30206 Federal Register / Vol. 83, No. 124 / Wednesday, June 27, 2018 / Notices 

1 15 U.S.C. 78s(b)(7). 

2 17 CFR 240.19b–7. 

3See letter from Eileen T. Flaherty, Director, 

CFTC to Carol A. Wooding, General Counsel, NFA 

(‘‘Letter’’). 

H. Description of Operation of Facility 

Contemplated by the Proposed 

Amendments 

Not applicable. 

I. Terms and Conditions of Access 

Not applicable. 

J. Method of Determination and 

Imposition, and Amount of, Fees and 

Charges 

Not applicable. 

K. Method and Frequency of Processor 

Evaluation 

Not applicable. 

L. Dispute Resolution 

Not applicable. 

II. Rule 601(a) 

A. Equity Securities for Which 

Transaction Reports Shall be Required 

by the Plan 

Not applicable. 

B. Reporting Requirements 

Not applicable. 

C. Manner of Collecting, Processing, 

Sequencing, Making Available and 

Disseminating Last Sale Information 

Not applicable. 

D. Manner of Consolidation 

Not applicable. 

E. Standards and Methods Ensuring 

Promptness, Accuracy and 

Completeness of Transaction Reports 

Not applicable. 

F. Rules and Procedures Addressed to 

Fraudulent or Manipulative 

Dissemination 

Not applicable. 

G. Terms of Access to Transaction 

Reports 

Not applicable. 

H. Identification of Marketplace of 

Execution 

Not applicable. 

III. Solicitation of Comments 

The Commission seeks general 

comments on the Amendment. 

Interested persons are invited to submit 

written data, views, and arguments 

concerning the foregoing, including 

whether the proposed Amendment is 

consistent with the Act. 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 Number S7– 

24–89 on the subject line. 

Paper Comments 

• Send paper comments in triplicate 

to Brent J. Fields, Secretary, Securities 

and Exchange Commission, 100 F Street 

NE, Washington, DC 20549–1090. 

All submissions should refer to File 

Number File No. S7–24–89. 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 

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

sro.shtml). Copies of the submission, all 

written statements with respect to the 

proposed Amendment that are filed 

with the Commission, and all written 

communications relating to the 

proposed Amendment 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 the 

filing also will be available for website 

viewing and printing at the principal 

office of the Plans. 

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 Number S7–24–89 and should be 

submitted on or before July 18, 2018. 

By the Commission. 

Eduardo A. Aleman, 

Assistant Secretary. 

[FR Doc. 2018–13767 Filed 6–26–18; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

Sunshine Act Meetings 

FEDERAL REGISTER CITATION OF PREVIOUS

ANNOUNCEMENT: To be published. 

PREVIOUSLY ANNOUNCED TIME AND DATE OF

THE MEETING: Thursday, June 28, 2018. 

CHANGES IN THE MEETING: The following 

matter will also be considered during 

the 2 p.m. Closed Meeting scheduled for 

Thursday, June 28, 2018: 

Report on an investigation. 

CONTACT PERSON FOR MORE INFORMATION: 

For further information and to ascertain 

what, if any, matters have been added, 

deleted or postponed, please contact the 

Office of the Secretary at (202) 551– 

5400. 

Dated: June 22, 2018. 

Jill M. Peterson, 

Assistant Secretary. 

[FR Doc. 2018–13888 Filed 6–25–18; 11:15 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–83491; File No. SR–NFA– 

2018–01] 

Self-Regulatory Organizations; 

National Futures Association; Notice 

of Filing and Immediate Effectiveness 

of Proposed Technical Amendment to 

the Interpretive Notice to NFA 

Compliance Rule 2–9: Special 

Supervisory Requirements for 

Members Registered as Broker-Dealers 

Under Section 15(b)(11) of the 

Securities Exchange Act of 1934 

June 21, 2018. 

Pursuant to Section 19(b)(7) of the 

Securities Exchange Act of 1934 

(‘‘Exchange Act’’),1 and Rule 19b–7 

under the Exchange Act,2 notice is 

hereby given that on June 14, 2018, 

National Futures Association (‘‘NFA’’) 

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 NFA. The 

Commission is publishing this notice to 

solicit comments on the proposed rule 

change from interested persons. 

