Resubmission of Comments and Reopening of Comment Periods for Several Rulemaking Releases Due to a Technological Error in Receiving Certain Comments, 63016-63017 [2022-22295]
Download as PDF
<![CDATA[
63016
Proposed Rules
Federal Register
Vol. 87, No. 200
Tuesday, October 18, 2022
This section of the FEDERAL REGISTER
contains notices to the public of the proposed
issuance of rules and regulations. The
purpose of these notices is to give interested
persons an opportunity to participate in the
rule making prior to the adoption of the final
rules.
SECURITIES AND EXCHANGE
COMMISSION
17 CFR Parts 200, 210, 229, 230, 232,
239, 240, 242, 249, 270, 274, 275, and
279
[Release Nos. 33–11117, 34–96005, IA–6162,
IC–34724; File Nos. S7–32–10, S7–18–21,
S7–21–21, S7–22–21, S7–03–22, S7–08–22,
S7–09–22, S7–10–22, S7–13–22, S7–16–22,
S7–17–22, S7–18–22]
RINs 3235–AK77, 3235–AM34, 3235–AM72,
3235–AM80, 3235–AM87, 3235–AM89, 3235–
AM90, 3235–AM94, 3235–AM95, 3235–AM96,
3235–AN01, 3235–AN07
Resubmission of Comments and
Reopening of Comment Periods for
Several Rulemaking Releases Due to a
Technological Error in Receiving
Certain Comments
Securities and Exchange
Commission.
ACTION: Proposed rules; resubmission of
comment letters; reopening of comment
periods.
AGENCY:
Due to a technological error,
a number of public comments submitted
through the Securities and Exchange
Commission’s (‘‘Commission’’ or
‘‘SEC’’) internet comment form were not
received by the Commission. The
majority of the affected comments were
submitted in August 2022; however, the
technological error is known to have
occurred as early as June 2021. All
commenters who submitted a public
comment to one of the affected
comment files through the internet
comment form between June 2021 and
August 2022 are advised to check the
relevant comment file posted on
SEC.gov to determine whether their
comment was received and posted. If a
comment has not been posted,
commenters should resubmit that
comment by following the instructions
provided below. To further ensure that
interested persons, including any
affected commenters, have the
opportunity to comment on the affected
releases or to resubmit comments, the
Commission is reopening the comment
khammond on DSKJM1Z7X2PROD with PROPOSALS
SUMMARY:
VerDate Sep<11>2014
16:26 Oct 17, 2022
Jkt 259001
periods for certain Commission
rulemaking releases listed herein
(collectively, ‘‘Rulemaking Releases’’).
DATES: The comment periods for the
Rulemaking Releases, published at 86
FR 69802 (Dec. 8, 2021) (reopened at 87
FR 11659 (March 2, 2022)), 87 FR 6652
(Feb. 4, 2022), 87 FR 7248 (Feb. 8,
2022), 87 FR 8443 (Feb. 15, 2022), 87 FR
14950 (Mar. 16, 2022), 87 FR 16590
(Mar. 23, 2022), 87 FR 16886 (Mar. 24,
2022) (reopened at 87 FR 29059 (May
12, 2022)), 87 FR 21334 (Apr. 11, 2022)
(reopened at 87 FR 29059 (May 12,
2022)), 87 FR 29458 (May 13, 2022), 87
FR 36594 (June 17, 2022), 87 FR 36654
(June 17, 2022), and 87 FR 37254 (June
22, 2022), are reopened until November
1, 2022.
ADDRESSES: Comments may be
submitted by any of the following
methods:
Electronic Comments
• Use the Commission’s internet
comment form (https://www.sec.gov/
rules/submitcomments.htm).
• Send an email to rule-comments@
sec.gov.
Paper Comments
• Send paper comments to Vanessa
A. Countryman, Secretary, Securities
and Exchange Commission, 100 F Street
NE, Washington, DC 20549–1090.
