Federal Register / Vol. 88, No. 191 / Wednesday, October 4, 2023 / Notices 68837 

23 17 CFR 200.30–3(a)(12). 

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

2 15 U.S.C. 78a. 

3 17 CFR 240.19b–4. 

4For purposes of this filing, Nasdaq and Nasdaq 

BX are referred to collectively as the ‘‘Nasdaq 

Exchanges.’’ Nasdaq General 2, Section 6(a) and 

Nasdaq BX General 2, Section 6(a) are referred to 

collectively as the ‘‘Nasdaq Exchanges’ Rules.’’ 

Additionally, the Exchange does not 

believe this proposed rule change will 

impose any burden on intermarket 

competition that is not necessary or 

appropriate in furtherance of the 

purposes of the Act, because it will 

address potential manipulative schemes 

and adverse market impacts 

surrounding the use of options. 

C. Self-Regulatory Organization’s 

Statement on Comments on the 

Proposed Rule Change Received From 

Members, Participants, or Others 

The Exchange neither solicited nor 

received comments on the proposed 

rule change. 

III. Date of Effectiveness of the 

Proposed Rule Change and Timing for 

Commission Action 

Within 45 days of the date of 

publication of this notice in the Federal 

Register or within such longer period 

up to 90 days (i) as the Commission may 

designate if it finds such longer period 

to be appropriate and publishes its 

reasons for so finding or (ii) as to which 

the Exchange consents, the Commission 

will: 

A. by order approve or disapprove 

such proposed rule change, or 

B. institute proceedings to determine 

whether the proposed rule change 

should be disapproved. 

IV. Solicitation of Comments 

Interested persons are invited to 

submit written data, views and 

arguments concerning the foregoing, 

including whether the proposed rule 

change is consistent with the Act. 

Comments may be submitted by any of 

the following methods: 

Electronic Comments 

• Use the Commission’s internet 

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

rules/sro.shtml); or 

• Send an email to rule-comments@

sec.gov. Please include file number SR– 

CBOE–2023–049 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 

number SR–CBOE–2023–049. 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 (https://www.sec.gov/ 

rules/sro.shtml). Copies of the 

submission, all subsequent 

amendments, all written statements 

with respect to the proposed rule 

change that are filed with the 

Commission, and all written 

communications relating to the 

proposed rule change 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 

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–CBOE–2023–049 and should be 

submitted on or before October 25, 

2023. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.23

Sherry R. Haywood, 

Assistant Secretary. 

[FR Doc. 2023–21939 Filed 10–3–23; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–98620; File No. SR– 

NYSEARCA–2023–66] 

Self-Regulatory Organizations; NYSE 

Arca, Inc.; Notice of Filing and 

Immediate Effectiveness of Proposed 

Rule Change To Amend Rule 0 

September 28, 2023. 

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

Securities Exchange Act of 1934 

(‘‘Act’’) 2 and Rule 19b–4 thereunder,3

notice is hereby given that on 

September 27, 2023, NYSE Arca, Inc. 

(‘‘NYSE Arca’’ or the ‘‘Exchange’’) filed 

with the Securities and Exchange 

Commission (the ‘‘Commission’’) the 

proposed rule change as described in 

Items I and II below, which Items have 

been prepared by the self-regulatory 

organization. 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 

Rule 0 (Regulation of the Exchange, OTP 

Holders, OTP Firms and ETP Holders) 

to adopt new rule text based on based 

on [sic] Rule 0 (Regulation of the 

Exchange and its Member 

Organizations) of its affiliate New York 

Stock Exchange LLC. The proposed rule 

change is available on the Exchange’s 

website at www.nyse.com, 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 

self-regulatory organization 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 those 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 parts of such 

statements. 

A. Self-Regulatory Organization’s 

Statement of the Purpose of, and the 

Statutory Basis for, the Proposed Rule 

Change 

1. Purpose 

The Exchange proposes to amend 

Rule 0 (Rule 0 [sic] (Regulation of the 

Exchange, OTP Holders, OTP Firms and 

ETP Holders) to adopt new rule text 

based on Rule 0 (Regulation of the 

Exchange and its Member 

Organizations) of its affiliate New York 

Stock Exchange LLC (‘‘NYSE’’). 

