Federal Register / Vol. 83, No. 150 / Friday, August 3, 2018 / Notices 38195 

29For purposes only of waiving the 30-day 

operative delay, the Commission has also 

considered the proposed rule’s impact on 

efficiency, competition, and capital formation. See 

15 U.S.C. 78c(f). 

30 17 CFR 200.30–3(a)(12) and (59). 

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

2 15 U.S.C. 78a. 

3 17 CFR 240.19b–4. 

4See Securities Exchange Act Release No. 56654 

(October 12, 2007), 72 FR 59129 (October 18, 2007) 

(SR–NYSE–2007–67). 

them to better manage their orders and 

may increase order interaction on the 

Exchange in the event the Exchange 

changes its fee schedule such that the 

Post Only functionality is more relevant 

to the operation of the Exchange. 

Accordingly, the Commission hereby 

waives the 30-day operative delay and 

designates the proposed rule change 

operative upon filing.29

At any time within 60 days of the 

filing of the proposed rule change, the 

Commission summarily may 

temporarily suspend such rule change if 

it appears to the Commission that such 

action is: (i) Necessary or appropriate in 

the public interest; (ii) for the protection 

of investors; or (iii) otherwise in 

furtherance of the purposes of the Act. 

If the Commission takes such action, the 

Commission shall institute proceedings 

to determine whether the proposed rule 

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 (http://www.sec.gov/ 

rules/sro.shtml); or 

• Send an email to rule-comments@

sec.gov. Please include File Number SR– 

CboeEDGA–2018–013 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–CboeEDGA–2018–013. 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 the 

filing also will be available for 

inspection and copying at the principal 

office of the Exchange. 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 SR–CboeEDGA–2018–013, and 

should be submitted on or before 

August 24, 2018. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.30

Robert W. Errett, 

Deputy Secretary. 

[FR Doc. 2018–16597 Filed 8–2–18; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–83740; File No. SR–NYSE– 

2018–33] 

Self-Regulatory Organizations; New 

York Stock Exchange LLC; Notice of 

Filing of Proposed Rule Change To 

Amend Rule 2 To Remove 

Requirement That a Registered BrokerDealer Be a Member of the Financial 

Industry Regulatory Authority, Inc. or 

Another National Securities Exchange 

July 30, 2018. 

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

Securities Exchange Act of 1934 (the 

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

notice is hereby given that, on July 25, 

2018, New York Stock Exchange LLC 

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

the Securities and Exchange 

Commission (the ‘‘Commission’’) the 

proposed rule change as described in 

Items I, II, and III below, which Items 

have been prepared by the selfregulatory 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 2 to remove a requirement that a 

registered broker-dealer be a member of 

the Financial Industry Regulatory 

Authority, Inc. or another national 

securities exchange. 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 the 

definition of ‘‘member organization’’ 

under Rule 2 (‘‘Member,’’ 

‘‘Membership,’’ ‘‘Membership [sic] 

Firm,’’ etc.) to remove a requirement 

that a registered broker-dealer seeking to 

be a member organization be a member 

of FINRA or another national securities 

exchange. In 2007, the Exchange 

amended Rule 2 to require FINRA 

membership as part of the consolidation 

of member firm regulatory functions of 

then NASD and NYSE Regulation, Inc. 

(‘‘NYSE Regulation’’) that resulted in a 

combined self-regulatory organization 

(‘‘SRO’’) that is now known as FINRA.4

As part of the consolidation, NYSE 

Regulation and NASD sought to 

harmonize certain of their member firm 

rules. At that time, it was anticipated 

that the rule harmonization would not 

be completed by the time NASD and 

NYSE Regulation completed their 

combination. Therefore, the 

combination contemplated a transition 

period during which FINRA would 

apply to NYSE member organizations 


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38196 Federal Register / Vol. 83, No. 150 / Friday, August 3, 2018 / Notices 

5 Id. 

6See Securities Exchange Act Release No. 60318 

(July 16, 2009), 74 FR 36797 (July 24, 2009) (SR– 

NYSE–2009–63). 

7 15 U.S.C. 78o(b)(8). 

8 Id. 

9See Securities Exchange Act Release No. 62355 

(June 22, 2010), 75 FR 36729 (June 28, 2010) (SR– 

NYSE–2010–46). 

10See also NYSE Arca Rule 1.1(n). 

11See Securities Exchange Act Release No. 62355 

(June 22, 2010), 75 FR 36729 (June 28, 2010) (SR– 

NYSE–2010–46). 

