Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 9, Section 51, Research Analysts, 48459-48460 [2021-18552]
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Federal Register / Vol. 86, No. 165 / Monday, August 30, 2021 / Notices
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 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–CBOE–2021–048 and
should be submitted on or before
September 20, 2021.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.13
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2021–18554 Filed 8–27–21; 8:45 am]
BILLING CODE 8011–01–P
comments on the proposed rule change
from interested persons.
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
The Exchange proposes to amend
General 9, Section 51, Research
Analysts.
The text of the proposed rule change
is available on the Exchange’s website at
https://listingcenter.nasdaq.com/
rulebook/bx/rules, at the principal office
of the Exchange, and at the
Commission’s Public Reference Room.
II. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
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.
A. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
1. Purpose
SECURITIES AND EXCHANGE
COMMISSION
The Exchange proposes to amend
General 9, Section 51, Research
Analysts. Specifically, the Exchange
proposes to (1) remove references to
[Release No. 34–92737; File No. SR–BX–
2021–035]
Self-Regulatory Organizations; Nasdaq
BX, Inc.; Notice of Filing and
Immediate Effectiveness of Proposed
Rule Change To Amend General 9,
Section 51, Research Analysts
khammond on DSKJM1Z7X2PROD with NOTICES
August 24, 2021.
Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934
(‘‘Act’’),1 and Rule 19b–4 thereunder,2
notice is hereby given that on August
12, 2021, Nasdaq BX, Inc. (‘‘BX’’ 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
13 17
CFR 200.30–3(a)(12).
U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.
1 15
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18:40 Aug 27, 2021
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Frm 00075
Fmt 4703
Sfmt 4703
48459
FINRA Rules 1120 3 and 1250; 4 and (2)
add references to FINRA Rules 1240 and
1220(a)(6), (a)(14) and (b)(6).
By way of background, FINRA
previously deleted in their entirety the
NASD Rule 1000 Series relating to
registration of Principals and
Representatives and adopted rules
relating to qualification and registration
requirements in the Consolidated
FINRA Rulebook.5 In that rule change,
FINRA Rule 1250 was renumbered to
FINRA Rule 1240.6 FINRA Rule 1240
describes continuing education
requirements applicable to registered
persons and consists of a Regulatory
Element and a Firm Element.
BX subsequently filed a rule change 7
to amend, reorganize and enhance
certain of its corresponding
membership, registration and
qualification requirements rules in part
in response to the FINRA Rule
Changes,8 and also in order to facilitate
3 BX Rule 1050 (subsequently renumbered as
General 9, Section 51) originally referred to NASD
Rule 1120, Continuing Education Requirements.
See Securities Exchange Act Release Nos. 84353
(October 3, 2018), 83 FR 50999 (October 10, 2018)
(SR–BX–2018–047) (Notice of Filing and Immediate
Effectiveness of Proposed Rule Change To Amend,
Reorganize and Enhance Membership, Registration
and Qualification Rules, and To Make Conforming
Changes to Certain Other Rules); and 87468
(November 5, 2019), 84 FR 61091 (November 12,
2019) (SR–BX–2019–039) (Notice of Filing and
Immediate Effectiveness of Proposed Rule Change
To Relocate Rules From Its Current Rulebook Into
Its New Rulebook Shell) (renumbering BX Rule
1050 as General 9, Section 51). The SEC approved
the adoption of NASD Rule 1120 (Continuing
Education Requirements) as new FINRA Rule 1250
(Continuing Education Requirements) subject to
certain amendments, effective on October 17, 2011.
See Securities Exchange Act Release No. 64687
(June 16, 2011); 76 FR 36586 (June 22, 2011) (SR–
FINRA–2011–013) (Notice of Filing of Amendment
No. 1 and Order Granting Accelerated Approval of
a Proposed Rule Change, as Modified by
Amendment No. 1, Establishing a Registration
Category, Qualification Examination and
Continuing Education Requirements for Certain
Operations Personnel, and Adopt FINRA Rule 1250
(Continuing Education Requirements) in the
Consolidated FINRA Rulebook). See also note 5
below.
4 FINRA Rule 1250 was renumbered as FINRA
Rule 1240. See note 5 below.
