Technical Amendments to Form BD and Form BDW, 32963-32966 [2023-10442]
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Federal Register / Vol. 88, No. 99 / Tuesday, May 23, 2023 / Rules and Regulations
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BILLING CODE 4910–13–P
SECURITIES AND EXCHANGE
COMMISSION
17 CFR Part 249
[Release No. 34–97478]
Technical Amendments to Form BD
and Form BDW
Securities and Exchange
Commission.
ACTION: Final rule; technical
amendments.
AGENCY:
The Securities and Exchange
Commission (‘‘Commission’’) is making
technical amendments to Form BD and
Form BDW, the uniform broker-dealer
registration form and the uniform
request for withdrawal from brokerdealer registration, respectively. The
technical amendments will update the
current list of self-regulatory
organizations (‘‘SROs’’) and government
jurisdictions listed on Form BD and
Form BDW, and make conforming
changes to the definition of
‘‘jurisdiction’’ in the forms.
DATES: Effective Date: May 23, 2023.
FOR FURTHER INFORMATION CONTACT:
Emily Westerberg Russell, Chief
Counsel, Joanne Rutkowski, Assistant
Chief Counsel, Denise Landers, Senior
Special Counsel, or Bonnie Gauch,
Senior Special Counsel, at (202) 551–
5550, Office of the Chief Counsel,
Division of Trading and Markets,
Securities and Exchange Commission,
100 F Street NE, Washington, DC 20549.
SUPPLEMENTARY INFORMATION: Form BD
requires an applicant, or registrant, to
indicate the SRO and governmental
jurisdiction with which it is registering
or registered. For a ‘‘partial
withdrawal,’’ 1 Form BDW requires the
applicant to specify the SRO and
governmental jurisdiction from which it
is withdrawing.2 The Commission is
lotter on DSK11XQN23PROD with RULES1
SUMMARY:
1 A ‘‘full withdrawal’’ terminates registration with
the Commission, all SROs, and all jurisdictions.
However, a ‘‘partial withdrawal’’ terminates
registration with specific jurisdictions and SROs,
but does not terminate registration with the
Commission and at least one SRO and jurisdiction.
2 Section 15(b) of the Securities Exchange Act of
1934 (‘‘Exchange Act’’) provides that broker-dealers
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can register and withdraw from registration under
procedures developed by the Commission.
Exchange Act Rule 15b1–1 requires that an
application for registration of a broker or dealer that
is filed pursuant to Section 15(b) of the Exchange
Act be filed on Form BD in accordance with the
instructions on the form. Exchange Act Rule 15b6–
1 requires that a notice of withdrawal from
registration as a broker or dealer filed pursuant to
Section 15(b) of the Exchange Act be filed on Form
BDW in accordance with the instructions on the
form. See 15 U.S.C. 78o; 17 CFR 240.15b1–1 and
15b6–1. See also, Form BD and Form BDW 17 CFR
249.501 and 501a.
3 Exchange Act Release No. 83941 (Aug. 24,
2018), 83 FR 44320 (Aug. 30, 2018) (concerning
name change from BOX Options Exchange LLC to
BOX Exchange LLC); Exchange Act Release No.
66871 (Apr. 27, 2012), 77 FR 26323 (May 3, 2012)
(approving BOX Options Exchange LLC application
for registration as a national securities exchange).
4 Exchange Act Release No. 81981 (Oct. 30, 2017),
82 FR 51309 (Nov. 3, 2017) (concerning name
change from Chicago Board Options Exchange,
Incorporated to Cboe Exchange, Inc.).
5 Exchange Act Release No. 81952 (Oct. 26, 2017),
82 FR 50725 (Nov. 1, 2017) (concerning name
change from Bats BYX Exchange, Inc. to Cboe BYX
Exchange, Inc.); Exchange Act Release No. 79585
(Dec. 16, 2016), 81 FR 93988 (Dec. 22, 2016)
(approving proposed rule change in connection
with a corporate transaction involving Bats Global
Markets, Inc. and CBOE Holdings, Inc.); Exchange
Act Release No. 77308 (Mar. 7, 2016), 81 FR 12975
(Mar. 11, 2016) (concerning name change from
BATS Y-Exchange, Inc. to Bats BYX Exchange,
Inc.); Exchange Act Release No. 62716 (Aug. 13,
2010), 75 FR 51295 (Aug. 19, 2010) (approving
BATS Y-Exchange, Inc. application for registration
as a national securities exchange).
6 Exchange Act Release No. 81962 (Oct. 26, 2017),
82 FR 50711 (Nov. 1, 2017) (concerning name
change from Bats BZX Exchange, Inc. to Cboe BZX
Exchange, Inc.); Exchange Act Release No. 79585
(Dec. 16, 2016), 81 FR 93988 (Dec. 22, 2016)
(approving proposed rule change in connection
with a corporate transaction involving Bats Global
Markets, Inc. and CBOE Holdings, Inc.); Exchange
Act Release No. 77307 (Mar. 7, 2016), 81 FR 12996
(Mar. 11, 2016) (concerning name change from
BATS Exchange, Inc. to Bats BZX Exchange, Inc.);
Exchange Act Release No. 58375 (Aug. 18, 2008),
73 FR 49498 (Aug. 21, 2008) (approving BATS
Exchange, Inc. application for registration as a
national securities exchange).