On August 30, 2017, NFA also filed 

this proposed rule change with the 

Commodity Futures Trading 

Commission (‘‘CFTC’’) and requested 

that the CFTC make a determination 

that review of the proposed rule change 

of NFA is not necessary. By letter dated 

September 15, 2017, the CFTC notified 

NFA of its determination not to review 

the proposed rule change.3

The text of the proposed rule change 

is available at the self-regulatory 

organization’s office, on the NFA’s 

website at www.nfa.futures.org, and at 

the SEC’s Public Reference Room. 


daltland on DSKBBV9HB2PROD with NOTICES
Federal Register / Vol. 83, No. 124 / Wednesday, June 27, 2018 / Notices 30207 

4 15 U.S.C. 78o–3(k). 

5 15 U.S.C. 78o(b)(11). 

6 15 U.S.C. 78o–3(k). 

7See Letter, Supra note 3. 

8 15 U.S.C. 78s(b)(1). 9 17 CFR 200.30–3(a)(73). 

I. Self-Regulatory Organization’s 

Description and Text of the Proposed 

Rule Change 

The technical amendment to NFA’s 

Interpretive Notice entitled ‘‘NFA 

Compliance Rule 2–9: Special 

Supervisory Requirements for Members 

Registered as Broker-Dealers’’ 

(‘‘Interpretive Notice’’) references the 

Form 3–R. The amendment eliminates 

the reference to the Form 3–R. The text 

of the proposed technical amendment to 

the Interpretive Notice is found in 

Exhibit 4. 

II. Self-Regulatory Organization’s 

Statement of the Purpose of, and 

Statutory Basis for the Proposed Rule 

Change 

In its filing with the Commission, 

NFA 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. NFA 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 

Section 15A(k) of the Exchange Act 4

makes NFA a national securities 

association for the limited purpose of 

regulating the activities of NFA 

Members (‘‘Members’’) who are 

registered as brokers or dealers in 

security futures products under Section 

15(b)(11) of the Exchange Act.5 NFA’s 

Interpretive Notice applies to all 

Members who meet the criteria in the 

Interpretive Notice and could apply to 

Members registered under Section 

15(b)(11) of the Exchange Act. 

NFA’s registration rules need to be 

amended to implement the CFTC’s 

retiring of the Form 3–R, which had 

been used to report changes to 

registration information. The CFTC 

eliminated the Form 3–R recognizing 

that in the electronic era, changes are 

made directly to the registration 

information rather than via filing a Form 

3–R. 

In August 2012, the CFTC eliminated 

the requirement that registrants and 

individuals use CFTC Form 3–R to 

update and file changes to their 

registration information because the 

online Forms 7–R and 8–R can be 

updated directly in NFA’s Online 

Registration System and automatically 

create a record of changes equivalent to 

a completed Form 3–R. This 

amendment removes the Form 3–R 

reference and replaces it with the 

direction to report updates and file 

changes to registration information by, 

‘‘. . . an update to the Form 7–R.’’ 

Amendments to the Interpretive 

Notice were previously filed with the 

SEC in SR–NFA–2007–07, Exchange Act 

Release No. 34–57142 (Jan. 14, 2008). 

2. Statutory Basis 

The rule change is authorized by, and 

consistent with, Section 15A(k) of the 

Exchange Act.6 The proposed changes 

are nothing more than technical 

amendments to remove a reference to 

the Form 3–R. 

B. Self-Regulatory Organization’s 

Statement on Burden on Competition 

The proposed rule change will have 

little or no impact on competition. The 

proposed amendment to the Interpretive 

Notice does not impose new 

requirements on Members. 

C. Self-Regulatory Organization’s 

Statement on Comments on the 

Proposed Rule Change Received From 

Members, Participants, or Others 

NFA did not publish the rule change 

to the membership for comment. NFA 

did not receive comment letters 

concerning the rule change. 

III. Date of Effectiveness of the 

Proposed Rule Change and Timing for 

Commission Action 

The CFTC notified NFA of its 

determination not to review the 

proposed rule change.7 The proposed 

rule change became effective on 

September 15, 2017. 

At any time within 60 days of the date 

of effectiveness of the proposed rule 

change, the Commission, after 

consultation with the CFTC, may 

summarily abrogate the proposed rule 

change and require that the proposed 

rule change be refiled in accordance 

with the provisions of Section 19(b)(1) 

of the Exchange Act.8

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 Exchange 

Act. 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 Number SR– 

NFA–2018–01 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–NFA–2018–01. 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 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 

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

filing also will be available for 

inspection and copying at the principal 

office of NFA. 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 

publicly available. All submissions 

should refer to File Number SR–NFA– 

2018–01 and should be submitted on or 

before July 18, 2018. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.9

Eduardo A. Aleman, 

Assistant Secretary. 

[FR Doc. 2018–13764 Filed 6–26–18; 8:45 am] 

BILLING CODE 8011–01–P 


daltland on DSKBBV9HB2PROD with NOTICES