Please include the file number for the
specific action being commented upon.
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 of submission. The
Commission will post all comments on
the Commission’s website (https://
www.sec.gov/rules/proposed.shtml).
Comments are also 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 a.m. and 3 p.m. Operating
conditions may limit access to the
Commission’s Public Reference Room.
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.
PO 00000
Frm 00001
Fmt 4702
Sfmt 4702
J.
Matthew DeLesDernier, Deputy
Secretary, Office of the Secretary, at
(202) 551–5400, Securities and
Exchange Commission, 100 F Street NE,
Washington, DC 20549–1090, or by
email at Rule-Comments@sec.gov.
SUPPLEMENTARY INFORMATION: Due to a
technological error, a number of public
comments submitted through the
Commission’s internet form for the
submission of comment letters 1 were
not received by the Commission and
therefore were not posted in the relevant
comment file. The majority of the
affected comments were submitted in
August 2022; however, a relatively
small number of affected comments date
from earlier months, and the
technological error is known to have
occurred as early as June 2021. The vast
majority of the affected comments have
now been received by the Commission
and posted. To date, the staff’s review
of the available information indicates
that the error only affected the comment
files for the Rulemaking Releases and
self-regulatory organization (‘‘SRO’’)
matters identified in the tables below.2
Commenters who submitted a public
comment to any of these files through
the internet comment form between
June 2021 and August 2022 are advised
to check the relevant comment file
posted on SEC.gov to determine whether
their comment was received and posted.
If a comment has not been posted,
commenters should resubmit that
comment. Any resubmitted comment
will be treated as if it were received on
its original submission date. Comments
already received and posted on the
Commission website need not be
resubmitted. If commenters have
questions or concerns about whether
their comment was received by the
Commission, they should contact the
SEC staff at the address, telephone
number, or email address listed above.
To further ensure that interested
persons, including any affected
commenters, have the opportunity to
comment on the releases or to resubmit
comments, the Commission is reopening
the comment periods for the following
Rulemaking Releases, which SEC staff
FOR FURTHER INFORMATION CONTACT:
1 https://www.sec.gov/rules/
submitcomments.htm.
2 In the event the SEC staff determines that any
other comment files were affected, the Commission
will consider whether additional action is
warranted.
E:\FR\FM\18OCP1.SGM
18OCP1
Federal Register / Vol. 87, No. 200 / Tuesday, October 18, 2022 / Proposed Rules
have identified as having comment files
that were potentially affected by the
63017
technological error, until November 1,
2022:
Release title and identifying information
(including Federal Register publication date)
Date comment period
closed *
Reporting of Securities Loans (Release No. 34–93613; File No. S7–18–21), 86 FR 69802 (Dec. 8, 2021) ........................
Prohibition Against Fraud, Manipulation, or Deception in Connection with Security-Based Swaps; Prohibition against
Undue Influence over Chief Compliance Officers; Position Reporting of Large Security-Based Swap Positions (Release No. 34–93784; File No. S7–32–10), 87 FR 6652 (Feb. 4, 2022).
Money Market Fund Reforms (Release No. IC–34441; File No. S7–22–21), 87 FR 7248 (Feb. 8, 2022) ...........................
Share Repurchase Disclosure Modernization (Release Nos. 34–93783, IC–34440; File No. S7–21–21), 87 FR 8443
(Feb. 15, 2022).
Short Position and Short Activity Reporting by Institutional Investment Managers (Release No. 34–94313; File No. S7–
08–22), 87 FR 14950 (Mar. 16, 2022); see also Notice of the Text of the Proposed Amendments to the National Market System Plan Governing the Consolidated Audit Trail for Purposes of Short Sale-Related Data Collection (Release
No. 34–94314; File No. S7–08–22), 87 FR 15022 (Mar. 16, 2022).
