on DSKJM1Z7X2PROD with NOTICES
TIME AND DATE:
18 15
U.S.C. 78q–1(b)(3)(F).
CFR 240.17Ad–22(e)(4) and 17 CFR
240.17Ad–22(e)(13).
20 15 U.S.C. 78s(b)(2).
21 In approving the proposed rule change, the
Commission considered the proposal’s impact on
efficiency, competition, and capital formation. 15
U.S.C. 78c(f).
22 17 CFR 200.30–3(a)(12).
19 17
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20:39 Jul 31, 2020
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propose to add MEMX LLC (‘‘MEMX’’)
as a Participant to the Plans.
The proposed Amendments have been
filed by the Participants pursuant to
Rule 608(b)(3)(ii) under Regulation
NMS 5 as concerned solely with the
administration of the Plans and as
‘‘Ministerial Amendments’’ under both
Section IV(b) of the CTA Plan and
Section IV(c) of the CQ Plan. As a result,
the Amendments become effective upon
filing and can be submitted by the Chair
of the Plan’s Operating Committee. The
Commission is publishing this notice to
solicit comments on the Amendments
from interested persons. Set forth in
Sections I and II is the statement of the
purpose and summary of the
Amendments, along with the
information required by Rules 608(a)
and 601(a) under the Act, prepared and
submitted by the Participants to the
Commission.
Consolidated Tape Association; Notice
of Filing and Immediate Effectiveness
of the Thirty-Fourth Substantive
Amendment to the Second
Restatement of the CTA Plan and
Twenty-Fifth Substantive Amendment
to the Restated CQ Plan
July 29, 2020.
Pursuant to Section 11A of the
Securities Exchange Act of 1934
(‘‘Act’’) 1 and Rule 608 thereunder,2
notice is hereby given that on June 29,
2020,3 the Participants 4 in the Second
Restatement of the Consolidated Tape
Association (‘‘CTA’’) Plan and the
Restated Consolidated Quotation (‘‘CQ’’)
Plan (‘‘CTA/CQ Plans’’ or ‘‘Plans’’) filed
with the Securities and Exchange
Commission (‘‘Commission’’) a proposal
to amend the Plans. The amendments
represent the Thirty-Fourth Substantive
Amendment to the CTA Plan and
Twenty-Fifth Substantive Amendment
to the CQ Plan (‘‘Amendments’’). Under
the Amendments, the Participants
U.S.C 78k–1(a)(3).
CFR 242.608.
3 See Letter from Robert Books, Chairman,
Operating Committee, CTA/CQ Plans, to Vanessa A.
Countryman, Secretary, Commission, dated June 26,
2020.
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., MEMX LLC, 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’’).
PO 00000
1 15
2 17
Frm 00181
Fmt 4703
Sfmt 4703
A. Purpose of the Amendment
The above-captioned Amendments
add MEMX as a Participant to the Plans.
B. Governing or Constituent Documents
Not applicable.
C. Implementation of Amendment
Because the Amendments constitute
‘‘Ministerial Amendments’’ under both
Section IV(b) of the CTA Plan and
Section IV(c) under the CQ Plan, the
Chairman of the Plan’s Operating
Committee may submit the
Amendments to the Commission on
behalf of the Participants in the Plans.
Because the Participants designate the
Amendments as concerned solely with
the administration of the Plans, the
Amendments become effective upon
filing with the Commission.
D. Development and Implementation
Phases
Not applicable.
E. Analysis of Impact on Competition
The Amendments do not impose any
burden on competition because they
simply add MEMX as a Participant to
the Plans. MEMX has completed the
required steps to be added to the Plans.
F. Written Understanding or Agreement
Relating to Interpretation of, or
Participation in Plan
Not applicable.
G. Approval by Sponsors in Accordance
With Plan
See Item I.C. above.
5 17
E:\FR\FM\03AUN1.SGM
CFR 242.608(b)(2).
03AUN1
Federal Register / Vol. 85, No. 149 / Monday, August 3, 2020 / Notices
H. Description of Operation of Facility
Contemplated by the Proposed
Amendment
Not applicable.
• Send an email to rule-comments@
sec.gov. Please include File Number SR–
CTA/CQ–2020–01 on the subject line.
I. Terms and Conditions of Access
Not applicable.
• 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–CTA/CQ–2020–01. 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 Amendments that are filed
with the Commission, and all written
communications relating to the
proposed Amendments 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;
the Commission does not edit personal
identifying information from
submissions. You should submit only
information that you wish to make
available publicly. All submissions
should refer to File Number SR–CTA/
CQ–2020–01 and should be submitted
on or before August 24, 2020.