12See Securities Exchange Act Release No. 60409 

(July 30, 2009), 74 FR 39353 (August 6, 2009) 

(Program for Allocation of Regulatory 

Responsibilities Pursuant to Rule 17d–2; Notice of 

Filing and Order Declaring Effective a Proposed 

Plan for the Allocation of Regulatory 

Responsibilities Among the Financial Industry 

Regulatory Authority, Inc., New York Stock 

Exchange LLC, NYSE Regulation, Inc. and NYSE 

Amex LLC). See, e.g., Securities Exchange Act 

Release Nos. 78473 (August 3, 2016), 81 FR 52722 

(August 9, 2016) (Multiparty 17d–2 Plan Relating to 

the Surveillance, Investigation, and Enforcement of 

Insider Trading Rules); and 79928 (February 2, 

2017), 82 FR 9814 (February 8, 2017) (Regulation 

NMS Multiparty 17d–2 Plan). 

13The Exchange has also entered into Regulatory 

Services Agreements with FINRA covering member 

compliance with the Tick Size Pilot Program’s data 

collection and reporting requirements as well as for 

investigations and enforcement activities related to 

insider trading. 

14 17 CFR 240.17d–1. Rule 17d–1 does not relieve 

an SRO from its obligation to examine a common 

member for compliance with its own rules and 

provisions of the federal securities laws governing 

matters other than financial responsibility, 

including sales practices and trading activities and 

practices, which the Exchange will retain and 

continue to perform. 

the member firm rules of the NYSE. A 

necessary part of this transition was for 

NYSE to require all NYSE member 

organizations to become FINRA 

members.5 Prior to this time, FINRA 

membership was not a condition to 

become member organizations on the 

Exchange. 

Subsequently, to enable more brokerdealers to become member 

organizations, the Exchange further 

amended Rule 2 to broaden the 

definition of ‘‘member organization’’ to 

include a registered broker-dealer that is 

not a member of FINRA but is a member 

of another national securities exchange.6

Rule 2 repeats the requirement in 

Section 15(b)(8) of the Act 7 that 

requires member organizations that 

transact business with the public to be 

a member of FINRA. In addition, Rule 

2 requires member organizations that 

conduct business on the Floor of the 

Exchange to be a member of FINRA, 

which is a requirement unique to the 

Exchange.8

On June 14, 2010, the NYSE, NYSE 

Regulation,9 and FINRA entered into a 

Regulatory Services Agreement, 

whereby FINRA was retained to perform 

the market surveillance and 

enforcement functions that had 

previously been performed by the 

NYSE. Pursuant to the Regulatory 

Services Agreement, FINRA had been 

performing Exchange enforcementrelated regulatory services, including 

investigating and enforcing violations of 

Exchange rules, and conducting 

disciplinary proceedings arising out of 

such enforcement actions, including 

those relating to NYSE-only rules and 

against dual members and non-FINRA 

members. In October 2014, the 

Exchange announced that, upon 

expiration of the current Regulatory 

Services Agreement on December 31, 

2015, certain market surveillance, 

investigation and enforcement functions 

performed on behalf of the Exchange 

would be reintegrated. Accordingly, as 

of January 1, 2016, the Exchange began 

to perform certain of the market 

surveillance, investigation and 

enforcement functions that FINRA was 

retained to perform in 2010. 

As a result of the reintegration of 

these various regulatory functions, the 

Exchange proposes to make membership 

more readily available to registered 

broker-dealers that are not FINRA 

members or members of another 

national securities exchange. As 

proposed, the term ‘‘member 

organization’’ under Rule 2(i) would be 

defined as ‘‘a registered broker or dealer 

(unless exempt pursuant to the 

Securities Exchange Act of 1934) (the 

‘Act’), including sole proprietors, 

partnerships, limited liability 

partnerships, corporations, and limited 

liability corporations, approved by the 

Exchange pursuant to Rule 311.’’ This 

proposed rule text is based in part on 

NYSE Arca, Inc. (‘‘NYSE Arca’’) Rule 

2.3(a), which similarly provides that 

membership on that exchange ‘‘may be 

held by any entity which is a registered 

broker or dealer pursuant to Section 15 

of the Securities Exchange Act of 1934, 

as amended, including sole proprietors, 

partnerships, limited liability 

partnerships, corporations, and limited 

liability companies.’’ 10 The Exchange 

proposes to include a cross reference to 

Rule 311, which is the rule that governs 

formation and approval of an exchange 

member organization. 

The Exchange believes that the 

proposed change to the definition of 

‘‘member organization’’ can be made 

without any regulatory impact because 

member organizations will continue to 

be subject to a comprehensive 

regulatory regime regardless of whether 

they are a member of another SRO or 

not. As discussed above, the Exchange 

did not require member organizations to 

also be members of FINRA prior to 2007 

and only required FINRA membership 

as part of the combination of NASD and 

NYSE Regulation staff to form FINRA. 