Specifically, the Exchange proposes a 

new subsection (b) in conformity with 

NYSE Rule 0(b). NYSE Rule 0(b) is in 

turn based on FINRA Rule 0140(a) 

(Applicability), Nasdaq Stock Market 

LLC (‘‘Nasdaq’’) General 2 (Organization 

and Administration), Section 6(a), and 

Nasdaq BX, Inc. (‘‘Nasdaq BX’’) General 

2 (Organization and Administration), 

Section 6(a).4

NYSE Rule 0(b) provides that the 

NYSE’s rules apply to all member 

organizations and persons associated 


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68838 Federal Register / Vol. 88, No. 191 / Wednesday, October 4, 2023 / Notices 

5An ‘‘ETP Holder’’ means a sole proprietorship, 

partnership, corporation, limited liability company 

or other organization in good standing that is a 

registered broker-dealer and has been issued an 

Equity Trading Permit (‘‘ETP’’) by the Exchange. 

See Rules 1.1(n) and (o). ‘‘OTP’’ means an Options 

Trading Permit issued by the Exchange for effecting 

approved securities transactions on the Exchange’s 

Trading Facilities. An OTP may be issued to a sole 

proprietor, partnership, corporation, limited 

liability company or other organization that is a 

registered broker-dealer pursuant to Section 15 of 

the Act, and which has been approved by the 

Exchange. See Rule 1.1(mm). ‘‘OTP Holder’’ means 

a natural person, in good standing, who has been 

issued an OTP, or has been named as a Nominee. 

An OTP Holder must be a registered broker or 

dealer pursuant to Section 15 of the Act, or a 

nominee or an associated person of a registered 

broker or dealer that has been approved by the 

Exchange to conduct business on the Exchange’s 

Trading Facilities. An OTP Holder has status as a 

‘‘member’’ of the NYSE Arca, Inc. as that term is 

defined in Section 3 of the Act. See Rule 1.1(nn). 

‘‘OTP Firm’’ means a sole proprietorship, 

partnership, corporation, limited liability company, 

or other organization in good standing that holds an 

OTP or upon whom an individual OTP Holder has 

conferred trading privileges on the Exchange’s 

Trading Facilities. An OTP Firm must be a 

registered broker-dealer pursuant to Section 15 of 

the Act. An OTP Firm also has status as a 

‘‘member’’ of the Exchange, as that term is defined 

in Section 3 of the Act. See Rule 1.1(oo). By way 

of comparison, FINRA uses the term ‘‘member’’ in 

its rules and NYSE uses the term ‘‘member 

organization.’’ 

6 15 U.S.C. 78f(b). 

7 15 U.S.C. 78f(b)(5). 

8 15 U.S.C. 78f(b)(5). 

9 15 U.S.C. 78f(b)(1). 

10 15 U.S.C. 78f(b)(1). 

11 15 U.S.C. 78s(b)(3)(A)(iii). 

with a member organization and that 

persons associated with a member 

organization shall have the same duties 

and obligations as a member 

organization under the NYSE’s rules. 

NYSE Rule 0(b) mirrors FINRA Rule 

0140(a) and the versions of FINRA Rule 

0140(a) adopted by the Nasdaq 

Exchanges, which similarly provide that 

the rules of those self-regulatory 

organizations, as applicable, apply to all 

members and persons associated with a 

member and that persons associated 

with a member shall have the same 

duties and obligations as a member 

under such rules.5 Proposed Rule 0(d) 

[sic] is substantively identical to NYSE 

Rule 0(b). 

The Exchange believes that the 

proposed rule change would improve 

the clarity of the Exchange’s rules by 

reflecting that the Exchange’s rules 

apply to persons associated with an ETP 

Holder, OTP Holder or OTP Firm and 

that such persons have the same duties 

and obligations as their Exchange ETP 

Holder, OTP Holder or OTP Firm 

employer. An ETP Holder’s, OTP 

Holder’s or OTP Firm’s compliance with 

Exchange rules may depend on the 

actions of persons associated with the 

ETP Holder, OTP Holder or OTP Firm. 

Accordingly, the Exchange believes that 

the proposed rule, which mirrors the 

rules of its affiliate NYSE, FINRA and 

the Nasdaq Exchanges, would promote 

consistency in the Exchange’s rules by 

expressly providing that the Exchange 

may enforce its rules with respect to 

persons associated with an ETP Holder, 

OTP Holder or OTP Firm, including by 

taking appropriate disciplinary action 

against such persons for their ETP 

Holder’s, OTP Holder’s or OTP Firm’s 

violation of NYSE Arca rules. The 

Exchange notes that the proposed rule 

does not contemplate disciplinary 

action against individuals not involved 

in violations of Exchange rules. 