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FDC date
3/9743
making technical amendments to Item 2
of Form BD and Item 3 of Form BDW
to update the list of governmental
jurisdictions to include Guam, and to
update the list of SROs to reflect the
registrations of new national securities
exchanges or the business combinations
and resulting name changes of existing
SROs since the last update of Form BD
and Form BDW. More specifically, we
are updating the list of SROs to reflect
these changes to: BOX Exchange LLC
(BOX),3 Cboe Exchange, Inc. (CBOE),4
Cboe BYX Exchange, Inc. (Cboe BYX),5
Cboe BZX Exchange, Inc. (Cboe BZX),6
[FR Doc. 2023–10941 Filed 5–22–23; 8:45 am]
VerDate Sep<11>2014
FDC No.
32963
Subject
RNAV (GPS) RWY 5, Amdt 1
RADAR-1, Amdt 1A
RNAV (GPS)-A, Orig-A
Cboe C2 Exchange, Inc. (C2),7 Cboe
EDGA Exchange, Inc. (Cboe EDGA),8
Cboe EDGX Exchange, Inc. (Cboe
EDGX),9 Investors Exchange LLC
(IEX),10 Long-Term Stock Exchange, Inc.
(LTSE),11 Nasdaq BX, Inc. (BX),12
Nasdaq GEMX, LLC (GEMX),13 Nasdaq
7 Exchange Act Release No. 81979 (Oct. 30, 2017),
82 FR 51317 (Nov. 3, 2017) (concerning name
change from C2 Options Exchange, Incorporated to
Cboe C2 Exchange, Inc.); Exchange Act Release No.
61152 (Dec. 10, 2009), 74 FR 66699 (Dec. 16, 2009)
(approving C2 Options Exchange, Incorporated
application for registration as a national securities
exchange).
8 Exchange Act Release No. 81957 (Oct. 26, 2017),
82 FR 50716 (Nov. 1, 2017) (concerning name
change from Bats EDGA Exchange, Inc. to Cboe
EDGA Exchange, Inc.); Exchange Act Release No.
79585 (Dec. 16, 2016), 81 FR 93988 (Dec. 22, 2016)
(approving proposed rule change in connection
with a corporate transaction involving Bats Global
Markets, Inc. and CBOE Holdings, Inc.); Exchange
Act Release No. 77299 (Mar. 4, 2016), 81 FR 12759
(Mar. 10, 2016) (concerning name change from
EDGA Exchange, Inc. to Bats EDGA Exchange, Inc.);
Exchange Act Release No. 61698 (Mar. 12, 2010), 75
FR 13151 (Mar. 18, 2010) (approving EDGX
Exchange, Inc. and EDGA Exchange, Inc.
applications for registration as national securities
exchanges).
9 Exchange Act Release No. 81963 (Oct. 26, 2017),
82 FR 50697 (Nov. 1, 2017) (concerning name
change from Bats EDGX Exchange, Inc. to Cboe
EDGX Exchange, Inc.); Exchange Act Release No.
79585 (Dec. 16, 2016), 81 FR 93988 (Dec. 22, 2016)
(approving proposed rule change in connection
with a corporate transaction involving Bats Global
Markets, Inc. and CBOE Holdings, Inc.); Exchange
Act Release No. 77298 (Mar. 4, 2016), 81 FR 12757
(Mar. 10, 2016) (concerning name change from
EDGX Exchange, Inc. to Bats EDGX Exchange, Inc.);
Exchange Act Release No. 61698 (Mar. 12, 2010), 75
FR 13151 (Mar. 18, 2010) (approving EDGX
Exchange, Inc. and EDGA Exchange, Inc.
applications for registration as national securities
exchanges).
10 Exchange Act Release No. 78101 (June 17,
2016), 81 FR 41141 (June 23, 2016) (approving
Investors Exchange LLC registration as a national
securities exchange).
11 Exchange Act Release No. 85828 (May 10,
2019), 84 FR 21841 (May 15, 2019) (approving
Long-Term Stock Exchange, Inc. registration as a
national securities exchange).
12 Exchange Act Release No. 81948 (Oct. 25,
2017), 82 FR 50468 (Oct. 31, 2017) (concerning
name change from NASDAQ BX, Inc. to Nasdaq BX,
Inc.); Exchange Act Release No. 76656 (Dec. 15,
2015), 80 FR 79381 (Dec. 21, 2015) (concerning
name change from NASDAQ OMX BX, Inc. to
NASDAQ BX, Inc.); Exchange Act Release No.
60358 (July 21, 2009), 74 FR 37277 (July 28, 2009)
(concerning name change from the Boston Stock
Exchange, Inc. to NASDAQ OMX BX, Inc.);
Exchange Act Release No. 58324 (Aug. 7, 2008), 73
FR 46936 (Aug. 12, 2008) (approving proposed rule
change in connection with the acquisition of the
Boston Stock Exchange, Inc. by The NASDAQ OMX
Group, Inc.).
