Justia Agencies And Commissions Securities And Exchange Commission In the Matter of the Financial Industry Regulatory Authority, Inc.; Order Scheduling Filing of Statements On Review Regarding an Order Approving 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 (File No. SR-FINRA-2023-013), 25676-25677 [2024-07672]

In the Matter of the Financial Industry Regulatory Authority, Inc.; Order Scheduling Filing of Statements On Review Regarding an Order Approving 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 (File No. SR-FINRA-2023-013), 25676-25677 [2024-07672]

Download as PDF 25676 Federal Register / Vol. 89, No. 71 / Thursday, April 11, 2024 / Notices funded project will be located within an FFRMS floodplain, based on the CISA or FVA. The website also includes a number of resources that have undergone interagency review: • a video on determining the FFRMS floodplain • Federal Flood Standard Support Tool User Manual • FFRMS Interim Flood Mapping Data Development Methodology report • 2023 CISA State of the Science Report • 2023 FFRMS Floodplain Determination Job Aid • information on nature-based solutions that Federal and non-Federal partners could use in their efforts to identify practicable alternatives and minimization techniques. Request for Comment While OSTP invites all comments responsive to this request for comments, of key interest are: (a) feedback on the functionality of the Federal Flood Standard Support Tool in providing a user-friendly visual representation and actionable information on FFRMS approaches for federally funded projects; (b) insights on potential training and/or technical assistance needs associated with use of the Federal Flood Standard Support Tool; and (c) suggestions for clarifying the communication of the flood mapping data development methodology. Please be specific in comments provided and/ or recommendations for changes to the digital resources. Response to this Request for Comments is voluntary. Comments on the beta version of the Federal Flood Standard Support website and Tool will be considered as modifications are made to the website and Tool. Please note, as this is the beta release, over the course of the coming months, additional data will be incorporated to provide more expansive coverage. Dated: April 8, 2024. Stacy Murphy, Deputy Chief Operations Officer/Security Officer. [FR Doc. 2024–07721 Filed 4–10–24; 8:45 am] BILLING CODE 3270–F1–P khammond on DSKJM1Z7X2PROD with NOTICES SECURITIES AND EXCHANGE COMMISSION [SEC File No. 270–771, OMB Control No. 3235–0752] Proposed Collection; Comment Request; Extension: Rule 18a–9 Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of FOIA Services, VerDate Sep<11>2014 16:50 Apr 10, 2024 Jkt 262001 100 F Street NE, Washington, DC 20549–2736 Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (‘‘PRA’’) (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (‘‘Commission’’) is soliciting comments on the existing collection of information provided for in Rule 18a–9 (17 CFR 240.18a–9), under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). The Commission plans to submit this existing collection of information to the Office of Management and Budget (‘‘OMB’’) for extension and approval. Rule 18a–9, which is modeled on Exchange Act Rule 17–13, establishes a securities count program for securitybased swap dealers not dually registered as a broker-dealer or regulated by a prudential regulator (‘‘stand-alone SBSDs’’). Specifically, Rule 18a–9 requires stand-alone SBSDs to examine and count the securities they physically hold, account for the securities that are subject to their control and direction but are not in their physical possession, verify the locations of securities under certain circumstances, and compare the results of the count and verification with their records. Stand-alone SBSDs are required to perform a securities count each quarter, either as of a date certain or on a cyclical basis. Rule 18a–9 requires stand-alone SBSDs to note any discrepancies between the count and the firm’s records, and to record in the firm’s record any discrepancies that remain unresolved seven business days after the date of the examination, count, and verification. The Commission estimates that the total hour burden under Rule 18a–6 is approximately 1,100 hours per year. Written comments are invited on: (a) whether the proposed collection of information is necessary for the proper performance of the functions of the Commission, including whether the information shall have practical utility; (b) the accuracy of the Commission’s estimates of the burden of the proposed collection of information; (c) ways to enhance the quality, utility, and clarity of the information collected; and (d) ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology. Consideration will be given to comments and suggestions submitted by June 10, 2024. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. PO 00000 Frm 00119 Fmt 4703 Sfmt 4703 Please direct your written comments to: David Bottom, Director/Chief Information Officer, Securities and Exchange Commission, c/o John Pezzullo, 100 F Street NE, Washington, DC 20549, or send an email to: PRA_ Mailbox@sec.gov. Dated: April 8, 2024. Sherry R. Haywood, Assistant Secretary. [FR Doc. 2024–07695 Filed 4–10–24; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 99915/April 8, 2024] In the Matter of the Financial Industry Regulatory Authority, Inc.; Order Scheduling Filing of Statements On Review Regarding an Order Approving 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 (File No. SR–FINRA–2023–013) On October 5, 2023, the Financial Industry Regulatory Authority, Inc. (‘‘FINRA’’) filed with the Securities and Exchange Commission (‘‘Commission’’), pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Exchange Act’’) 1 and Rule 19b–4 thereunder,2 a proposed rule change to amend the FINRA Code of Arbitration Procedure for Customer Disputes, the Code of Arbitration Procedure for Industry Disputes, and the Code of Mediation Procedure, to revise and restate the qualifications for representatives in arbitrations and mediations in the forum administered by FINRA Dispute Resolution Services. The proposed rule change was published for public comment in the Federal Register on October 13, 2023.3 The public comment period closed on November 3, 2023. The Commission received comment letters related to this filing.4 On November 9, 2023, FINRA consented to an extension of the time period in which the Commission must approve the proposed rule change, disapprove the proposed rule change, or institute proceedings to determine whether to approve or disapprove the 1 See 15 U.S.C. 78s(b)(1). 