Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Increase the Position and Exercise Limits for Options on Apple Inc. Stock (“AAPL”), 20568 [2023-07143]

Download as PDF 20568 Federal Register / Vol. 88, No. 66 / Thursday, April 6, 2023 / Notices orders a hearing. Interested persons may request a hearing on any application by emailing the SEC’s Secretary at Secretarys-Office@sec.gov and serving the Applicants with a copy of the request by email, if an email address is listed for the relevant Applicant below, or personally or by mail, if a physical address is listed for the relevant Applicant below. Hearing requests should be received by the Commission by 5:30 p.m. on, April 25, 2023, and should be accompanied by proof of service on applicants, in the form of an affidavit or, for lawyers, a certificate of service. Pursuant to rule 0–5 under the Act, hearing requests should state the nature of the writer’s interest, any facts bearing upon the desirability of a hearing on the matter, the reason for the request, and the issues contested. Persons who wish to be notified of a hearing may request notification by emailing the Commission’s Secretary at Secretarys-Office@sec.gov. The Commission: Secretarys-Office@sec.gov. Applicants: Michael W. Mundt, Esq., Stradley Ronon Stevens & Young, LLP, at MMundt@stradley.com; Matthew R. DiClemente, Esq., Stradley Ronon Stevens & Young, LLP, at MDiClemente@stradley.com; and Melanie Ringold, Esq., Head of Legal, Americas, Invesco Ltd., 11 Greenway Plaza, Suite 1000, Houston, TX 77046. ADDRESSES: FOR FURTHER INFORMATION CONTACT: Kieran G. Brown, Senior Counsel, or Terri Jordan, Branch Chief, at (202) 551– 6825 (Division of Investment Management, Chief Counsel’s Office). For Applicants’ representations, legal analysis, and conditions, please refer to Applicants’ second amended and restated application, dated February 16, 2023, which may be obtained via the Commission’s website by searching for the file number at the top of this document, or for an Applicant using the Company name search field, on the SEC’s EDGAR system. The SEC’s EDGAR system may be searched at https://www.sec.gov/edgar/searchedgar/ legacy/companysearch.html. You may also call the SEC’s Public Reference Room at (202) 551–8090. ddrumheller on DSK120RN23PROD with NOTICES1 SUPPLEMENTARY INFORMATION: For the Commission, by the Division of Investment Management, under delegated authority. Sherry R. Haywood, Assistant Secretary. [FR Doc. 2023–07157 Filed 4–5–23; 8:45 am] BILLING CODE 8011–01–P VerDate Sep<11>2014 21:13 Apr 05, 2023 Jkt 259001 SECURITIES AND EXCHANGE COMMISSION [Release No. 34–97235; File No. SR–CBOE– 2022–057] Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Withdrawal of Proposed Rule Change To Increase the Position and Exercise Limits for Options on Apple Inc. Stock (‘‘AAPL’’) March 31, 2023. On November 7, 2022, Cboe Exchange, Inc. filed with the Securities and Exchange Commission (the ‘‘Commission’’), pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (the ‘‘Act’’),1 and Rule 19b–4 thereunder,2 a proposed rule change to increase the position and exercise limits for options on Apple Inc. stock (‘‘AAPL’’). The proposed rule change was published for comment in the Federal Register on November 25, 2022.3 The Commission received no comment letters regarding the proposed rule change. On December 22, 2022, pursuant to section 19(b)(2) of the Act,4 the Commission designated a longer period within which to approve the proposed rule change, disapprove the proposed rule change, or institute proceedings to determine whether to approve or disapprove the proposed rule change.5 On February 22, 2023, the Commission instituted proceedings under section 19(b)(2)(B) of the Exchange Act 6 to determine whether to approve or disapprove the proposed rule change.7 On March 30, 2023, the Exchange withdrew the proposed rule change (SR–CBOE–2022–057). For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.8 Sherry R. Haywood, Assistant Secretary. [FR Doc. 2023–07143 Filed 4–5–23; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–97237; File No. SR–FINRA– 2023–006] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt Supplementary Material .19 (Residential Supervisory Location) Under FINRA Rule 3110 (Supervision) March 31, 2023. 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 March 29, 2023, the Financial Industry Regulatory Authority, Inc. (‘‘FINRA’’) filed with the Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) the proposed rule change as described in Items I, II, and III below, which Items have been prepared by FINRA. 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 FINRA is proposing to adopt new Supplementary Material .19 (Residential Supervisory Location) under FINRA Rule 3110 (Supervision) that would align FINRA’s definition of an office of supervisory jurisdiction (‘‘OSJ’’) and the classification of a location that supervises activities at non-branch locations with the existing residential exclusions set forth in the branch office definition to treat a private residence at which an associated person engages in specified supervisory activities as a nonbranch location, subject to safeguards and limitations. In accordance with Rule 3110(c), as a non-branch location, a Residential Supervisory Location (or ‘‘RSL’’) would become subject to inspections on a regular periodic schedule, which is presumed to be at least every three years,3 rather than an annual inspection requirement required of OSJs and other supervisory branch offices.4 FINRA believes the proposal 1 15 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. 3 See Securities Exchange Act Release No. 96353 (Nov. 18, 2022), 87 FR 72568. 4 15 U.S.C. 78s(b)(2). 5 See Securities Exchange Act Release No. 96570 (Dec. 22, 2022), 87 FR 80212 (Dec. 29, 2022). 6 15 U.S.C. 78s(b)(2)(B). 7 See Securities Exchange Act Release No. 96965 (Feb. 22, 2023), 88 FR 12705 (February 28, 2023). 8 17 CFR 200.30–3(a)(12). PO 00000 Frm 00103 Fmt 4703 Sfmt 4703 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 See FINRA Rules 3110(c)(1)(C) and 3110.13. 4 SEC staff and FINRA have interpreted FINRA rules to require member firms to conduct on-site inspections of branch offices and unregistered offices (i.e., non-branch locations) in accordance with the periodic schedule described under Rule 3110(c)(1). See SEC National Examination Risk Alert, Volume I, Issue 2 (November 30, 2011), https://www.sec.gov/about/offices/ocie/riskalertbdbranchinspections.pdf, and Regulatory Notice 11–54 (November 2011) (joint SEC and FINRA guidance stating, a ‘‘broker-dealer must conduct on2 17 E:\FR\FM\06APN1.SGM 06APN1

