Federal Register / Vol. 83, No. 124 / Wednesday, June 27, 2018 / Notices 30205 

10 17 CFR 200.30–3(a)(73). 

1 15 U.S.C. 78k–1. 

2 17 CFR 242.608. 

3The Participants are: Cboe BYX Exchange, Inc.; 

Cboe BZX Exchange, Inc.; Cboe EDGA Exchange, 

Inc.; Cboe EDGX Exchange, Inc.; Cboe Exchange, 

Inc.; Chicago Stock Exchange, Inc.; Financial 

Industry Regulatory Authority, Inc.; Investors 

Exchange LLC; Nasdaq BX, Inc.; Nasdaq ISE, LLC; 

Nasdaq PHLX LLC; The Nasdaq Stock Market LLC; 

New York Stock Exchange LLC; NYSE Arca, Inc.; 

NYSE American LLC; and NYSE National, Inc. 

(collectively, the ‘‘Participants’’). 

4The Plan governs the collection, processing, and 

dissemination on a consolidated basis of quotation 

information and transaction reports in Eligible 

Securities for each of its Participants. This 

consolidated information informs investors of the 

current quotation and recent trade prices of Nasdaq 

securities. It enables investors to ascertain from one 

data source the current prices in all the markets 

trading Nasdaq securities. The Plan serves as the 

required transaction reporting plan for its 

Participants, which is a prerequisite for their 

trading Eligible Securities. See Securities Exchange 

Act Release No. 55647 (April 19, 2007), 72 FR 

20891 (April 26, 2007). 

5 17 CFR 242.608(b)(3)(ii). 

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–2018–02. 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– 

2018–02 and should be submitted on or 

before July 18, 2018. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.10

Eduardo A. Aleman, 

Assistant Secretary. 

[FR Doc. 2018–13763 Filed 6–26–18; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–83493; File No. S7–24–89] 

Joint Industry Plan; Notice of Filing 

and Immediate Effectiveness of the 

Forty-Third Amendment to the Joint 

Self-Regulatory Organization Plan 

Governing the Collection, 

Consolidation and Dissemination of 

Quotation and Transaction Information 

for Nasdaq-Listed Securities Traded on 

Exchanges on an Unlisted Trading 

Privileges Basis 

June 21, 2018. 

Pursuant to Section 11A of the 

Securities Exchange Act of 1934 

(‘‘Act’’),1 and Rule 608 thereunder,2

notice is hereby given that on June 5, 

2018, the Participants 3 in the Joint SelfRegulatory Organization Plan Governing 

the Collection, Consolidation and 

Dissemination of Quotation and 

Transaction Information for NasdaqListed Securities Traded on Exchanges 

on an Unlisted Trading Privileges Basis 

(‘‘NASDAQ/UTP Plan,’’ ‘‘UTP Plan’’ or 

‘‘Plan’’) filed with the Securities and 

Exchange Commission (‘‘Commission’’) 

a proposal to amend the NASDAQ/UTP 

Plan.4 The amendment represents 

Amendment No. 43 to the NASDAQ/ 

UTP Plan (‘‘Amendment’’). The 

Amendment seeks to effectuate changes 

that certain Participants have made to 

their names and addresses, as set forth 

in Section I(A) of the Nasdaq/UTP Plan 

and to update the listing of Participant 

identifying codes set forth in Section 

VIII(C) of the Plan. 

Pursuant to Rule 608(b)(3)(ii) under 

Regulation NMS,5 the Participants have 

designated the Amendment as 

concerned solely with the 

administration of the Nasdaq/UTP Plan 

and as a ‘‘Ministerial Amendment’’ 

under Section XVI of the Plan. As a 

result, the Amendment was effective 

upon filing and was submitted by the 

Chairman of the Plan’s Operating 

Committee. The Commission is 

publishing this notice to solicit 

comments from interested persons on 

the proposed Amendment. Set forth in 

Sections I and II is the statement of the 

purpose and summary of the 

Amendment, along with the information 

required by Rules 608(a) and 601(a) 

under the Act, prepared and submitted 

by the Participants to the Commission. 

I. Rule 608(a) 

A. Purpose of the Amendments 

The Amendment effectuates changes 

that certain Participants have made to 

their names and addresses, as set forth 

in Section I(A) of the UTP Plan and 

updates the listing of Participant 

identifying codes set forth in Section 

VIII(C) of the UTP Plan. 

B. Governing or Constituent Documents 

Not applicable. 

C. Implementation of the Amendments 

Because the Amendment constitutes a 

‘‘Ministerial Amendment’’ under 

Section XVI of the UTP Plan, the 

Chairman of the UTP Plan’s Operating 

Committee may submit the Amendment 

to the Commission on behalf of the 

Participants in the UTP Plan. Because 

the Participants have designated the 

Amendment as concerned solely with 

the administration of the Plan, the 

Amendment is effective upon filing 

with the Commission. 

D. Development and Implementation 

Phases 

Not applicable. 

E. Analysis of Impact on Competition 

The Participants assert that the 

Amendment does not impose any 

burden on competition because it 

simply effectuates a change in the 

names and addresses of certain 

Participants. For the same reasons, the 

Participants do not believe that the 

Amendment introduces terms that are 

unreasonably discriminatory for 

purposes of Section 11A(c)(1)(D) of the 

Exchange Act. 

F. Written Understanding or Agreements 

Relating to Interpretation of, or 

Participation in, Plan 

Not applicable. 

G. Approval by Sponsors in Accordance 

With Plan 

See Item I.C. above. 


daltland on DSKBBV9HB2PROD with NOTICES
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