2. Statutory Basis 

The proposed rule change is 

consistent with Section 6(b) of the Act,6

in general, and furthers the objectives of 

Section 6(b)(5),7 in particular, because it 

is designed to prevent fraudulent and 

manipulative acts and practices, to 

promote just and equitable principles of 

trade, to foster cooperation and 

coordination with persons engaged in 

facilitating transactions in securities, to 

remove impediments to, and perfect the 

mechanism of, a free and open market 

and a national market system and, in 

general, to protect investors and the 

public interest. 

The Exchange believes that the 

proposed rule change would remove 

impediments to and perfect the 

mechanism of a free and open market 

and a national market system and, in 

general, protect investors and the public 

interest because the proposed changes 

would add clarity to the Exchange’s 

rules. As previously noted, the proposed 

rule text conforms to current NYSE Rule 

0(b) without change. The Exchange 

believes that adopting separate rule text 

expressly providing that all Exchange 

rules apply to persons associated with 

an ETP Holder, OTP Holder or OTP 

Firm and that such persons have the 

same duties and obligations as their 

Exchange ETP Holder, OTP Holder or 

OTP Firm employer would benefit 

market participants by providing 

increased clarity regarding the 

Exchange’s ability to enforce 

compliance with its rules by persons 

associated with an ETP Holder, OTP 

Holder or OTP Firm, thereby reducing 

any potential confusion with respect to 

the Exchange’s interpretation or 

application of its rules. Adding these 

clarifying statements to the Exchange’s 

rules would also further the goals of 

transparency and consistency across the 

Exchange’s rules and would provide 

greater harmonization between 

Exchange rules and the rules of NYSE, 

FINRA and the Nasdaq Exchanges, 

resulting in less burdensome and more 

efficient regulatory compliance. For the 

same reasons, the addition of the 

proposed rule text would protect 

investors and the public interest and 

would therefore be consistent with 

Section 6(b)(5) 8 of the Act. The 

proposed rule change would 

accordingly foster cooperation and 

coordination with persons engaged in 

facilitating transactions in securities and 

will remove impediments to and perfect 

the mechanism of a free and open 

market and a national market system. 

Finally, the Exchange believes that 

the proposed change would be 

consistent with Section 6(b)(1) 9 of the 

Act because it would provide increased 

clarity regarding the Exchange’s ability 

to enforce compliance with its rules by 

persons associated with an ETP Holder, 

OTP Holder or OTP Firm, thereby 

reducing any potential confusion with 

respect to the Exchange’s interpretation 

or application of its rules. As such, the 

proposed change would enable the 

Exchange to be so organized as to have 

the capacity to be able to enforce 

compliance by its exchange members 

and persons associated with its 

exchange members with the provisions 

of the Act, the rules and regulations 

thereunder, and the rules of the 

Exchange, consistent with Section 

6(b)(1) 10 of the Act. 

B. Self-Regulatory Organization’s 

Statement on Burden on Competition 

The Exchange does not believe that 

the proposed rule change will impose 

any burden on competition that is not 

necessary or appropriate in furtherance 

of the purposes of the Act. The 

proposed rule change is not intended to 

address competitive issues but rather is 

concerned solely with adding clarity 

and transparency to the Exchange’s 

rules and providing greater 

harmonization with the rules of its 

affiliate NYSE and the approved rules of 

FINRA and the Nasdaq Exchanges. 

C. Self-Regulatory Organization’s 

Statement on Comments on the 

Proposed Rule Change Received From 

Members, Participants, or Others 

No written comments were solicited 

or received with respect to the proposed 

rule change. 

III. Date of Effectiveness of the 

Proposed Rule Change and Timing for 

Commission Action 

The Exchange has filed the proposed 

rule change pursuant to Section 

19(b)(3)(A)(iii) of the Act 11 and Rule 


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Federal Register / Vol. 88, No. 191 / Wednesday, October 4, 2023 / Notices 68839 

12 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 

4(f)(6) requires a self-regulatory organization to give 

the Commission written notice of its intent to file 

the proposed rule change, along with a brief 

description and text of the proposed rule change, 

at least five business days prior to the date of filing 

of the proposed rule change, or such shorter time 

as designated by the Commission. The Exchange 

has satisfied this requirement. 

