84396 Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 

1See Docket No. RM2018–3, Order Adopting 

Final Rules Relating to Non-Public Information, 

June 27, 2018, Attachment A at 19–22 (Order No. 

4679). 

1 15 U.S.C. 78s(b)(1). 

2 17 CFR 240.19b–4. 

3See infra note 4. 

4Exchange Act Release No. 90000, (Sep. 25, 

2020), 85 FR 62142 (Oct. 1, 2020) (File No. SR– 

FINRA–2020–030) (‘‘Notice’’). 

5See letter from Mignon McLemore, Assistant 

General Counsel, Office of General Counsel, FINRA, 

to Lourdes Gonzalez, Assistant Chief Counsel, 

Division of Trading and Markets, Commission, 

dated November 12, 2020. 

6See letter from Mignon McLemore, Assistant 

General Counsel, Office of General Counsel, FINRA, 

to Vanessa Countryman, Secretary, Commission, 

dated December 18, 2020. 

7 15 U.S.C. 78s(b)(2)(B). 

(Public Representative). Section II also 

establishes comment deadline(s) 

pertaining to each request. 

The public portions of the Postal 

Service’s request(s) can be accessed via 

the Commission’s website (http://

www.prc.gov). Non-public portions of 

the Postal Service’s request(s), if any, 

can be accessed through compliance 

with the requirements of 39 CFR 

3011.301.1

The Commission invites comments on 

whether the Postal Service’s request(s) 

in the captioned docket(s) are consistent 

with the policies of title 39. For 

request(s) that the Postal Service states 

concern market dominant product(s), 

applicable statutory and regulatory 

requirements include 39 U.S.C. 3622, 39 

U.S.C. 3642, 39 CFR part 3030, and 39 

CFR part 3040, subpart B. For request(s) 

that the Postal Service states concern 

competitive product(s), applicable 

statutory and regulatory requirements 

include 39 U.S.C. 3632, 39 U.S.C. 3633, 

39 U.S.C. 3642, 39 CFR part 3035, and 

39 CFR part 3040, subpart B. Comment 

deadline(s) for each request appear in 

section II. 

1. Docket No(s).: MC2021–50 and 

CP2021–52; Filing Title: USPS Request 

to Add Priority Mail Contract 685 to 

Competitive Product List and Notice of 

Filing Materials Under Seal; Filing 

Acceptance Date: December 18, 2020; 

Filing Authority: 39 U.S.C. 3642, 39 CFR 

3040.130 through 3040.135, and 39 CFR 

3035.105; Public Representative: 

Christopher C. Mohr; Comments Due: 

December 30, 2020. 

This Notice will be published in the 

Federal Register. 

Erica A. Barker, 

Secretary. 

[FR Doc. 2020–28580 Filed 12–23–20; 8:45 am] 

BILLING CODE 7710–FW–P 

POSTAL SERVICE 

International Product Change— 

International Priority Airmail, 

International Surface Air Lift, 

Commercial ePacket, Priority Mail 

Express International, Priority Mail 

International & First-Class Package 

International Service Agreement: 

Postal ServiceTM. 

ACTION: Notice. 

SUMMARY: The Postal Service gives 

notice of filing a request with the Postal 

Regulatory Commission to add an 

International Priority Airmail, 

International Surface Air Lift, 

Commercial ePacket, Priority Mail 

Express International, Priority Mail 

International & First-Class Package 

International Service contract to the list 

of Negotiated Service Agreements in the 

Competitive Product List in the Mail 

Classification Schedule. 

DATES: Date of notice: December 28, 

2020. 

FOR FURTHER INFORMATION CONTACT: 

Christopher C. Meyerson, (202) 268– 

7820. 

SUPPLEMENTARY INFORMATION: The 

United States Postal Service® hereby 

gives notice that, pursuant to 39 U.S.C. 

3642 and 3632(b)(3), on December 15, 

2020, it filed with the Postal Regulatory 

Commission a USPS Request to Add 

International Priority Airmail, 

International Surface Air Lift, 

Commercial ePacket, Priority Mail 

Express International, Priority Mail 

International & First-Class Package 

International Service Contract 1 to 

Competitive Product List. Documents 

are available at www.prc.gov, Docket 

Nos. MC2021–47 and CP2021–49. 

Ruth Stevenson, 

Chief Counsel, Federal Compliance. 