13 Exchange Act Release No. 80248 (Mar. 15,
2017), 82 FR 14547 (Mar. 21, 2017) (concerning
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Federal Register / Vol. 88, No. 99 / Tuesday, May 23, 2023 / Rules and Regulations
ISE, LLC (ISE),14 Nasdaq MRX, LLC
(MRX),15 Nasdaq PHLX LLC (PHLX),16
The Nasdaq Stock Market LLC
(NASDAQ),17 NYSE American LLC
(NYSE AMER),18 NYSE Chicago, Inc.
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name change from ISE Gemini, LLC to Nasdaq
GEMX, LLC); Exchange Act Release No. 71586 (Feb.
20, 2014), 79 FR 10861 (Feb. 26, 2014) (concerning
name change from Topaz Exchange, LLC to ISE
Gemini, LLC); Exchange Act Release No. 70050
(July 26, 2013), 78 FR 46622 (Aug. 1, 2013)
(approving Topaz Exchange, LLC application for
registration as a national securities exchange).
14 Exchange Act Release No. 80325 (Mar. 29,
2017), 82 FR 16445 (Apr. 4, 2017) (concerning name
change from International Securities Exchange, LLC
to Nasdaq ISE, LLC).
15 Exchange Act Release No. 80326 (Mar. 29,
2017), 82 FR 16460 (Apr. 4, 2017) (concerning name
change from ISE Mercury, LLC to Nasdaq MRX,
LLC); Exchange Act Release No. 76998 (Jan. 29,
2016), 81 FR 6066 (Feb. 4, 2016) (approving ISE
Mercury, LLC application for registration as a
national securities exchange).
16 Exchange Act Release No. 81938 (Oct. 24,
2017), 82 FR 50185 (Oct. 30, 2017) (concerning
name change from NASDAQ PHLX LLC to Nasdaq
PHLX LLC); Exchange Act Release No. 76654 (Dec.
15, 2015), 80 FR 79396 (Dec. 21, 2015) (concerning
name change from NASDAQ OMX PHLX LLC to
NASDAQ PHLX LLC); Exchange Act Release No.
62783 (Aug. 27, 2010), 75 FR 54204 (Sept. 3, 2010)
(concerning the conversion of NASDAQ OMX
PHLX, Inc. to a limited liability company);
Exchange Act Release No. 58380 (Aug. 18, 2008),
73 FR 49728 (Aug. 22, 2008) (concerning name
change from the Philadelphia Stock Exchange, Inc.
to NASDAQ OMX PHLX, Inc.); Exchange Act
Release No. 58179 (July 17, 2008), 73 FR 42874
(July 23, 2008) (approving proposed rule change in
connection with the acquisition of the Philadelphia
Stock Exchange, Inc. by The NASDAQ OMX Group,
Inc.).
17 Exchange Act Release No. 81917 (Oct. 23,
2017), 82 FR 49879 (Oct. 27, 2017) (concerning
name change from The NASDAQ Stock Market LLC
to The Nasdaq Stock Market LLC).
18 Exchange Act Release No. 80283 (Mar. 21,
2017), 82 FR 15244 (Mar. 27, 2017) (concerning
name change from NYSE MKT LLC to NYSE
American LLC); Exchange Act Release No. 67037
(May 21, 2012), 77 FR 31415 (May 25, 2012)
(concerning name change from NYSE Amex LLC to
NYSE MKT LLC); Exchange Act Release No. 59575
(Mar. 13, 2009), 74 FR 11803 (Mar. 19, 2009)
(concerning name change from NYSE Alternext US
LLC to NYSE Amex LLC); Exchange Act Release No.
58673 (Sept. 29, 2008), 73 FR 57707 (Oct. 3, 2008)
(approving proposed rule change in connection
with the acquisition of American Stock Exchange
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(NYSE CHX),19 NYSE National, Inc.
(NYSE NAT),20 Miami International
Securities Exchange, LLC (MIAX),21
MIAX EMERALD, LLC (EMERALD),22
MIAX PEARL, LLC (PEARL),23 and
MEMX LLC (MEMX).24
In addition, we are making
conforming changes to the definition of
‘‘jurisdiction’’ to include Guam, a
United States territory. ‘‘Jurisdiction’’
will be defined as: ‘‘A state, the District
of Columbia, the Commonwealth of
Puerto Rico, the U.S. Virgin Islands,
Guam, or any subdivision or regulatory
body thereof.’’
List of Subjects in 17 CFR Part 249
Broker-dealers, reporting and
recordkeeping requirements, Securities.
Statutory Authority
We are adopting the technical
amendments to Forms BD and BDW
under the authority set forth in the
LLC by NYSE Euronext and renaming as NYSE
Alternext US LLC).
19 Exchange Act Release No. 84494 (Oct. 26,
2018), 83 FR 54953 (Nov. 1, 2018) (concerning
name change from the Chicago Stock Exchange, Inc.
to NYSE Chicago, Inc.); Exchange Act Release No.
83635 (July 13, 2018), 83 FR 34182 (July 19, 2018)
(approving proposed rule change in connection
with the indirect acquisition of the Chicago Stock
Exchange, Inc. by NYSE Group, Inc.).