17 CFR 240.19b–4. 3 See Exchange Act Release No. 98703 (Oct. 6, 2023), 88 FR 71051 (Oct. 13, 2023) (File No. SR– FINRA–2023–013) (‘‘Notice’’). 4 The comment letters are available at https:// www.sec.gov/comments/sr-finra-2023-013/ srfinra2023013.htm. 2 See E:\FR\FM\11APN1.SGM 11APN1 25677 Federal Register / Vol. 89, No. 71 / Thursday, April 11, 2024 / Notices proposed rule change to January 11, 2024.5 On January 8, 2024, FINRA responded to the comment letters received in response to the Notice.6 On January 11, 2024, the Division of Trading and Markets (‘‘Division’’), pursuant to delegated authority,7 issued an order approving the proposed rule change.8 On January 19, 2024, the Deputy Secretary of the Commission notified FINRA that, pursuant to Commission Rule of Practice 431,9 the Commission would review the Division’s action pursuant to delegated authority and that the Division’s action pursuant to delegated authority was stayed until the Commission orders otherwise.10 Accordingly, it is ordered, pursuant to Commission Rule of Practice 431, that on or before May 8, 2024, any party or other person may file a statement in support of, or in opposition to, the action made pursuant to delegated authority. It is further ordered that the order approving proposed rule change SR– FINRA–2023–013 shall remain stayed pending further order of the Commission. By the Commission. Sherry R. Haywood, Assistant Secretary. [FR Doc. 2024–07672 Filed 4–10–24; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–99913; File No. SR–BX– 2024–012] Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange’s Pricing Schedule at Options 7, Section 2(1) April 5, 2024. 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 April 1, 2024, Nasdaq BX, Inc. (‘‘BX’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) the proposed rule change described in Items I, II, and III below, which Items have been prepared by the Exchange. 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 the Exchange’s Pricing Schedule at Options 7, Section 2(1). The text of the proposed rule change is available on the Exchange’s website at https://listingcenter.nasdaq.com/ rulebook/bx/rules, 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 Exchange 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. The Exchange 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 The Exchange proposes to amend its Pricing Schedule at Options 7, Section 2(1) to establish a number of incentives for Lead Market Makers (‘‘LMMs’’),3 Market Makers (‘‘MMs’’),4 and Customers.5 Today, the Exchange assesses the following fees and rebates in Penny and Non-Penny Symbols: PENNY SYMBOLS Market participant Maker rebate Lead Market Maker .................................................................................................................................................. Market Maker ........................................................................................................................................................... Non-Customer .......................................................................................................................................................... Firm .......................................................................................................................................................................... Customer ................................................................................................................................................................. ($0.24) (0.20) (0.12) (0.12) (0.30) Taker fee $0.50 0.50 0.50 0.50 0.40 NON-PENNY SYMBOLS Maker rebate/ fee Market participant khammond on DSKJM1Z7X2PROD with NOTICES Lead Market Maker .................................................................................................................................................. Market Maker ........................................................................................................................................................... Non-Customer .......................................................................................................................................................... Firm .......................................................................................................................................................................... 5 See letter from Kristine Vo, Assistant General Counsel, FINRA, to Lourdes Gonzalez, Assistant Chief Counsel, Division of Trading and Markets, Commission, dated Nov. 9, 2023, https:// www.finra.org/sites/default/files/2023-11/SRFINRA-2023-013-ExtensionNo1.pdf. 6 See letter from Kristine Vo, Assistant General Counsel, Office of General Counsel, FINRA, to Vanessa Countryman, Secretary, Commission, dated January 8, 2024, https://www.sec.gov/comments/srfinra-2023-013/srfinra2023013-366519-893662.pdf. 7 See 17 CFR 200.30–3(a)(12). 8 See Exchange Act Release No. 99335 (Jan. 11, 2024), 89 FR 3481 (Jan. 18, 2024). VerDate Sep<11>2014 16:50 Apr 10, 2024 Jkt 262001 9 See 17 CFR 201.431. letter from J. Matthew DeLesDernier, Deputy Secretary, Commission, to Kristine Vo, Assistant General Counsel, FINRA, dated Jan. 19, 2024, https://www.sec.gov/files/rules/sro/finra/ 2024/34-99335-letter.pdf. 1 15 U.S.C. 78s(b)(1). 2 CFR 240.19b–4. 3 The term ‘‘Lead Market Maker’’ or (‘‘LMM’’) applies to a registered BX Options Market Maker that is approved pursuant to Options 2, Section 3 to be the LMM in an options class (options classes). 4 The term ‘‘BX Options Market Maker’’ or (‘‘M’’) is a Participant that has registered as a Market 10 See PO 00000 Frm 00120 Fmt 4703 Sfmt 4703 ($0.45) (0.40) 0.45 0.45 Taker fee $1.25 1.25 1.25 1.25 Maker on BX Options pursuant to Options 2, Section 1, and must also remain in good standing pursuant to Options 2, Section 9. In order to receive Market Maker pricing in all securities, the Participant must be registered as a BX Options Market Maker in at least one security. 5 The term ‘‘Customer’’ or (‘‘C’’) applies to any transaction that is identified by a Participant for clearing in the Customer range at The Options Clearing Corporation (‘‘OCC’’) which is not for the account of broker or dealer or for the account of a ‘‘Professional’’ (as that term is defined in Options 1, Section 1(a)(48)). E:\FR\FM\11APN1.SGM 11APN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 89, Number 71 (Thursday, April 11, 2024)]
[Notices]
[Pages 25676-25677]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-07672]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 99915/April 8, 2024]