5 See Securities Exchange Act Release No. 81098
(July 7, 2017), 82 FR 32419 (July 13, 2017) (SR–
FINRA–2017–007) (Order Approving Proposed Rule
Change To Adopt Consolidated Registration Rules,
Restructure the Representative-Level Qualification
Examination Program, Allow Permissive
Registration, Establish Exam Waiver Process for
Persons Working for Financial Services Affiliate of
Member, and Amend the Continuing Education
Requirements).
6 Id.
7 See Securities Exchange Act Release No. 84353
(October 3, 2018), 84 FR 50999 (October 10, 2018)
(SR–BX–2018–047) (Notice of Filing and Immediate
Effectiveness of Proposed Rule Change To Amend,
Reorganize and Enhance Membership, Registration
and Qualification Rules, and To Make Conforming
Changes to Certain Other Rules).
8 See note 5 above.
E:\FR\FM\30AUN1.SGM
30AUN1
48460
Federal Register / Vol. 86, No. 165 / Monday, August 30, 2021 / Notices
the adoption of similar membership,
registration and qualification rules by
BX’s affiliated exchanges. In that rule
change, BX amended its Rule 1050 (now
General 9, Section 51) to remove
references to NASD Rules 2711, 1050,
1022 and 1120 and it replaced those
references with FINRA Rules 1120,
1250, and 2241.9 The reference to
FINRA Rule 1120 was in error because,
at that time, FINRA Rule 1120 did not
exist. NASD Rule 1120 was adopted as
FINRA Rule 1250.10 Also, the references
to FINRA Rule 1250 were in error
because FINRA Rule 1250 was
renumbered as FINRA Rule 1240.11 Of
note, NASD Rules 1050 (Registration of
Research Analysts) and 1022 (Categories
of Principal Registrations) were
superseded by the FINRA Rule 1200
Series but this was not reflected within
SR–FINRA–2018–078 [sic].12
At this time, Nasdaq [sic] proposes to
remove the incorrect references to
FINRA Rules 1120 and 1250 as such
rules do not exist. The Exchange
proposes to update the reference to
FINRA Rule 1250 with a reference to
current FINRA Rule 1240. The Exchange
also proposes to add references to
FINRA Rules 1220(a)(6), (a)(14), and
(b)(6), because they correspond to
previous NASD Rules 1050 and 1022.
These changes would reflect the current
FINRA rules relating to research
analysts.
2. Statutory Basis
The Exchange believes that its
proposal is consistent with Section 6(b)
of the Act,13 in general, and furthers the
objectives of Section 6(b)(5) of the Act,14
in particular, in that it is designed to
promote just and equitable principles of
trade and to protect investors and the
public interest. The Exchange’s proposal
to remove inaccurate FINRA rule
references from General 9, Section 51
and replace them with references to
current FINRA rules that apply to
research analysts and [sic] is consistent
with the Act. The Exchange’s proposal
will align Nasdaq’s [sic] rule to FINRA
rules.
khammond on DSKJM1Z7X2PROD with NOTICES
B. Self-Regulatory Organization’s
Statement on Burden on Competition
The Exchange does not believe that
the proposed rule change will impose
any burden on competition not
necessary or appropriate in furtherance
of the purposes of the Act. The
9 See
note 7 above.
note 3 above.
11 See notes 4 and 5 above.
12 See note 5 above.
13 15 U.S.C. 78f(b).
14 15 U.S.C. 78f(b)(5).
10 See
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18:40 Aug 27, 2021
Jkt 253001
proposed amendments do not impose an
undue burden on competition as the
proposal will amend the Exchange’s
General 9, Section 51 to remove
inaccurate FINRA rule references and
replace them with references to current
FINRA Rules that apply to research
analysts.
C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received From
Members, Participants, or Others
No written comments were either
solicited or received.
III. Date of Effectiveness of the
Proposed Rule Change and Timing for
Commission Action
Because the foregoing proposed rule
change does not: (i) Significantly affect
the protection of investors or the public
interest; (ii) impose any significant
burden on competition; and (iii) become
operative for 30 days from the date on
which it was filed, or such shorter time
as the Commission may designate, it has
become effective pursuant to Section
19(b)(3)(A) of the Act 15 and Rule 19b–
4(f)(6) thereunder.16
At any time within 60 days of the
filing of the 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
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–
BX–2021–035 on the subject line.
15 15
U.S.C. 78s(b)(3)(A).