20 Exchange Act Release No. 79902 (Jan. 30,
2017), 82 FR 9258 (Feb. 3, 2017) (approving
proposed rule change in connection with National
Stock Exchange, Inc.’s acquisition by NYSE Group,
Inc. and renaming as NYSE National, Inc.).
21 Exchange Act Release No. Release No. 68341
(Dec. 3, 2012), 77 FR 73065 (Dec. 7, 2012)
(approving Miami International Securities
Exchange, LLC application for registration as a
national securities exchange).
22 Exchange Act Release No. 84891 (Dec. 20,
2018), 83 FR 67421 (Dec. 28, 2018) (approving
MIAX EMERALD, LLC application for registration
as a national securities exchange).
23 Exchange Act Release No. 79543 (Dec. 13,
2016), 81 FR 92901 (Dec. 20, 2016); (approving
MIAX PEARL, LLC application for registration as a
national securities exchange).
24 Exchange Act Release No. 88806 (May 4, 2020),
85 FR 27451 (May 8, 2020) (approving MEMX LLC
application for registration as a national securities
exchange).
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Exchange Act and, in particular,
Sections 15(a), 15(b), 17(a), and 23(a)
therein.25
Text of Amendments
For the reasons set out in the
preamble, 17 CFR part 249 is amended
as follows:
PART 249—FORMS, SECURITIES
EXCHANGE ACT OF 1934
1. The general authority citation for
part 249 continues to read as follows:
■
Authority: 15 U.S.C. 78a et seq. and 7201
et seq.; 12 U.S.C. 5461 et seq.; 18 U.S.C. 1350;
Sec. 953(b) Pub. L. 111–203, 124 Stat. 1904;
Sec. 102(a)(3) Pub. L. 112–106, 126 Stat. 309
(2012), Sec. 107 Pub. L. 112–106, 126 Stat.
313 (2012), Sec. 72001 Pub. L. 114–94, 129
Stat. 1312 (2015), and secs. 2 and 3 Pub. L.
116–222, 134 Stat. 1063 (2020), unless
otherwise noted.
*
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2. Form BD (referenced in § 249.501)
is amended by:
■ a. In the Explanation of Terms, 1.
General section, removing the words
‘‘JURISDICTION—A state, the District of
Columbia, the Commonwealth of Puerto
Rico, the U.S. Virgin Islands, or any
subdivision or regulatory body thereof.’’
and add, in their place, the words
‘‘JURISDICTION—A state, the District of
Columbia, the Commonwealth of Puerto
Rico, the U.S. Virgin Islands, Guam, or
any subdivision or regulatory body
thereof.’’; and
■ b. In Item 2, revising the SRO and
Jurisdiction tables.
The revisions read as follows:
■
Note: The text of Form BD does not, and
the amendments will not, appear in the Code
of Federal Regulations.
Form BD
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2. * * *
25 15
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U.S.C. 78o(a), 78o(b), 78q(a), and 78w(a).
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Federal Register / Vol. 88, No. 99 / Tuesday, May 23, 2023 / Rules and Regulations
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3. Form BDW (referenced in
§ 249.501a) is amended by:
■ a. In the Explanation of Terms section,
removing the words ‘‘The term
JURISDICTION means a state, the
District of Columbia, the
Commonwealth of Puerto Rico, the U.S.
Virgin Islands, or any subdivision or
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■
VerDate Sep<11>2014
16:01 May 22, 2023
Jkt 259001
regulatory body thereof.’’ and adding, in
their place, the words ‘‘The term
JURISDICTION means a state, the
District of Columbia, the
Commonwealth of Puerto Rico, the U.S.
Virgin Islands, Guam, or any
subdivision or regulatory body
thereof.’’; and
■ b. In Item 3, revising the SRO and
Jurisdiction tables.
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The revisions read as follows:
Note: The text of Form BDW does not, and
the amendments will not, appear in the Code
of Federal Regulations.
Form BDW
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ER23MY23.019</GPH>
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32966
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Dated: May 11, 2023.
J. Matthew DeLesDernier,
Deputy Secretary.
[FR Doc. 2023–10442 Filed 5–22–23; 8:45 am]
BILLING CODE 8011–01–P
DEPARTMENT OF HOMELAND
SECURITY
33 CFR Part 165
[Docket Number USCG–2023–0204]
RIN 1625–AA00
Safety Zone; Fireworks Display,
Umatilla Marina, Umatilla, OR
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I. Table of Abbreviations
DATES:
This rule is effective from 9:30 to
11 p.m. on June 24, 2023.
II. Background Information and
Regulatory History
To view documents
mentioned in this preamble as being
available in the docket, go to https://
www.regulations.gov, type USCG–2023–
0204 in the search box and click
‘‘Search.’’ Next, in the Document Type
column, select ‘‘Supporting & Related
Material.’’
On February 2, 2023, Western Display
Fireworks, LTD notified the Coast Guard
that it will be conducting a fireworks
display from 10 to 10:30 p.m. on June
24, 2023. The fireworks are to be
launched from a site on land in the
Umatilla Marina, OR. Hazards from
firework displays include accidental
discharge of fireworks, dangerous
projectiles, and falling hot embers or
other debris. The Captain of the Port
Columbia River (COTP) has determined
that potential hazards associated with
the fireworks would be a safety concern
for anyone within a 400-foot radius of
the launch site before, during, or after
the fireworks display.