In the Matter of the Financial Industry Regulatory Authority,
Inc.; Order Scheduling Filing of Statements On Review Regarding an
Order Approving 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 (File No. SR-FINRA-2023-013)

On October 5, 2023, the Financial Industry Regulatory Authority,
Inc. (``FINRA'') filed with the Securities and Exchange Commission
(``Commission''), pursuant to section 19(b)(1) of the Securities
Exchange Act of 1934 (``Exchange Act'') \1\ and Rule 19b-4
thereunder,\2\ a proposed rule change to amend the FINRA Code of
Arbitration Procedure for Customer Disputes, the Code of Arbitration
Procedure for Industry Disputes, and the Code of Mediation Procedure,
to revise and restate the qualifications for representatives in
arbitrations and mediations in the forum administered by FINRA Dispute
Resolution Services. The proposed rule change was published for public
comment in the Federal Register on October 13, 2023.\3\ The public
comment period closed on November 3, 2023. The Commission received
comment letters related to this filing.\4\ On November 9, 2023, FINRA
consented to an extension of the time period in which the Commission
must approve the proposed rule change, disapprove the proposed rule
change, or institute proceedings to determine whether to approve or
disapprove the

[[Page 25677]]

proposed rule change to January 11, 2024.\5\ On January 8, 2024, FINRA
responded to the comment letters received in response to the Notice.\6\
---------------------------------------------------------------------------

\1\ See 15 U.S.C. 78s(b)(1).
\2\ See 17 CFR 240.19b-4.
\3\ See Exchange Act Release No. 98703 (Oct. 6, 2023), 88 FR
71051 (Oct. 13, 2023) (File No. SR-FINRA-2023-013) (``Notice'').
\4\ The comment letters are available at https://www.sec.gov/comments/sr-finra-2023-013/srfinra2023013.htm.
\5\ See letter from Kristine Vo, Assistant General Counsel,
FINRA, to Lourdes Gonzalez, Assistant Chief Counsel, Division of
Trading and Markets, Commission, dated Nov. 9, 2023, https://www.finra.org/sites/default/files/2023-11/SR-FINRA-2023-013-ExtensionNo1.pdf.
\6\ See letter from Kristine Vo, Assistant General Counsel,
Office of General Counsel, FINRA, to Vanessa Countryman, Secretary,
Commission, dated January 8, 2024, https://www.sec.gov/comments/sr-finra-2023-013/srfinra2023013-366519-893662.pdf.
---------------------------------------------------------------------------

On January 11, 2024, the Division of Trading and Markets
(``Division''), pursuant to delegated authority,\7\ issued an order
approving the proposed rule change.\8\ On January 19, 2024, the Deputy
Secretary of the Commission notified FINRA that, pursuant to Commission
Rule of Practice 431,\9\ the Commission would review the Division's
action pursuant to delegated authority and that the Division's action
pursuant to delegated authority was stayed until the Commission orders
otherwise.\10\
---------------------------------------------------------------------------

\7\ See 17 CFR 200.30-3(a)(12).
\8\ See Exchange Act Release No. 99335 (Jan. 11, 2024), 89 FR
3481 (Jan. 18, 2024).
\9\ See 17 CFR 201.431.
\10\ See letter from J. Matthew DeLesDernier, Deputy Secretary,
Commission, to Kristine Vo, Assistant General Counsel, FINRA, dated
Jan. 19, 2024, https://www.sec.gov/files/rules/sro/finra/2024/34-99335-letter.pdf.
---------------------------------------------------------------------------

Accordingly, it is ordered, pursuant to Commission Rule of Practice
431, that on or before May 8, 2024, any party or other person may file
a statement in support of, or in opposition to, the action made
pursuant to delegated authority.
It is further ordered that the order approving proposed rule change
SR-FINRA-2023-013 shall remain stayed pending further order of the
Commission.

By the Commission.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2024-07672 Filed 4-10-24; 8:45 am]
BILLING CODE 8011-01-P

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