13 15 U.S.C. 78s(b)(2)(B). 14 17 CFR 200.30–3(a)(12). 

19b–4(f)(6) 12 thereunder. Because the 

proposed rule change does not: (i) 

significantly affect the protection of 

investors or the public interest; (ii) 

impose any significant burden on 

competition; and (iii) become operative 

prior to 30 days from the date on which 

it was filed, or such shorter time as the 

Commission may designate, if 

consistent with the protection of 

investors and the public interest, the 

proposed rule change has become 

effective pursuant to Section 19(b)(3)(A) 

of the Act and Rule 19b–4(f)(6)(iii) 

thereunder. 

At any time within 60 days of the 

filing of such proposed rule change, the 

Commission summarily may 

temporarily suspend such rule change if 

it appears to the Commission that such 

action is necessary or appropriate in the 

public interest, for the protection of 

investors, or otherwise in furtherance of 

the purposes of the Act. If the 

Commission takes such action, the 

Commission shall institute proceedings 

under Section 19(b)(2)(B) 13 of the Act to 

determine whether the proposed rule 

change should be approved or 

disapproved. 

IV. Solicitation of Comments 

Interested persons are invited to 

submit written data, views, and 

arguments concerning the foregoing, 

including whether the proposed rule 

change is consistent with the Act. 

Comments may be submitted by any of 

the following methods: 

Electronic Comments 

• Use the Commission’s internet 

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

rules/sro.shtml); or 

• Send an email to rule-comments@

sec.gov. Please include file number SR– 

NYSEARCA–2023–66 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 

number SR–NYSEARCA–2023–66. 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 (https://www.sec.gov/ 

rules/sro.shtml). Copies of the 

submission, all subsequent 

amendments, all written statements 

with respect to the proposed rule 

change that are filed with the 

Commission, and all written 

communications relating to the 

proposed rule change 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 

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–NYSEARCA–2023–66 and should be 

submitted on or before October 25, 

2023. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.14

Sherry R. Haywood, 

Assistant Secretary. 

[FR Doc. 2023–21952 Filed 10–3–23; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Investment Company Act Release No. 

35029] 

Deregistration Under Section 8(f) of the 

Investment Company Act of 1940 

AGENCY: Securities and Exchange 

Commission (‘‘Commission’’ or ‘‘SEC’’) 

ACTION: Notice of Applications for 

Deregistration under Section 8(f) of the 

Investment Company Act of 1940. 

The following is a notice of 

applications for deregistration under 

section 8(f) of the Investment Company 

Act of 1940 for the month of September 

2023. A copy of each application may be 

obtained via the Commission’s website 

by searching for the applicable file 

number listed below, 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. An order 

granting each application will be issued 

unless the SEC orders a hearing. 

Interested persons may request a 

hearing on any application by emailing 

the SEC’s Secretary at SecretarysOffice@sec.gov and serving the relevant 

applicant 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 SEC by 5:30 

p.m. on October 24, 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 writing to the 

Commission’s Secretary at SecretarysOffice@sec.gov. 

ADDRESSES: The Commission: 

Secretarys-Office@sec.gov. 

FOR FURTHER INFORMATION CONTACT: 

Shawn Davis, Assistant Director, at 

(202) 551–6413 or Chief Counsel’s 

Office at (202) 551–6821; SEC, Division 

of Investment Management, Chief 

Counsel’s Office, 100 F Street NE, 

Washington, DC 20549–8010. 

Guggenheim Energy & Income Fund 

[File No. 811–23057] 

Summary: Applicant, a closed-end 

investment company, seeks an order 

declaring that it has ceased to be an 

investment company. On August 11, 

2023, applicant made liquidating 

distributions to its shareholders based 

on net asset value. Expenses of $55,000 

incurred in connection with the 

liquidation were paid by the applicant. 

Filing Date: The application was filed 

on August 31, 2023. 

Applicant’s Address: 227 West 

Monroe Street, Chicago, Illinois 60606. 

Legg Mason Partners Premium Money 

Market Trust [File No. 811–05812] 

Summary: Applicant seeks an order 

declaring that it has ceased to be an 

investment company. On August 6, 

2021, applicant made a liquidating 

distribution to its shareholders based on 

net asset value. Expenses of $29,000 

incurred in connection with the 


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