ADDRESSES:
Coast Guard
The Coast Guard is
establishing a temporary safety zone for
certain waters of Umatilla Marina. This
action is necessary to provide for the
SUMMARY:
16:01 May 22, 2023
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If
you have questions about this proposed
rulemaking, call or email LT Carlie
Gilligan, Waterways Management
Division, Sector Columbia River, Coast
Guard; telephone 503–240–9319, email
D13-SMB-MSUPortlandWWM@uscg.mil.
FOR FURTHER INFORMATION CONTACT:
Coast Guard, DHS.
ACTION: Temporary final rule.
AGENCY:
VerDate Sep<11>2014
safety of life on these navigable waters
near Umatilla, OR, during a fireworks
display on June 24th, 2023. This
regulation prohibits persons and vessels
from being in the safety zone unless
authorized by the Captain of the Port
Columbia River or a designated
representative.
SUPPLEMENTARY INFORMATION:
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CFR Code of Federal Regulations
COTP Captain of the Port Columbia River
DHS Department of Homeland Security
FR Federal Register
NPRM Notice of proposed rulemaking
§ Section
U.S.C. United States Code
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Federal Register / Vol. 88, No. 99 / Tuesday, May 23, 2023 / Rules and Regulations
]]>Agencies
[Federal Register Volume 88, Number 99 (Tuesday, May 23, 2023)]
[Rules and Regulations]
[Pages 32963-32966]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-10442]
=======================================================================
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
17 CFR Part 249
[Release No. 34-97478]
Technical Amendments to Form BD and Form BDW
AGENCY: Securities and Exchange Commission.
ACTION: Final rule; technical amendments.
-----------------------------------------------------------------------
SUMMARY: The Securities and Exchange Commission (``Commission'') is
making technical amendments to Form BD and Form BDW, the uniform
broker-dealer registration form and the uniform request for withdrawal
from broker-dealer registration, respectively. The technical amendments
will update the current list of self-regulatory organizations
(``SROs'') and government jurisdictions listed on Form BD and Form BDW,
and make conforming changes to the definition of ``jurisdiction'' in
the forms.
DATES: Effective Date: May 23, 2023.
FOR FURTHER INFORMATION CONTACT: Emily Westerberg Russell, Chief
Counsel, Joanne Rutkowski, Assistant Chief Counsel, Denise Landers,
Senior Special Counsel, or Bonnie Gauch, Senior Special Counsel, at
(202) 551-5550, Office of the Chief Counsel, Division of Trading and
Markets, Securities and Exchange Commission, 100 F Street NE,
Washington, DC 20549.
SUPPLEMENTARY INFORMATION: Form BD requires an applicant, or
registrant, to indicate the SRO and governmental jurisdiction with
which it is registering or registered. For a ``partial withdrawal,''
\1\ Form BDW requires the applicant to specify the SRO and governmental
jurisdiction from which it is withdrawing.\2\ The Commission is making
technical amendments to Item 2 of Form BD and Item 3 of Form BDW to
update the list of governmental jurisdictions to include Guam, and to
update the list of SROs to reflect the registrations of new national
securities exchanges or the business combinations and resulting name
changes of existing SROs since the last update of Form BD and Form BDW.
More specifically, we are updating the list of SROs to reflect these
changes to: BOX Exchange LLC (BOX),\3\ Cboe Exchange, Inc. (CBOE),\4\
Cboe BYX Exchange, Inc. (Cboe BYX),\5\ Cboe BZX Exchange, Inc. (Cboe
BZX),\6\ Cboe C2 Exchange, Inc. (C2),\7\ Cboe EDGA Exchange, Inc. (Cboe
EDGA),\8\ Cboe EDGX Exchange, Inc. (Cboe EDGX),\9\ Investors Exchange
LLC (IEX),\10\ Long-Term Stock Exchange, Inc. (LTSE),\11\ Nasdaq BX,
Inc. (BX),\12\ Nasdaq GEMX, LLC (GEMX),\13\ Nasdaq
[[Page 32964]]
ISE, LLC (ISE),\14\ Nasdaq MRX, LLC (MRX),\15\ Nasdaq PHLX LLC
(PHLX),\16\ The Nasdaq Stock Market LLC (NASDAQ),\17\ NYSE American LLC
(NYSE AMER),\18\ NYSE Chicago, Inc. (NYSE CHX),\19\ NYSE National, Inc.
(NYSE NAT),\20\ Miami International Securities Exchange, LLC
(MIAX),\21\ MIAX EMERALD, LLC (EMERALD),\22\ MIAX PEARL, LLC
(PEARL),\23\ and MEMX LLC (MEMX).\24\
---------------------------------------------------------------------------
\1\ A ``full withdrawal'' terminates registration with the
Commission, all SROs, and all jurisdictions. However, a ``partial
withdrawal'' terminates registration with specific jurisdictions and
SROs, but does not terminate registration with the Commission and at
least one SRO and jurisdiction.