CFR 240.19b–4(f)(6). In addition, Rule 19b–
4(f)(6)(iii) requires a self-regulatory organization to
give the Commission written notice of its intent to
file the proposed rule change, along with a brief
description and text of the proposed rule change,
at least five business days prior to the date of filing
of the proposed rule change, or such shorter time
as designated by the Commission. The Exchange
has satisfied this requirement.
16 17
PO 00000
Frm 00076
Fmt 4703
Sfmt 4703
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–BX–2021–035. 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, 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–BX–2021–035 and should
be submitted on or before September 20,
2021.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.17
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2021–18552 Filed 8–27–21; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
Sunshine Act Meetings
2 p.m. on Thursday,
September 2, 2021.
PLACE: The meeting will be held via
remote means and/or at the
Commission’s headquarters, 100 F
Street NE, Washington, DC 20549.
TIME AND DATE:
17 17
E:\FR\FM\30AUN1.SGM
CFR 200.30–3(a)(12).
30AUN1
]]>Agencies
[Federal Register Volume 86, Number 165 (Monday, August 30, 2021)]
[Notices]
[Pages 48459-48460]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-18552]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-92737; File No. SR-BX-2021-035]
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change To Amend General 9,
Section 51, Research Analysts
August 24, 2021.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on August 12, 2021, Nasdaq BX, Inc. (``BX'' 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.
---------------------------------------------------------------------------
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------
I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change
The Exchange proposes to amend General 9, Section 51, Research
Analysts.
The text of the proposed rule change is available on the Exchange's
website at https://listingcenter.nasdaq.com/rulebook/bx/rules, at the
principal office of the Exchange, and at the Commission's Public
Reference Room.
II. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change
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.
A. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change
1. Purpose
The Exchange proposes to amend General 9, Section 51, Research
Analysts. Specifically, the Exchange proposes to (1) remove references
to FINRA Rules 1120 \3\ and 1250; \4\ and (2) add references to FINRA
Rules 1240 and 1220(a)(6), (a)(14) and (b)(6).
---------------------------------------------------------------------------
\3\ BX Rule 1050 (subsequently renumbered as General 9, Section
51) originally referred to NASD Rule 1120, Continuing Education
Requirements. See Securities Exchange Act Release Nos. 84353
(October 3, 2018), 83 FR 50999 (October 10, 2018) (SR-BX-2018-047)
(Notice of Filing and Immediate Effectiveness of Proposed Rule
Change To Amend, Reorganize and Enhance Membership, Registration and
Qualification Rules, and To Make Conforming Changes to Certain Other
Rules); and 87468 (November 5, 2019), 84 FR 61091 (November 12,
2019) (SR-BX-2019-039) (Notice of Filing and Immediate Effectiveness
of Proposed Rule Change To Relocate Rules From Its Current Rulebook
Into Its New Rulebook Shell) (renumbering BX Rule 1050 as General 9,
Section 51). The SEC approved the adoption of NASD Rule 1120
(Continuing Education Requirements) as new FINRA Rule 1250
(Continuing Education Requirements) subject to certain amendments,
effective on October 17, 2011. See Securities Exchange Act Release
No. 64687 (June 16, 2011); 76 FR 36586 (June 22, 2011) (SR-FINRA-
2011-013) (Notice of Filing of Amendment No. 1 and Order Granting
Accelerated Approval of a Proposed Rule Change, as Modified by
Amendment No. 1, Establishing a Registration Category, Qualification
Examination and Continuing Education Requirements for Certain
Operations Personnel, and Adopt FINRA Rule 1250 (Continuing
Education Requirements) in the Consolidated FINRA Rulebook). See
also note 5 below.
\4\ FINRA Rule 1250 was renumbered as FINRA Rule 1240. See note
5 below.
---------------------------------------------------------------------------
By way of background, FINRA previously deleted in their entirety
the NASD Rule 1000 Series relating to registration of Principals and
Representatives and adopted rules relating to qualification and
registration requirements in the Consolidated FINRA Rulebook.\5\ In
that rule change, FINRA Rule 1250 was renumbered to FINRA Rule 1240.\6\
FINRA Rule 1240 describes continuing education requirements applicable
to registered persons and consists of a Regulatory Element and a Firm
Element.
---------------------------------------------------------------------------
\5\ See Securities Exchange Act Release No. 81098 (July 7,
2017), 82 FR 32419 (July 13, 2017) (SR-FINRA-2017-007) (Order
Approving Proposed Rule Change To Adopt Consolidated Registration
Rules, Restructure the Representative-Level Qualification
Examination Program, Allow Permissive Registration, Establish Exam
Waiver Process for Persons Working for Financial Services Affiliate
of Member, and Amend the Continuing Education Requirements).