Cybersecurity Risk Management, Strategy, Governance, and Incident Disclosure (Release Nos. 33–11038, 34–94382,
IC–34529; File No. S7–09–22), 87 FR 16590 (Mar. 23, 2022).
Private Fund Advisers; Documentation of Registered Investment Adviser Compliance Reviews (Release No. IA–5955;
File No. S7–03–22), 87 FR 16886 (Mar. 24, 2022).
The Enhancement and Standardization of Climate-Related Disclosures for Investors (Release Nos. 33–11042, 34–
94478; File No. S7–10–22), 87 FR 21334 (Apr. 11, 2022).
Special Purpose Acquisition Companies, Shell Companies, and Projections (Release Nos. 33–11048, 34–94546, IC–
34549; File No. S7–13–22), 87 FR 29458 (May 13, 2022).
Investment Company Names (Release Nos. 33–11067, 34–94981, IC–34593; File No. S7–16–22), 87 FR 36594 (June
17, 2022).
Enhanced Disclosures by Certain Investment Advisers and Investment Companies About Environmental, Social, and
Governance Investment Practices (Release Nos. 33–11068, 34–94985, IA–6034, IC–34594; File No. S7–17–22), 87
FR 36654 (June 17, 2022).
Request for Comment on Certain Information Providers Acting as Investment Advisers (Release Nos. IA–6050, IC–
34618; File No. S7–18–22), 87 FR 37254 (June 22, 2022).
April 1, 2022.
March 21, 2022.
April 11, 2022.
April 1, 2022.
April 26, 2022.
May 9, 2022.
June 13, 2022.
June 17, 2022.
June 13, 2022.
August 16, 2022.
August 16, 2022.
August 16, 2022.
* With respect to releases that were previously reopened for public comment, the date in this column reflects the close of the most recent comment period.
The technological error also may have
affected certain comments with respect
to the following SRO matters. The
these matters and consider whether
further action is warranted.
File No.
File description
SR–BOX–2022–08 ..........................
BOX Exchange LLC; Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 12140
(Imposition of Fines for Minor Rule Violations), to Expand the List of Violations Eligible for Disposition
under the Exchange’s Minor Rule Violation Plan and to Update the Fine Schedule Applicable to Minor
Violations of Certain Rules.
Cboe BZX Exchange, Inc.; Proposed Rule Change, as Modified by Amendment No. 2, to Amend Rule
25.3, Which Governs the Exchange’s Minor Rule Violation Plan, in Connection with Certain Minor Rule
Violations and Applicable Fines.
Financial Industry Regulatory Authority, Inc.; Proposed Rule Change to Amend FINRA Rule 6750 Regarding the Publication of Aggregated Transaction Information on U.S. Treasury Securities.
Financial Industry Regulatory Authority, Inc.; Proposed Rule Change To Amend the Codes of Arbitration
Procedure to Modify the Current Process Relating to the Expungement of Customer Dispute Information.
MEMX LLC; Proposed Rule Change to Establish a Retail Midpoint Liquidity Program.
NYSE Arca, Inc.; Proposed Rule Change to Amend Rule 6.64P–O.
NYSE National, Inc.; Proposed Rule Change to Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12.
The Options Clearing Corporation; Advance Notice Related to a Master Repurchase Agreement as Part of
The Options Clearing Corporation’s Overall Liquidity Plan.
SR–CboeBZX–2021–083 ................
SR–FINRA–2022–017 ....................
SR–FINRA–2022–024 ....................
SR–MEMX–2021–10 ......................
SR–NYSEARCA–2022–52 .............
SR–NYSENAT–2021–19 ................
SR–OCC–2022–802 .......................
khammond on DSKJM1Z7X2PROD with PROPOSALS
Commission will evaluate any
comments resubmitted with respect to
By the Commission.
