Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the Fee Schedule To Modify Certain Connectivity Fees and Ports Fees, 71051 [2023-22505]

Download as PDF Federal Register / Vol. 88, No. 197 / Friday, October 13, 2023 / Notices Reference Room, 100 F Street NE, Washington, DC 20549 on official business days between the hours of 10 a.m. and 3 p.m. Copies of the filing also will be available for inspection and copying at the principal office of the Exchange. Do not include personal identifiable information in submissions; you should submit only information that you wish to make available publicly. We may redact in part or withhold entirely from publication submitted material that is obscene or subject to copyright protection. All submissions should refer to file number SR–ISE–2023–22 and should be submitted on or before November 3, 2023. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.8 Sherry R. Haywood, Assistant Secretary. [FR Doc. 2023–22505 Filed 10–12–23; 8:45 am] BILLING CODE 8011–01–P For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.23 J. Lynn Taylor, Assistant Secretary. SECURITIES AND EXCHANGE COMMISSION [FR Doc. 2023–22611 Filed 10–12–23; 8:45 am] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the FINRA Codes of Arbitration Procedure and Code of Mediation Procedure To Revise and Restate the Qualifications for Representatives in Arbitrations and Mediations BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–98691; File No. SR– EMERALD–2023–19] Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Withdrawal of Proposed Rule Change To Amend the Fee Schedule To Modify Certain Connectivity Fees and Ports Fees October 5, 2023. On August 8, 2023, MIAX Emerald, LLC (‘‘MIAX Emerald’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘Commission’’), pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’),1 and Rule 19b–4 thereunder,2 a proposed rule change to amend certain connectivity and port fees. The proposed rule change was immediately effective upon filing with the Commission pursuant to section 19(b)(3)(A) of the Act.3 The proposed rule change was published for comment in the Federal Register on August 25, 2023.4 On September 29, 2023, pursuant to section 19(b)(3)(C) of the Act,5 the 23 17 CFR 200.30–3(a)(12), (59). U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. 3 15 U.S.C. 78s(b)(3)(A). A proposed rule change may take effect upon filing with the Commission if it is designated by the exchange as ‘‘establishing or changing a due, fee, or other charge imposed by the self-regulatory organization on any person, whether or not the person is a member of the self-regulatory organization.’’ 15 U.S.C. 78s(b)(3)(A)(ii). 4 See Securities Exchange Act Release No. 98176 (August 21, 2023), 88 FR 58342. 5 15 U.S.C. 78s(b)(3)(C). 1 15 lotter on DSK11XQN23PROD with NOTICES1 Commission: (1) temporarily suspended the proposed rule change; and (2) instituted proceedings under Section 19(b)(2)(B) of the Act 6 to determine whether to approve or disapprove the proposed rule change.7 On October 2, 2023, the Exchange withdrew the proposed rule change (SR–EMERALD– 2023–19). VerDate Sep<11>2014 16:55 Oct 12, 2023 Jkt 262001 [Release No. 34–98703; File No. SR–FINRA– 2023–013] October 6, 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 October 5, 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 amend FINRA Rule 12208(b) through (d) of the Code of Arbitration Procedure for Customer Disputes (‘‘Customer Code’’), FINRA Rule 13208(b) through (d) of the Code of Arbitration Procedure for Industry Disputes (‘‘Industry Code’’) and FINRA Rule 14106(b) through (d) of the Code of Mediation Procedure (‘‘Mediation Code’’ and collectively, ‘‘Codes’’), to 6 15 U.S.C. 78s(b)(2)(B). Securities Exchange Act Release No. 98656, 88 FR 68680 (October 4, 2023). 8 17 CFR 200.30–3(a)(12). 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. 7 See PO 00000 Frm 00132 Fmt 4703 Sfmt 4703 71051 revise and restate the qualifications for representatives in arbitrations and mediations in the forum administered by FINRA Dispute Resolution Services (‘‘DRS’’); to disallow compensated representatives who are not attorneys from representing parties in the DRS forum; to codify that a student enrolled in a law school participating in a law school clinical program or its equivalent and practicing under the supervision of an attorney may represent investors in the DRS forum; and to clarify the circumstances in which any person, including attorneys, would be prohibited from representing parties in the DRS forum. The text of the proposed rule change is available on FINRA’s website at https://www.finra.org, at the principal office of FINRA 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, FINRA 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. FINRA 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 Background The Codes currently permit parties to arbitrations and mediations in the DRS forum to represent themselves, to be represented by an attorney at law in good standing or to be represented by a non-attorney representative (‘‘NAR’’).3 Some NARs receive compensation in connection with their representation of parties (‘‘compensated NARs’’). Compensated NARs receive monetary or non-monetary compensation in connection with the representation of parties—including, for example, advance fees, consulting fees, payments in kind, referral fees or fees pursuant to a contingent fee arrangement. Other NARs, often friends or relatives of a party, may assist parties with their cases without compensation (‘‘uncompensated NARs’’). In addition, although not specifically provided for in 3 See E:\FR\FM\13OCN1.SGM FINRA Rules 12208, 13208 and 14106. 13OCN1

Agencies

[Federal Register Volume 88, Number 197 (Friday, October 13, 2023)]
[Notices]
[Page 71051]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-22505]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-98691; File No. SR-EMERALD-2023-19]


Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of 
Withdrawal of Proposed Rule Change To Amend the Fee Schedule To Modify 
Certain Connectivity Fees and Ports Fees

October 5, 2023.
    On August 8, 2023, MIAX Emerald, LLC (``MIAX Emerald'' or 
``Exchange'') filed with the Securities and Exchange Commission 
(``Commission''), pursuant to section 19(b)(1) of the Securities 
Exchange Act of 1934 (``Act''),\1\ and Rule 19b-4 thereunder,\2\ a 
proposed rule change to amend certain connectivity and port fees.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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    The proposed rule change was immediately effective upon filing with 
the Commission pursuant to section 19(b)(3)(A) of the Act.\3\ The 
proposed rule change was published for comment in the Federal Register 
on August 25, 2023.\4\ On September 29, 2023, pursuant to section 
19(b)(3)(C) of the Act,\5\ the Commission: (1) temporarily suspended 
the proposed rule change; and (2) instituted proceedings under Section 
19(b)(2)(B) of the Act \6\ to determine whether to approve or 
disapprove the proposed rule change.\7\ On October 2, 2023, the 
Exchange withdrew the proposed rule change (SR-EMERALD-2023-19).
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    \3\ 15 U.S.C. 78s(b)(3)(A). A proposed rule change may take 
effect upon filing with the Commission if it is designated by the 
exchange as ``establishing or changing a due, fee, or other charge 
imposed by the self-regulatory organization on any person, whether 
or not the person is a member of the self-regulatory organization.'' 
15 U.S.C. 78s(b)(3)(A)(ii).
    \4\ See Securities Exchange Act Release No. 98176 (August 21, 
2023), 88 FR 58342.
    \5\ 15 U.S.C. 78s(b)(3)(C).
    \6\ 15 U.S.C. 78s(b)(2)(B).
    \7\ See Securities Exchange Act Release No. 98656, 88 FR 68680 
(October 4, 2023).
    \8\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\8\
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-22505 Filed 10-12-23; 8:45 am]
BILLING CODE 8011-01-P
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