\2\ Section 15(b) of the Securities Exchange Act of 1934
(``Exchange Act'') provides that broker-dealers can register and
withdraw from registration under procedures developed by the
Commission. Exchange Act Rule 15b1-1 requires that an application
for registration of a broker or dealer that is filed pursuant to
Section 15(b) of the Exchange Act be filed on Form BD in accordance
with the instructions on the form. Exchange Act Rule 15b6-1 requires
that a notice of withdrawal from registration as a broker or dealer
filed pursuant to Section 15(b) of the Exchange Act be filed on Form
BDW in accordance with the instructions on the form. See 15 U.S.C.
78o; 17 CFR 240.15b1-1 and 15b6-1. See also, Form BD and Form BDW 17
CFR 249.501 and 501a.
\3\ Exchange Act Release No. 83941 (Aug. 24, 2018), 83 FR 44320
(Aug. 30, 2018) (concerning name change from BOX Options Exchange
LLC to BOX Exchange LLC); Exchange Act Release No. 66871 (Apr. 27,
2012), 77 FR 26323 (May 3, 2012) (approving BOX Options Exchange LLC
application for registration as a national securities exchange).
\4\ Exchange Act Release No. 81981 (Oct. 30, 2017), 82 FR 51309
(Nov. 3, 2017) (concerning name change from Chicago Board Options
Exchange, Incorporated to Cboe Exchange, Inc.).
\5\ Exchange Act Release No. 81952 (Oct. 26, 2017), 82 FR 50725
(Nov. 1, 2017) (concerning name change from Bats BYX Exchange, Inc.
to Cboe BYX Exchange, Inc.); Exchange Act Release No. 79585 (Dec.
16, 2016), 81 FR 93988 (Dec. 22, 2016) (approving proposed rule
change in connection with a corporate transaction involving Bats
Global Markets, Inc. and CBOE Holdings, Inc.); Exchange Act Release
No. 77308 (Mar. 7, 2016), 81 FR 12975 (Mar. 11, 2016) (concerning
name change from BATS Y-Exchange, Inc. to Bats BYX Exchange, Inc.);
Exchange Act Release No. 62716 (Aug. 13, 2010), 75 FR 51295 (Aug.
19, 2010) (approving BATS Y-Exchange, Inc. application for
registration as a national securities exchange).
\6\ Exchange Act Release No. 81962 (Oct. 26, 2017), 82 FR 50711
(Nov. 1, 2017) (concerning name change from Bats BZX Exchange, Inc.
to Cboe BZX Exchange, Inc.); Exchange Act Release No. 79585 (Dec.
16, 2016), 81 FR 93988 (Dec. 22, 2016) (approving proposed rule
change in connection with a corporate transaction involving Bats
Global Markets, Inc. and CBOE Holdings, Inc.); Exchange Act Release
No. 77307 (Mar. 7, 2016), 81 FR 12996 (Mar. 11, 2016) (concerning
name change from BATS Exchange, Inc. to Bats BZX Exchange, Inc.);
Exchange Act Release No. 58375 (Aug. 18, 2008), 73 FR 49498 (Aug.
21, 2008) (approving BATS Exchange, Inc. application for
registration as a national securities exchange).
\7\ Exchange Act Release No. 81979 (Oct. 30, 2017), 82 FR 51317
(Nov. 3, 2017) (concerning name change from C2 Options Exchange,
Incorporated to Cboe C2 Exchange, Inc.); Exchange Act Release No.
61152 (Dec. 10, 2009), 74 FR 66699 (Dec. 16, 2009) (approving C2
Options Exchange, Incorporated application for registration as a
national securities exchange).
\8\ Exchange Act Release No. 81957 (Oct. 26, 2017), 82 FR 50716
(Nov. 1, 2017) (concerning name change from Bats EDGA Exchange, Inc.
to Cboe EDGA Exchange, Inc.); Exchange Act Release No. 79585 (Dec.
16, 2016), 81 FR 93988 (Dec. 22, 2016) (approving proposed rule
change in connection with a corporate transaction involving Bats
Global Markets, Inc. and CBOE Holdings, Inc.); Exchange Act Release
No. 77299 (Mar. 4, 2016), 81 FR 12759 (Mar. 10, 2016) (concerning
name change from EDGA Exchange, Inc. to Bats EDGA Exchange, Inc.);
Exchange Act Release No. 61698 (Mar. 12, 2010), 75 FR 13151 (Mar.
18, 2010) (approving EDGX Exchange, Inc. and EDGA Exchange, Inc.
applications for registration as national securities exchanges).
\9\ Exchange Act Release No. 81963 (Oct. 26, 2017), 82 FR 50697
(Nov. 1, 2017) (concerning name change from Bats EDGX Exchange, Inc.
to Cboe EDGX Exchange, Inc.); Exchange Act Release No. 79585 (Dec.