Dated: October 7, 2022.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2022–22295 Filed 10–17–22; 8:45 am]
BILLING CODE 8011–01–P
VerDate Sep<11>2014
16:26 Oct 17, 2022
Jkt 259001
PO 00000
Frm 00002
Fmt 4702
Sfmt 4702
E:\FR\FM\18OCP1.SGM
18OCP1
]]>Agencies
[Federal Register Volume 87, Number 200 (Tuesday, October 18, 2022)]
[Proposed Rules]
[Pages 63016-63017]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-22295]
========================================================================
Proposed Rules
Federal Register
________________________________________________________________________
This section of the FEDERAL REGISTER contains notices to the public of
the proposed issuance of rules and regulations. The purpose of these
notices is to give interested persons an opportunity to participate in
the rule making prior to the adoption of the final rules.
========================================================================
Federal Register / Vol. 87, No. 200 / Tuesday, October 18, 2022 /
Proposed Rules
[[Page 63016]]
SECURITIES AND EXCHANGE COMMISSION
17 CFR Parts 200, 210, 229, 230, 232, 239, 240, 242, 249, 270, 274,
275, and 279
[Release Nos. 33-11117, 34-96005, IA-6162, IC-34724; File Nos. S7-32-
10, S7-18-21, S7-21-21, S7-22-21, S7-03-22, S7-08-22, S7-09-22, S7-10-
22, S7-13-22, S7-16-22, S7-17-22, S7-18-22]
RINs 3235-AK77, 3235-AM34, 3235-AM72, 3235-AM80, 3235-AM87, 3235-AM89,
3235-AM90, 3235-AM94, 3235-AM95, 3235-AM96, 3235-AN01, 3235-AN07
Resubmission of Comments and Reopening of Comment Periods for
Several Rulemaking Releases Due to a Technological Error in Receiving
Certain Comments
AGENCY: Securities and Exchange Commission.
ACTION: Proposed rules; resubmission of comment letters; reopening of
comment periods.
-----------------------------------------------------------------------
SUMMARY: Due to a technological error, a number of public comments
submitted through the Securities and Exchange Commission's
(``Commission'' or ``SEC'') internet comment form were not received by
the Commission. The majority of the affected comments were submitted in
August 2022; however, the technological error is known to have occurred
as early as June 2021. All commenters who submitted a public comment to
one of the affected comment files through the internet comment form
between June 2021 and August 2022 are advised to check the relevant
comment file posted on SEC.gov to determine whether their comment was
received and posted. If a comment has not been posted, commenters
should resubmit that comment by following the instructions provided
below. To further ensure that interested persons, including any
affected commenters, have the opportunity to comment on the affected
releases or to resubmit comments, the Commission is reopening the
comment periods for certain Commission rulemaking releases listed
herein (collectively, ``Rulemaking Releases'').
DATES: The comment periods for the Rulemaking Releases, published at 86
FR 69802 (Dec. 8, 2021) (reopened at 87 FR 11659 (March 2, 2022)), 87
FR 6652 (Feb. 4, 2022), 87 FR 7248 (Feb. 8, 2022), 87 FR 8443 (Feb. 15,
2022), 87 FR 14950 (Mar. 16, 2022), 87 FR 16590 (Mar. 23, 2022), 87 FR
16886 (Mar. 24, 2022) (reopened at 87 FR 29059 (May 12, 2022)), 87 FR
21334 (Apr. 11, 2022) (reopened at 87 FR 29059 (May 12, 2022)), 87 FR
29458 (May 13, 2022), 87 FR 36594 (June 17, 2022), 87 FR 36654 (June
17, 2022), and 87 FR 37254 (June 22, 2022), are reopened until November
1, 2022.
ADDRESSES: Comments may be submitted by any of the following methods:
Electronic Comments
Use the Commission's internet comment form (https://www.sec.gov/rules/submitcomments.htm).
Send an email to [email protected].
Paper Comments
Send paper comments to Vanessa A. Countryman, Secretary,
Securities and Exchange Commission, 100 F Street NE, Washington, DC
20549-1090.