[FR Doc. 2020–28573 Filed 12–23–20; 8:45 am] 

BILLING CODE 7710–12–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–90734; File No. SR–FINRA– 

2020–030] 

Self-Regulatory Organizations; 

Financial Industry Regulatory 

Authority, Inc.; Notice of Filing of 

Amendment No. 1 and Order Instituting 

Proceedings To Determine Whether To 

Approve or Disapprove the Proposed 

Rule Change, as Modified by 

Amendment No. 1, To Amend the 

Codes of Arbitration Procedure 

Relating To Requests To Expunge 

Customer Dispute Information, 

Including Creating a Special Arbitrator 

Roster To Decide Certain 

Expungement Requests 

December 18, 2020. 

I. Introduction 

On September 22, 2020, the Financial 

Industry Regulatory Authority, Inc. 

(‘‘FINRA’’) filed with the Securities and 

Exchange Commission (‘‘Commission’’) 

the proposed rule change SR–FINRA– 

2020–030 (‘‘Proposed Rule Change’’) 

pursuant to Section 19(b)(1) of the 

Securities Exchange Act of 1934 

(‘‘Exchange Act’’) 1 and Rule 19b–4 2

thereunder to modify the current 

process relating to the expungement of 

customer dispute information.3 The 

Proposed Rule Change was published 

for public comment in the Federal 

Register on October 1, 2020.4 On 

November 12, 2020, 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 Proposed 

Rule Change to December 30, 2020.5 On 

December 18, 2020, FINRA responded 

to the comment letters received in 

response to the Notice and filed an 

amendment to modify the Proposed 

Rule Change (‘‘Amendment No. 1’’).6

The Commission is publishing this 

order pursuant to Section 19(b)(2)(B) of 

the Exchange Act 7 to solicit comments 

on Amendment No. 1 from interested 

persons and to institute proceedings to 

determine whether to approve or 

disapprove the Proposed Rule Change, 

as modified by Amendment No. 1. 

II. Description of the Proposed Rule 

Change, as Modified by Amendment 

No. 1 

FINRA is proposing to amend the 

Code of Arbitration Procedure for 

Customer Disputes (‘‘Customer Code’’) 

and the Code of Arbitration Procedure 

for Industry Disputes (‘‘Industry Code’’) 

(together, ‘‘Codes’’) to modify the 

current process relating to the 

expungement of customer dispute 

information. Specifically, the Proposed 

Rule Change would amend the Codes to: 

(1) Impose requirements on 

expungement requests (a) filed during 

an investment-related, customer 

initiated arbitration (‘‘customer 

arbitration’’) by an associated person, or 

by a party to the customer arbitration 

on-behalf-of an associated person, or (b) 

filed by an associated person separate 

from a customer arbitration (‘‘straight-in 

request’’); (2) establish a roster of 

arbitrators with enhanced training and 

experience from which a three-person 


tkelley on DSKBCP9HB2PROD with NOTICES
Federal Register / Vol. 85, No. 248 / Monday, December 28, 2020 / Notices 84397 

8See Guidance, available at https:// 

www.finra.org/arbitration-and-mediation/noticearbitrators-and-parties-expanded-expungementguidance. 

9 15 U.S.C. 78s(b)(2)(B). 

10 Id. 

11Section 19(b)(2) of the Act, as amended by the 

Securities Acts Amendments of 1975, Pub. L. 94– 

29, 89 Stat. 97 (1975), grants the Commission 

flexibility to determine what type of proceeding— 

either oral or notice and opportunity for written 

comments—is appropriate for consideration of a 

particular proposal by a self-regulatory 

organization. See Securities Acts Amendments of 

1975, Report of the Senate Committee on Banking, 

Housing and Urban Affairs to Accompany S. 249, 

S. Rep. No. 75, 94th Cong., 1st Sess. 30 (1975). 

12 17 CFR 200.30–3(a)(12); 17 CFR 200.30– 

3(a)(57). 

1Citadel LLC and CEIF LLC, Investment Company 

Act Release Nos. 30589 (July 3, 2013) (notice) and 

30637 (July 30, 2013) (order). 

panel would be randomly selected to 

decide straight-in requests; (3) establish 

procedural requirements for 

expungement hearings; and (4) codify 

and update the best practices of the 

Notice to Arbitrators and Parties on 

Expanded Expungement Guidance 

(‘‘Guidance’’) that arbitrators and parties 

must follow.8 In addition, the Proposed 

Rule Change would amend the 

Customer Code to specify procedures for 

requesting expungement of customer 

dispute information arising from 

simplified arbitrations. The Proposed 

Rule Change would also amend the 

Codes to establish requirements for 

notifying state securities regulators and 

customers of expungement requests. 