Agencies

[Federal Register Volume 88, Number 66 (Thursday, April 6, 2023)]
[Notices]
[Page 20568]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-07143]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-97235; File No. SR-CBOE-2022-057]


Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of 
Withdrawal of Proposed Rule Change To Increase the Position and 
Exercise Limits for Options on Apple Inc. Stock (``AAPL'')

March 31, 2023.
    On November 7, 2022, Cboe Exchange, Inc. filed with the Securities 
and Exchange Commission (the ``Commission''), pursuant to section 
19(b)(1) of the Securities Exchange Act of 1934 (the ``Act''),\1\ and 
Rule 19b-4 thereunder,\2\ a proposed rule change to increase the 
position and exercise limits for options on Apple Inc. stock 
(``AAPL''). The proposed rule change was published for comment in the 
Federal Register on November 25, 2022.\3\ The Commission received no 
comment letters regarding the proposed rule change.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 96353 (Nov. 18, 
2022), 87 FR 72568.
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    On December 22, 2022, pursuant to section 19(b)(2) of the Act,\4\ 
the Commission designated a longer period within which to approve the 
proposed rule change, disapprove the proposed rule change, or institute 
proceedings to determine whether to approve or disapprove the proposed 
rule change.\5\ On February 22, 2023, the Commission instituted 
proceedings under section 19(b)(2)(B) of the Exchange Act \6\ to 
determine whether to approve or disapprove the proposed rule change.\7\ 
On March 30, 2023, the Exchange withdrew the proposed rule change (SR-
CBOE-2022-057).
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    \4\ 15 U.S.C. 78s(b)(2).
    \5\ See Securities Exchange Act Release No. 96570 (Dec. 22, 
2022), 87 FR 80212 (Dec. 29, 2022).
    \6\ 15 U.S.C. 78s(b)(2)(B).
    \7\ See Securities Exchange Act Release No. 96965 (Feb. 22, 
2023), 88 FR 12705 (February 28, 2023).

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\8\
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    \8\ 17 CFR 200.30-3(a)(12).
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Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-07143 Filed 4-5-23; 8:45 am]
BILLING CODE 8011-01-P
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