Please include the file number for the specific action being commented
upon. 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 of submission. The Commission
will post all comments on the Commission's website (https://www.sec.gov/rules/proposed.shtml). Comments are also 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 a.m. and 3 p.m. Operating conditions may limit access
to the Commission's Public Reference Room. 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.
FOR FURTHER INFORMATION CONTACT: J. Matthew DeLesDernier, Deputy
Secretary, Office of the Secretary, at (202) 551-5400, Securities and
Exchange Commission, 100 F Street NE, Washington, DC 20549-1090, or by
email at [email protected]
SUPPLEMENTARY INFORMATION: Due to a technological error, a number of
public comments submitted through the Commission's internet form for
the submission of comment letters \1\ were not received by the
Commission and therefore were not posted in the relevant comment file.
The majority of the affected comments were submitted in August 2022;
however, a relatively small number of affected comments date from
earlier months, and the technological error is known to have occurred
as early as June 2021. The vast majority of the affected comments have
now been received by the Commission and posted. To date, the staff's
review of the available information indicates that the error only
affected the comment files for the Rulemaking Releases and self-
regulatory organization (``SRO'') matters identified in the tables
below.\2\ Commenters who submitted a public comment to any of these
files through the internet comment form between June 2021 and August
2022 are advised to check the relevant comment file posted on SEC.gov
to determine whether their comment was received and posted. If a
comment has not been posted, commenters should resubmit that comment.
Any resubmitted comment will be treated as if it were received on its
original submission date. Comments already received and posted on the
Commission website need not be resubmitted. If commenters have
questions or concerns about whether their comment was received by the
Commission, they should contact the SEC staff at the address, telephone
number, or email address listed above.
---------------------------------------------------------------------------
\1\ https://www.sec.gov/rules/submitcomments.htm.
\2\ In the event the SEC staff determines that any other comment
files were affected, the Commission will consider whether additional
action is warranted.
---------------------------------------------------------------------------
To further ensure that interested persons, including any affected
commenters, have the opportunity to comment on the releases or to
resubmit comments, the Commission is reopening the comment periods for
the following Rulemaking Releases, which SEC staff
[[Page 63017]]
have identified as having comment files that were potentially affected
by the technological error, until November 1, 2022:
------------------------------------------------------------------------
Release title and identifying
information (including Federal Date comment period closed *
Register publication date)
------------------------------------------------------------------------
Reporting of Securities Loans April 1, 2022.
(Release No. 34-93613; File No. S7-
18-21), 86 FR 69802 (Dec. 8, 2021).
Prohibition Against Fraud, March 21, 2022.
Manipulation, or Deception in
Connection with Security-Based
Swaps; Prohibition against Undue
Influence over Chief Compliance
Officers; Position Reporting of
Large Security-Based Swap Positions
(Release No. 34-93784; File No. S7-
32-10), 87 FR 6652 (Feb. 4, 2022).
Money Market Fund Reforms (Release April 11, 2022.
No. IC-34441; File No. S7-22-21), 87
FR 7248 (Feb. 8, 2022).
Share Repurchase Disclosure April 1, 2022.
Modernization (Release Nos. 34-
93783, IC-34440; File No. S7-21-21),
87 FR 8443 (Feb. 15, 2022).
Short Position and Short Activity April 26, 2022.
Reporting by Institutional
Investment Managers (Release No. 34-
94313; File No. S7-08-22), 87 FR
14950 (Mar. 16, 2022); see also
Notice of the Text of the Proposed
Amendments to the National Market
System Plan Governing the
Consolidated Audit Trail for
Purposes of Short Sale-Related Data
Collection (Release No. 34-94314;
File No. S7-08-22), 87 FR 15022
(Mar. 16, 2022).
Cybersecurity Risk Management, May 9, 2022.
Strategy, Governance, and Incident
Disclosure (Release Nos. 33-11038,
34-94382, IC-34529; File No. S7-09-
22), 87 FR 16590 (Mar. 23, 2022).