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.
By the Commission.
J. Matthew DeLesDernier,
Assistant Secretary.
khammond on DSKJM1Z7X2PROD with NOTICES
H. Identification of Marketplace of
Execution
Not applicable.
[FR Doc. 2020–16804 Filed 7–31–20; 8:45 am]
BILLING CODE 8011–01–P
III. Solicitation of Comments
The Commission seeks comments on
the Amendments. Interested persons are
invited to submit written data, views,
and arguments concerning the
foregoing, including whether the
proposed Amendments are 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
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20:39 Jul 31, 2020
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Paper Comments
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–89419; File No. 4–533]
Joint Industry Plan; Notice of Filing
and Immediate Effectiveness of
Amendment to the National Market
System Plan for the Selection and
Reservation of Securities Symbols to
Add MEMX LLC as a Party Thereto
July 29, 2020.
Pursuant to Section 11A(a)(3) of the
Securities Exchange Act of 1934
PO 00000
Frm 00182
Fmt 4703
Sfmt 4703
46767
(‘‘Act’’) 1 and Rule 608 thereunder,2
notice is hereby given that on July 6,
2020, MEMX LLC (‘‘MEMX’’ or the
‘‘Exchange’’) filed with the Securities
and Exchange Commission
(‘‘Commission’’) an amendment to the
National Market System Plan for the
Selection and Reservation of Securities
Symbols (‘‘Symbology Plan’’ or
‘‘Plan’’).3 The amendment proposes to
add MEMX as a party to the Symbology
Plan. The Commission is publishing this
notice to solicit comments on the
proposed amendment from interested
persons.
I. Description and Purpose of the
Amendment
The current parties to the Symbology
Plan are BOX Options Exchange, LLC
(‘‘BOX’’), Nasdaq BX, Inc. (‘‘BX’’), Cboe
BZX Exchange, Inc. (‘‘CboeBZX’’), Cboe
EDGA Exchange, Inc. (‘‘CboeEDGA’’),
Cboe EDGX Exchange, Inc.
(‘‘CboeEDGX’’), Cboe Exchange, Inc.
(‘‘Cboe’’), CHX, FINRA, Investors
Exchange, LLC (‘‘IEX’’), Miami
International Securities Exchange, LLC
(‘‘MIAX’’), Nasdaq ISE, LLC (‘‘ISE’’),
Nasdaq, New York Stock Exchange LLC
(‘‘NYSE’’), NYSE American LLC (‘‘NYSE
American’’), NYSE National, NYSE
Arca, Inc. (‘‘NYSE Arca’’), Phlx, and
Long-Term Stock Exchange (‘‘LTSE’’).4
1 15
U.S.C. 78k–1(a)(3).
CFR 242.608.
3 On November 6, 2008, the Commission
approved the Symbology Plan that was originally
proposed by the Chicago Stock Exchange, Inc.
(‘‘CHX’’), The Nasdaq Stock Market, Inc. (n/k/a The
Nasdaq Stock Market LLC) (‘‘Nasdaq’’), National
Association of Securities Dealers, Inc. (‘‘NASD’’) (n/
k/a Financial Industry Regulatory Authority, Inc.
(‘‘FINRA’’)), National Stock Exchange, Inc. (‘‘NSX’’)
(n/k/a NYSE National, Inc. (‘‘NYSE National’’)), and
Philadelphia Stock Exchange, Inc. (n/k/a Nasdaq
PHLX LLC (‘‘Phlx’’)), subject to certain changes. See
Securities Exchange Act Release No. 58904, 73 FR
67218 (November 13, 2008) (File No. 4–533).
4 On November 18, 2008, ISE filed with the
Commission an amendment to the Plan to add ISE
as a member to the Plan. See Securities and
Exchange Act Release No. 59024 (November 26,
2008), 73 FR 74538 (December 8, 2008) (File No. 4–
533). On December 22, 2008, NYSE, NYSE Arca,
and NYSE Alternext (n/k/a NYSE American)
(‘‘NYSE Group Exchanges’’), and Cboe filed with
the Commission amendments to the Plan to add the
NYSE Group Exchanges and Cboe as members to
the Plan. See Securities Exchange Act Release No.
59162 (December 24, 2008), 74 FR 132 (January 2,
2009) (File No. 4–533). On December 24, 2008, BSE
(n/k/a BX) filed with the Commission an
amendment to the Plan to add BSE as a member to
the Plan. See Securities Exchange Act Release No.