16, 2016), 81 FR 93988 (Dec. 22, 2016) (approving proposed rule
change in connection with a corporate transaction involving Bats
Global Markets, Inc. and CBOE Holdings, Inc.); Exchange Act Release
No. 77298 (Mar. 4, 2016), 81 FR 12757 (Mar. 10, 2016) (concerning
name change from EDGX Exchange, Inc. to Bats EDGX Exchange, Inc.);
Exchange Act Release No. 61698 (Mar. 12, 2010), 75 FR 13151 (Mar.
18, 2010) (approving EDGX Exchange, Inc. and EDGA Exchange, Inc.
applications for registration as national securities exchanges).
\10\ Exchange Act Release No. 78101 (June 17, 2016), 81 FR 41141
(June 23, 2016) (approving Investors Exchange LLC registration as a
national securities exchange).
\11\ Exchange Act Release No. 85828 (May 10, 2019), 84 FR 21841
(May 15, 2019) (approving Long-Term Stock Exchange, Inc.
registration as a national securities exchange).
\12\ Exchange Act Release No. 81948 (Oct. 25, 2017), 82 FR 50468
(Oct. 31, 2017) (concerning name change from NASDAQ BX, Inc. to
Nasdaq BX, Inc.); Exchange Act Release No. 76656 (Dec. 15, 2015), 80
FR 79381 (Dec. 21, 2015) (concerning name change from NASDAQ OMX BX,
Inc. to NASDAQ BX, Inc.); Exchange Act Release No. 60358 (July 21,
2009), 74 FR 37277 (July 28, 2009) (concerning name change from the
Boston Stock Exchange, Inc. to NASDAQ OMX BX, Inc.); Exchange Act
Release No. 58324 (Aug. 7, 2008), 73 FR 46936 (Aug. 12, 2008)
(approving proposed rule change in connection with the acquisition
of the Boston Stock Exchange, Inc. by The NASDAQ OMX Group, Inc.).
\13\ Exchange Act Release No. 80248 (Mar. 15, 2017), 82 FR 14547
(Mar. 21, 2017) (concerning name change from ISE Gemini, LLC to
Nasdaq GEMX, LLC); Exchange Act Release No. 71586 (Feb. 20, 2014),
79 FR 10861 (Feb. 26, 2014) (concerning name change from Topaz
Exchange, LLC to ISE Gemini, LLC); Exchange Act Release No. 70050
(July 26, 2013), 78 FR 46622 (Aug. 1, 2013) (approving Topaz
Exchange, LLC application for registration as a national securities
exchange).
\14\ Exchange Act Release No. 80325 (Mar. 29, 2017), 82 FR 16445
(Apr. 4, 2017) (concerning name change from International Securities
Exchange, LLC to Nasdaq ISE, LLC).
\15\ Exchange Act Release No. 80326 (Mar. 29, 2017), 82 FR 16460
(Apr. 4, 2017) (concerning name change from ISE Mercury, LLC to
Nasdaq MRX, LLC); Exchange Act Release No. 76998 (Jan. 29, 2016), 81
FR 6066 (Feb. 4, 2016) (approving ISE Mercury, LLC application for
registration as a national securities exchange).
\16\ Exchange Act Release No. 81938 (Oct. 24, 2017), 82 FR 50185
(Oct. 30, 2017) (concerning name change from NASDAQ PHLX LLC to
Nasdaq PHLX LLC); Exchange Act Release No. 76654 (Dec. 15, 2015), 80
FR 79396 (Dec. 21, 2015) (concerning name change from NASDAQ OMX
PHLX LLC to NASDAQ PHLX LLC); Exchange Act Release No. 62783 (Aug.
27, 2010), 75 FR 54204 (Sept. 3, 2010) (concerning the conversion of
NASDAQ OMX PHLX, Inc. to a limited liability company); Exchange Act
Release No. 58380 (Aug. 18, 2008), 73 FR 49728 (Aug. 22, 2008)
(concerning name change from the Philadelphia Stock Exchange, Inc.
to NASDAQ OMX PHLX, Inc.); Exchange Act Release No. 58179 (July 17,
2008), 73 FR 42874 (July 23, 2008) (approving proposed rule change
in connection with the acquisition of the Philadelphia Stock
Exchange, Inc. by The NASDAQ OMX Group, Inc.).
\17\ Exchange Act Release No. 81917 (Oct. 23, 2017), 82 FR 49879
(Oct. 27, 2017) (concerning name change from The NASDAQ Stock Market
LLC to The Nasdaq Stock Market LLC).
\18\ Exchange Act Release No. 80283 (Mar. 21, 2017), 82 FR 15244
(Mar. 27, 2017) (concerning name change from NYSE MKT LLC to NYSE
American LLC); Exchange Act Release No. 67037 (May 21, 2012), 77 FR
31415 (May 25, 2012) (concerning name change from NYSE Amex LLC to
NYSE MKT LLC); Exchange Act Release No. 59575 (Mar. 13, 2009), 74 FR
11803 (Mar. 19, 2009) (concerning name change from NYSE Alternext US
LLC to NYSE Amex LLC); Exchange Act Release No. 58673 (Sept. 29,
2008), 73 FR 57707 (Oct. 3, 2008) (approving proposed rule change in
connection with the acquisition of American Stock Exchange LLC by
NYSE Euronext and renaming as NYSE Alternext US LLC).