\6\ Id.
---------------------------------------------------------------------------
BX subsequently filed a rule change \7\ to amend, reorganize and
enhance certain of its corresponding membership, registration and
qualification requirements rules in part in response to the FINRA Rule
Changes,\8\ and also in order to facilitate
[[Page 48460]]
the adoption of similar membership, registration and qualification
rules by BX's affiliated exchanges. In that rule change, BX amended its
Rule 1050 (now General 9, Section 51) to remove references to NASD
Rules 2711, 1050, 1022 and 1120 and it replaced those references with
FINRA Rules 1120, 1250, and 2241.\9\ The reference to FINRA Rule 1120
was in error because, at that time, FINRA Rule 1120 did not exist. NASD
Rule 1120 was adopted as FINRA Rule 1250.\10\ Also, the references to
FINRA Rule 1250 were in error because FINRA Rule 1250 was renumbered as
FINRA Rule 1240.\11\ Of note, NASD Rules 1050 (Registration of Research
Analysts) and 1022 (Categories of Principal Registrations) were
superseded by the FINRA Rule 1200 Series but this was not reflected
within SR-FINRA-2018-078 [sic].\12\
---------------------------------------------------------------------------
\7\ See Securities Exchange Act Release No. 84353 (October 3,
2018), 84 FR 50999 (October 10, 2018) (SR-BX-2018-047) (Notice of
Filing and Immediate Effectiveness of Proposed Rule Change To Amend,
Reorganize and Enhance Membership, Registration and Qualification
Rules, and To Make Conforming Changes to Certain Other Rules).
\8\ See note 5 above.
\9\ See note 7 above.
\10\ See note 3 above.
\11\ See notes 4 and 5 above.
\12\ See note 5 above.
---------------------------------------------------------------------------
At this time, Nasdaq [sic] proposes to remove the incorrect
references to FINRA Rules 1120 and 1250 as such rules do not exist. The
Exchange proposes to update the reference to FINRA Rule 1250 with a
reference to current FINRA Rule 1240. The Exchange also proposes to add
references to FINRA Rules 1220(a)(6), (a)(14), and (b)(6), because they
correspond to previous NASD Rules 1050 and 1022. These changes would
reflect the current FINRA rules relating to research analysts.
2. Statutory Basis
The Exchange believes that its proposal is consistent with Section
6(b) of the Act,\13\ in general, and furthers the objectives of Section
6(b)(5) of the Act,\14\ in particular, in that it is designed to
promote just and equitable principles of trade and to protect investors
and the public interest. The Exchange's proposal to remove inaccurate
FINRA rule references from General 9, Section 51 and replace them with
references to current FINRA rules that apply to research analysts and
[sic] is consistent with the Act. The Exchange's proposal will align
Nasdaq's [sic] rule to FINRA rules.
---------------------------------------------------------------------------
\13\ 15 U.S.C. 78f(b).
\14\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------
B. Self-Regulatory Organization's Statement on Burden on Competition
The Exchange does not believe that the proposed rule change will
impose any burden on competition not necessary or appropriate in
furtherance of the purposes of the Act. The proposed amendments do not
impose an undue burden on competition as the proposal will amend the
Exchange's General 9, Section 51 to remove inaccurate FINRA rule
references and replace them with references to current FINRA Rules that
apply to research analysts.
C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others
No written comments were either solicited or received.
III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action
Because the foregoing proposed rule change does not: (i)
Significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \15\ and Rule 19b-
4(f)(6) thereunder.\16\
---------------------------------------------------------------------------
\15\ 15 U.S.C. 78s(b)(3)(A).
\16\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change, along
with a brief description and text of the proposed rule change, at
least five business days prior to the date of filing of the proposed
rule change, or such shorter time as designated by the Commission.
The Exchange has satisfied this requirement.
---------------------------------------------------------------------------
At any time within 60 days of the filing of the 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 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 [email protected]. Please include
File Number SR-BX-2021-035 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-BX-2021-035. 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, 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-BX-2021-035 and should be submitted on
or before September 20, 2021.
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\17\
---------------------------------------------------------------------------
\17\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2021-18552 Filed 8-27-21; 8:45 am]
BILLING CODE 8011-01-P
