Sunshine Act Meetings, 75683 [2022-26901]

Download as PDF Federal Register / Vol. 87, No. 236 / Friday, December 9, 2022 / Notices office of the Exchange. 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– CboeEDGX–2022–053, and should be submitted on or before December 30, 2022. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.20 Sherry R. Haywood, Assistant Secretary. [FR Doc. 2022–26745 Filed 12–8–22; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meetings Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94–409, that the Securities and Exchange Commission will hold an Open Meeting on Wednesday, December 14, 2022 at 10:00 a.m. PLACE: The meeting will be webcast on the Commission’s website at www.sec.gov. STATUS: This meeting will begin at 10:00 a.m. (ET) and will be open to the public via webcast on the Commission’s website at www.sec.gov. MATTERS TO BE CONSIDERED: 1. The Commission will consider whether to adopt amendments to Rule 10b5–1 under the Securities Exchange Act, and new disclosure regarding Rule 10b5–1 trading arrangements and insider trading policies and procedures, as well as amendments regarding the disclosure of the timing of certain equity compensation awards and reporting of gifts on Form 4. 2. The Commission will consider whether to propose rule amendments to update the disclosure required by Rule 605 under Regulation NMS of the Securities Exchange Act of 1934 for order executions in national market system stocks. The proposed rule amendments would expand the scope of entities subject to Rule 605, modify the information required to be reported under the rule, and change how orders are categorized for purposes of the rule. 3. The Commission will consider whether to propose amendments to certain rules under Regulation NMS of the Securities Exchange Act of 1934 to lotter on DSK11XQN23PROD with NOTICES1 TIME AND DATE: adopt variable minimum pricing increments for the quoting and trading of NMS stocks, reduce access fee caps, and enhance the transparency of better priced orders. 4. The Commission will consider whether to propose a new rule under Regulation NMS of the Securities Exchange Act of 1934 titled the Order Competition Rule, which would require certain equity orders of retail investors to be exposed to competition in fair and open auctions before such orders could be executed internally by any trading center that restricts order-by-order competition. 5. The Commission will consider whether to propose new rules under the Securities Exchange Act of 1934 titled Regulation Best Execution, which would establish a best execution standard and require detailed policies and procedures for brokers, dealers, government securities brokers, government securities dealers, and municipal securities dealers and more robust policies and procedures for entities engaging in certain conflicted transactions with retail customers, as well as related review and documentation requirements. 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 from the Office of the Secretary at (202) 551–5400. Authority: 5 U.S.C. 552b. Dated: December 7, 2022. J. Matthew DeLesDernier, Deputy Secretary. [FR Doc. 2022–26901 Filed 12–7–22; 4:15 pm] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–96448; File No. SR– NYSECHX–2022–29] Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Article 17, Rule 5 December 5, 2022. Pursuant to section 19(b)(1) 1 of the Securities Exchange Act of 1934 (‘‘Act’’) 2 and Rule 19b–4 thereunder,3 notice is hereby given that, on December 1, 2022, the NYSE Chicago, Inc. (‘‘NYSE Chicago’’ or the ‘‘Exchange’’) filed with the Securities and Exchange 1 15 U.S.C. 78s(b)(1). U.S.C. 78a. 3 17 CFR 240.19b–4. 2 15 20 17 CFR 200.30–3(a)(12). VerDate Sep<11>2014 17:50 Dec 08, 2022 Jkt 259001 PO 00000 Frm 00098 Fmt 4703 Sfmt 4703 75683 Commission (the ‘‘Commission’’) the proposed rule change as described in Items I and II below, which Items have been prepared by the self-regulatory organization. The Commission is publishing this notice to solicit 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 Article 17, Rule 5 to (1) change how Qualified Contingent Trade (‘‘QCT’’) Cross Orders are handled in the Exchange’s Brokerplex® order management system, and (2) make certain non-substantive conforming changes. The proposed rule change is available on the Exchange’s website at www.nyse.com, 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 self-regulatory organization 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 those 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 parts of such statements. A. Self-Regulatory Organization’s Statement of the Purpose of, and the Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to amend Article 17, Rule 5 (Brokerplex) in order to (1) change how QCT Cross Orders are handled in the Exchange’s Brokerplex® order management system, and (2) make certain non-substantive conforming changes. Background and Proposed Rule Change The Exchange provides the Brokerplex order management system for use by Institutional Broker Representatives (‘‘IBRs’’),4 to receive, transmit and hold orders from their customers while seeking execution 4 IBRs are also known as Institutional Brokers or ‘‘IBs’’. The term ‘‘Institutional Broker’’ is defined in Article 1, Rule 1(n) to mean a member of the Exchange who is registered as an Institutional Broker pursuant to the provisions of Article 17 and has satisfied all Exchange requirements to operate as an Institutional Broker on the Exchange. E:\FR\FM\09DEN1.SGM 09DEN1

Agencies

[Federal Register Volume 87, Number 236 (Friday, December 9, 2022)]
[Notices]
[Page 75683]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-26901]


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

SECURITIES AND EXCHANGE COMMISSION


Sunshine Act Meetings

TIME AND DATE: Notice is hereby given, pursuant to the provisions of 
the Government in the Sunshine Act, Public Law 94-409, that the 
Securities and Exchange Commission will hold an Open Meeting on 
Wednesday, December 14, 2022 at 10:00 a.m.

PLACE: The meeting will be webcast on the Commission's website at 
www.sec.gov.

STATUS: This meeting will begin at 10:00 a.m. (ET) and will be open to 
the public via webcast on the Commission's website at www.sec.gov.

MATTERS TO BE CONSIDERED: 
    1. The Commission will consider whether to adopt amendments to Rule 
10b5-1 under the Securities Exchange Act, and new disclosure regarding 
Rule 10b5-1 trading arrangements and insider trading policies and 
procedures, as well as amendments regarding the disclosure of the 
timing of certain equity compensation awards and reporting of gifts on 
Form 4.
    2. The Commission will consider whether to propose rule amendments 
to update the disclosure required by Rule 605 under Regulation NMS of 
the Securities Exchange Act of 1934 for order executions in national 
market system stocks. The proposed rule amendments would expand the 
scope of entities subject to Rule 605, modify the information required 
to be reported under the rule, and change how orders are categorized 
for purposes of the rule.
    3. The Commission will consider whether to propose amendments to 
certain rules under Regulation NMS of the Securities Exchange Act of 
1934 to adopt variable minimum pricing increments for the quoting and 
trading of NMS stocks, reduce access fee caps, and enhance the 
transparency of better priced orders.
    4. The Commission will consider whether to propose a new rule under 
Regulation NMS of the Securities Exchange Act of 1934 titled the Order 
Competition Rule, which would require certain equity orders of retail 
investors to be exposed to competition in fair and open auctions before 
such orders could be executed internally by any trading center that 
restricts order-by-order competition.
    5. The Commission will consider whether to propose new rules under 
the Securities Exchange Act of 1934 titled Regulation Best Execution, 
which would establish a best execution standard and require detailed 
policies and procedures for brokers, dealers, government securities 
brokers, government securities dealers, and municipal securities 
dealers and more robust policies and procedures for entities engaging 
in certain conflicted transactions with retail customers, as well as 
related review and documentation requirements.

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 from the Office of the Secretary 
at (202) 551-5400.
    Authority: 5 U.S.C. 552b.

    Dated: December 7, 2022.
J. Matthew DeLesDernier,
Deputy Secretary.
[FR Doc. 2022-26901 Filed 12-7-22; 4:15 pm]
BILLING CODE 8011-01-P
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.