Private Fund Advisers; Documentation June 13, 2022.
of Registered Investment Adviser
Compliance Reviews (Release No. IA-
5955; File No. S7-03-22), 87 FR
16886 (Mar. 24, 2022).
The Enhancement and Standardization June 17, 2022.
of Climate-Related Disclosures for
Investors (Release Nos. 33-11042, 34-
94478; File No. S7-10-22), 87 FR
21334 (Apr. 11, 2022).
Special Purpose Acquisition June 13, 2022.
Companies, Shell Companies, and
Projections (Release Nos. 33-11048,
34-94546, IC-34549; File No. S7-13-
22), 87 FR 29458 (May 13, 2022).
Investment Company Names (Release August 16, 2022.
Nos. 33-11067, 34-94981, IC-34593;
File No. S7-16-22), 87 FR 36594
(June 17, 2022).
Enhanced Disclosures by Certain August 16, 2022.
Investment Advisers and Investment
Companies About Environmental,
Social, and Governance Investment
Practices (Release Nos. 33-11068, 34-
94985, IA-6034, IC-34594; File No.
S7-17-22), 87 FR 36654 (June 17,
2022).
Request for Comment on Certain August 16, 2022.
Information Providers Acting as
Investment Advisers (Release Nos. IA-
6050, IC-34618; File No. S7-18-22),
87 FR 37254 (June 22, 2022).
------------------------------------------------------------------------
* With respect to releases that were previously reopened for public
comment, the date in this column reflects the close of the most recent
comment period.
The technological error also may have affected certain comments
with respect to the following SRO matters. The Commission will evaluate
any comments resubmitted with respect to these matters and consider
whether further action is warranted.
------------------------------------------------------------------------
File No. File description
------------------------------------------------------------------------
SR-BOX-2022-08.................... BOX Exchange LLC; Proposed Rule
Change, as Modified by Amendment
No. 1, to Amend Rule 12140
(Imposition of Fines for Minor Rule
Violations), to Expand the List of
Violations Eligible for Disposition
under the Exchange's Minor Rule
Violation Plan and to Update the
Fine Schedule Applicable to Minor
Violations of Certain Rules.
SR-CboeBZX-2021-083............... Cboe BZX Exchange, Inc.; Proposed
Rule Change, as Modified by
Amendment No. 2, to Amend Rule
25.3, Which Governs the Exchange's
Minor Rule Violation Plan, in
Connection with Certain Minor Rule
Violations and Applicable Fines.
SR-FINRA-2022-017................. Financial Industry Regulatory
Authority, Inc.; Proposed Rule
Change to Amend FINRA Rule 6750
Regarding the Publication of
Aggregated Transaction Information
on U.S. Treasury Securities.
SR-FINRA-2022-024................. Financial Industry Regulatory
Authority, Inc.; Proposed Rule
Change To Amend the Codes of
Arbitration Procedure to Modify the
Current Process Relating to the
Expungement of Customer Dispute
Information.
SR-MEMX-2021-10................... MEMX LLC; Proposed Rule Change to
Establish a Retail Midpoint
Liquidity Program.
SR-NYSEARCA-2022-52............... NYSE Arca, Inc.; Proposed Rule
Change to Amend Rule 6.64P-O.
SR-NYSENAT-2021-19................ NYSE National, Inc.; Proposed Rule
Change to Extend the Pilot Related
to the Market-Wide Circuit Breaker
in Rule 7.12.
SR-OCC-2022-802................... The Options Clearing Corporation;
Advance Notice Related to a Master
Repurchase Agreement as Part of The
Options Clearing Corporation's
Overall Liquidity Plan.
------------------------------------------------------------------------
By the Commission.
Dated: October 7, 2022.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2022-22295 Filed 10-17-22; 8:45 am]
BILLING CODE 8011-01-P