III. Proceedings To Determine Whether 

To Approve or Disapprove File No. SR– 

FINRA–2020–030 and Grounds for 

Disapproval Under Consideration 

The Commission is instituting 

proceedings pursuant to Section 

19(b)(2)(B) of the Exchange Act to 

determine whether the Proposed Rule 

Change, as modified by Amendment 

No.1, should be approved or 

disapproved.9 Institution of proceedings 

is appropriate at this time in view of the 

legal and policy issues raised by the 

Proposed Rule Change, as modified by 

Amendment No.1. Institution of 

proceedings does not indicate that the 

Commission has reached any 

conclusions with respect to the 

Proposed Rule Change, as modified by 

Amendment No.1. 

Pursuant to Section 19(b)(2)(B) of the 

Exchange Act,10 the Commission is 

providing notice of the grounds for 

disapproval under consideration. The 

Commission is instituting proceedings 

to allow for additional analysis and 

input concerning whether the Proposed 

Rule Change, as modified by 

Amendment No.1, is consistent with the 

Exchange Act and the rules thereunder. 

IV. Request for Written Comments 

The Commission requests that 

interested persons provide written 

submissions of their views, data, and 

arguments with respect to the issues 

identified above, as well as any other 

concerns they may have with the 

Proposed Rule Change, as modified by 

Amendment No. 1. In particular, the 

Commission invites the written views of 

interested persons concerning whether 

the Proposed Rule Change, as modified 

by Amendment No. 1, is consistent with 

the Exchange Act and the rules 

thereunder. 

Although there do not appear to be 

any issues relevant to approval or 

disapproval that would be facilitated by 

an oral presentation of views, data, and 

arguments, the Commission will 

consider, pursuant to Rule 19b–4, any 

request for an opportunity to make an 

oral presentation.11

Interested persons are invited to 

submit written data, views, and 

arguments regarding whether the 

Proposed Rule Change, as modified by 

Amendment No. 1, should be approved 

or disapproved by January 19, 2021. 

Any person who wishes to file a rebuttal 

to any other person’s submission must 

file that rebuttal by February 1, 2021. 

Comments may be submitted by any 

of the following methods: 

Electronic Comments 

• Use the Commission’s internet 

comment form (http://www.sec.gov/ 

rules/sro.shtml); or 

• Send an email to rule-comments@

sec.gov. Please include File No. SR– 

FINRA–2020–030 on the subject line. 

Paper Comments 

• Send paper comments in triplicate 

to Secretary, Securities and Exchange 

Commission, 100 F Street NE, 

Washington, DC 20549–1090. 

All submissions should refer to File No. 

SR- FINRA–2020–030. This file number 

should be included on the subject line 

if email is used. To help the 

Commission process and review your 

comments more efficiently, please use 

only one method. The Commission will 

post all comments on the Commission’s 

internet website (http://www.sec.gov/ 

rules/sro.shtml). Copies of the 

submission, all subsequent 

amendments, all written statements 

with respect to the Proposed Rule 

Change, as modified by Amendment No. 

1, that are filed with the Commission, 

and all written communications relating 

to the Proposed Rule Change, as 

modified by Amendment No. 1, between 

the Commission and any person, other 

than those that may be withheld from 

the public in accordance with the 

provisions of 5 U.S.C. 552, will be 

available for website viewing and 

printing in the Commission’s Public 

Reference Room, 100 F Street, NE, 

Washington, DC 20549, on official 

business days between the hours of 

10:00 a.m. and 3:00 p.m. Copies of such 

filing also will be available for 

inspection and copying at the principal 

office of FINRA. 

All comments received will be posted 

without change. 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 

No. SR–FINRA–2020–030 and should be 

submitted on or before January 19, 2021. 

If comments are received, any rebuttal 

comments should be submitted on or 

before February 1, 2021. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.12

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2020–28509 Filed 12–23–20; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Investment Company Act Release No. 

34143; File No. 813–00397] 

Citadel Enterprise Americas LLC 

(formerly Citadel LLC) and CEIF LLC; 

Notice of Application 

December 18, 2020. 

AGENCY: Securities and Exchange 

Commission (‘‘Commission’’). 

ACTION: Notice. 

Notice of application for an order 

under sections 6(b) and 6(e) of the 

Investment Company Act of 1940 (the 

‘‘Act’’) granting an exemption from all 

provisions of the Act, except section 9 

and sections 36 through 53 and the rules 

and regulations under those sections. 

With respect to sections 17 and 30 of the 

Act, and the rules and regulations 

thereunder, and rule 38a-1 under the 

Act, the exemption is limited as set 

forth in the application. 

SUMMARY OF APPLICATION: Applicants 

request a superseding order under 

sections 6(b) and 6(e) of the Act that 

amends and restates an existing order 

(‘‘Existing Order’’) 1 to exempt certain 

limited liability companies, limited 

partnerships, companies and other 


tkelley on DSKBCP9HB2PROD with NOTICES