\19\ Exchange Act Release No. 84494 (Oct. 26, 2018), 83 FR 54953
(Nov. 1, 2018) (concerning name change from the Chicago Stock
Exchange, Inc. to NYSE Chicago, Inc.); Exchange Act Release No.
83635 (July 13, 2018), 83 FR 34182 (July 19, 2018) (approving
proposed rule change in connection with the indirect acquisition of
the Chicago Stock Exchange, Inc. by NYSE Group, Inc.).
\20\ Exchange Act Release No. 79902 (Jan. 30, 2017), 82 FR 9258
(Feb. 3, 2017) (approving proposed rule change in connection with
National Stock Exchange, Inc.'s acquisition by NYSE Group, Inc. and
renaming as NYSE National, Inc.).
\21\ Exchange Act Release No. Release No. 68341 (Dec. 3, 2012),
77 FR 73065 (Dec. 7, 2012) (approving Miami International Securities
Exchange, LLC application for registration as a national securities
exchange).
\22\ Exchange Act Release No. 84891 (Dec. 20, 2018), 83 FR 67421
(Dec. 28, 2018) (approving MIAX EMERALD, LLC application for
registration as a national securities exchange).
\23\ Exchange Act Release No. 79543 (Dec. 13, 2016), 81 FR 92901
(Dec. 20, 2016); (approving MIAX PEARL, LLC application for
registration as a national securities exchange).
\24\ Exchange Act Release No. 88806 (May 4, 2020), 85 FR 27451
(May 8, 2020) (approving MEMX LLC application for registration as a
national securities exchange).
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In addition, we are making conforming changes to the definition of
``jurisdiction'' to include Guam, a United States territory.
``Jurisdiction'' will be defined as: ``A state, the District of
Columbia, the Commonwealth of Puerto Rico, the U.S. Virgin Islands,
Guam, or any subdivision or regulatory body thereof.''
List of Subjects in 17 CFR Part 249
Broker-dealers, reporting and recordkeeping requirements,
Securities.
Statutory Authority
We are adopting the technical amendments to Forms BD and BDW under
the authority set forth in the Exchange Act and, in particular,
Sections 15(a), 15(b), 17(a), and 23(a) therein.\25\
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\25\ 15 U.S.C. 78o(a), 78o(b), 78q(a), and 78w(a).
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Text of Amendments
For the reasons set out in the preamble, 17 CFR part 249 is amended
as follows:
PART 249--FORMS, SECURITIES EXCHANGE ACT OF 1934
0
1. The general authority citation for part 249 continues to read as
follows:
Authority: 15 U.S.C. 78a et seq. and 7201 et seq.; 12 U.S.C.
5461 et seq.; 18 U.S.C. 1350; Sec. 953(b) Pub. L. 111-203, 124 Stat.
1904; Sec. 102(a)(3) Pub. L. 112-106, 126 Stat. 309 (2012), Sec. 107
Pub. L. 112-106, 126 Stat. 313 (2012), Sec. 72001 Pub. L. 114-94,
129 Stat. 1312 (2015), and secs. 2 and 3 Pub. L. 116-222, 134 Stat.
1063 (2020), unless otherwise noted.
* * * * *
0
2. Form BD (referenced in Sec. 249.501) is amended by:
0
a. In the Explanation of Terms, 1. General section, removing the words
``JURISDICTION--A state, the District of Columbia, the Commonwealth of
Puerto Rico, the U.S. Virgin Islands, or any subdivision or regulatory
body thereof.'' and add, in their place, the words ``JURISDICTION--A
state, the District of Columbia, the Commonwealth of Puerto Rico, the
U.S. Virgin Islands, Guam, or any subdivision or regulatory body
thereof.''; and
0
b. In Item 2, revising the SRO and Jurisdiction tables.
The revisions read as follows:
Note: The text of Form BD does not, and the amendments will not,
appear in the Code of Federal Regulations.
Form BD
* * * * *
2. * * *
[[Page 32965]]
[GRAPHIC] [TIFF OMITTED] TR23MY23.019
* * * * *
0
3. Form BDW (referenced in Sec. 249.501a) is amended by:
0
a. In the Explanation of Terms section, removing the words ``The term
JURISDICTION means a state, the District of Columbia, the Commonwealth
of Puerto Rico, the U.S. Virgin Islands, or any subdivision or
regulatory body thereof.'' and adding, in their place, the words ``The
term JURISDICTION means a state, the District of Columbia, the
Commonwealth of Puerto Rico, the U.S. Virgin Islands, Guam, or any
subdivision or regulatory body thereof.''; and
0
b. In Item 3, revising the SRO and Jurisdiction tables.
The revisions read as follows:
Note: The text of Form BDW does not, and the amendments will
not, appear in the Code of Federal Regulations.
Form BDW
* * * * *
3. * * *
[[Page 32966]]
[GRAPHIC] [TIFF OMITTED] TR23MY23.020
* * * * *
Dated: May 11, 2023.
J. Matthew DeLesDernier,
Deputy Secretary.
[FR Doc. 2023-10442 Filed 5-22-23; 8:45 am]
BILLING CODE 8011-01-P