59187 (December 30, 2008), 74 FR 729 (January 7,
2009) (File No. 4–533). On September 30, 2009,
BATS (n/k/a CboeBZX) filed with the Commission
an amendment to the Plan to add BATS as a
member to the Plan. See Securities Exchange Act
Release No. 60856 (October 21, 2009), 74 FR 55276
(October 27, 2009) (File No. 4–533). On July 7,
2010, EDGA (n/k/a CboeEDGA) and EDGX (n/k/a
CboeEDGX) filed with the Commission an
amendment to the Plan to add EDGA and EDGX,
2 17
E:\FR\FM\03AUN1.SGM
Continued
03AUN1
]]>Agencies
[Federal Register Volume 85, Number 149 (Monday, August 3, 2020)]
[Notices]
[Pages 46766-46767]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2020-16804]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-89416; File No. SR-CTA/CQ-2020-01]
Consolidated Tape Association; Notice of Filing and Immediate
Effectiveness of the Thirty-Fourth Substantive Amendment to the Second
Restatement of the CTA Plan and Twenty-Fifth Substantive Amendment to
the Restated CQ Plan
July 29, 2020.
Pursuant to Section 11A of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 608 thereunder,\2\ notice is hereby given that
on June 29, 2020,\3\ the Participants \4\ in the Second Restatement of
the Consolidated Tape Association (``CTA'') Plan and the Restated
Consolidated Quotation (``CQ'') Plan (``CTA/CQ Plans'' or ``Plans'')
filed with the Securities and Exchange Commission (``Commission'') a
proposal to amend the Plans. The amendments represent the Thirty-Fourth
Substantive Amendment to the CTA Plan and Twenty-Fifth Substantive
Amendment to the CQ Plan (``Amendments''). Under the Amendments, the
Participants propose to add MEMX LLC (``MEMX'') as a Participant to the
Plans.
---------------------------------------------------------------------------
\1\ 15 U.S.C 78k-1(a)(3).
\2\ 17 CFR 242.608.
\3\ See Letter from Robert Books, Chairman, Operating Committee,
CTA/CQ Plans, to Vanessa A. Countryman, Secretary, Commission, dated
June 26, 2020.
\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., MEMX
LLC, 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 Amendments have been filed by the Participants
pursuant to Rule 608(b)(3)(ii) under Regulation NMS \5\ as concerned
solely with the administration of the Plans and as ``Ministerial
Amendments'' under both Section IV(b) of the CTA Plan and Section IV(c)
of the CQ Plan. As a result, the Amendments become effective upon
filing and can be submitted by the Chair of the Plan's Operating
Committee. The Commission is publishing this notice to solicit comments
on the Amendments from interested persons. Set forth in Sections I and
II is the statement of the purpose and summary of the Amendments, 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 Amendments add MEMX as a Participant to the
Plans.
B. Governing or Constituent Documents
Not applicable.
C. Implementation of Amendment
Because the Amendments constitute ``Ministerial Amendments'' under
both Section IV(b) of the CTA Plan and Section IV(c) under the CQ Plan,
the Chairman of the Plan's Operating Committee may submit the
Amendments to the Commission on behalf of the Participants in the
Plans. Because the Participants designate the Amendments as concerned
solely with the administration of the Plans, the Amendments become
effective upon filing with the Commission.
D. Development and Implementation Phases
Not applicable.
E. Analysis of Impact on Competition
The Amendments do not impose any burden on competition because they
simply add MEMX as a Participant to the Plans. MEMX has completed the
required steps to be added to the Plans.
F. Written Understanding or Agreement Relating to Interpretation of, or
Participation in Plan
Not applicable.
G. Approval by Sponsors in Accordance With Plan
See Item I.C. above.
[[Page 46767]]
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 Amendments. Interested persons
are invited to submit written data, views, and arguments concerning the
foregoing, including whether the proposed Amendments are 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 SR-CTA/CQ-2020-01 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-CTA/CQ-2020-01. 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
Amendments that are filed with the Commission, and all written
communications relating to the proposed Amendments 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; the Commission does not edit personal identifying
information from submissions. You should submit only information that
you wish to make available publicly. All submissions should refer to
File Number SR-CTA/CQ-2020-01 and should be submitted on or before
August 24, 2020.
By the Commission.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-16804 Filed 7-31-20; 8:45 am]
BILLING CODE 8011-01-P