The Exchange later contracted with 

FINRA to perform certain market 

surveillance, investigation and 

enforcement functions on behalf of the 

Exchange.11 However, since January 1, 

2016, the Exchange is once again 

directly performing certain of those 

previously outsourced regulatory 

functions. For instance, the Exchange 

surveils and examines member 

organizations for compliance with its 

own rules and provisions of the federal 

securities laws governing various 

matters, including sales practices and 

trading activities and practices. The 

Exchange also investigates and enforces 

violations of Exchange rules and 

conducts disciplinary proceedings 

arising out of such enforcement actions. 

FINRA continues to perform, pursuant 

to a Regulatory Services Agreement with 

the Exchange, investigations and 

enforcement of matters arising from 

FINRA’s cross-market surveillances, as 

well as from its examination of members 

of the NYSE. 

The reasons behind initially requiring 

FINRA membership no longer exist. As 

it does today, and as was the case prior 

to 2007, the Exchange performs the 

necessary regulatory oversight of 

member organizations as outlined 

above. For those member organizations 

that are FINRA members, they will 

continue to be regulated pursuant to the 

terms of an existing allocation plan 

pursuant to Rule 17d–2 of the Act 

between FINRA12 and the Exchange for 

compliance with common FINRA and 

Exchange rules. Under the oversight of 

the NYSE’s regulatory unit, FINRA will 

continue to perform certain regulatory 

services pursuant to the Regulatory 

Services Agreement, including certain 

membership application review 

services, registration, testing, and 

continuing education services, 

education and training services, 

examination services, surveillance and 

investigation services, disciplinary 

services, ancillary regulatory services, 

and audit services for the Exchange.13

Rule 17d–1 of the Act authorizes the 

Commission to name a single SRO as 

the Designated Examining Authority 

(‘‘DEA’’) to examine members of more 

than one SRO (‘‘common member’’) for 

compliance with the financial 

responsibility requirements imposed by 

the Act, or by Commission or SRO 

rules.14 The NYSE does not currently 

act as the as the DEA for any member 

organization. Should the NYSE be 

assigned by the Commission as the DEA 

for a member organization and, 


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Federal Register / Vol. 83, No. 150 / Friday, August 3, 2018 / Notices 38197 

15Though FINRA would examine member 

organizations for which NYSE is the DEA on the 

NYSE’s behalf, the NYSE would remain responsible 

under Rule 17d–1 to ensure that FINRA performs 

those regulatory duties in compliance with Act 

under the Regulatory Services Agreement. The 

Exchange notes that its affiliates, NYSE American 

LLC and NYSE Arca, Inc., have both been named 

by the Commission as DEAs for certain of their 

members and that FINRA examines those members 

as required by Rule 17d–1 of the Act pursuant to 

a Regulatory Services Agreement. In addition, Cboe 

Exchange, Inc. and Cboe C2 Exchange, Inc. 

(collectively, ‘‘Cboe’’) have also entered into 

Regulatory Services Agreements with FINRA under 

which FINRA performs, among other things, 

examination functions of Cboe members for which 

Cboe is DEA on Cboe’s behalf. See, FINRA Signs 

Regulatory Services Agreement with CBOE and C2, 

available at http://www.finra.org/newsroom/2014/ 

finra-signs-regulatory-services-agreement-cboe-andc2, dated December 22, 2014. See also, CBOE and 

C2 Enter into Agreements with FINRA Involving 

Regulatory Services, available at http://ir.cboe.com/ 

press-releases/2014/dec-22–2014, dated December 

22, 2014. See Regulatory Services, FINRA Exchange 

Solutions, available at http://www.finra.org/ 

industry/regulatory-services for a list of exchanges 

that FINRA provides examination services on behalf 

of. 

16 15 U.S.C. 78o(b)(8). 

17 Id. 

18See supra note 9. 

19 15 U.S.C. 78f(b). 

20 15 U.S.C. 78f(b)(5). 

21FINRA continues to perform pursuant to a 

Regulatory Services Agreement with the Exchange 

investigations and enforcement of matters arising 

from FINRA’s cross-market surveillances, as well as 

from its examination of members of the NYSE. 

22See supra note 12. 

23See supra notes 14 and 15 and accompanying 

text. 

24See supra note 9 and accompanying text. 

25See Cboe Rules 3.2 and 3.3. 

therefore be required to examine that 

member organization for compliance 

with the financial responsibility 

requirements pursuant to Rule 17d–1 of 

the Act, FINRA will perform those 

duties on behalf of the Exchange 

pursuant to the same Regulatory 

Services Agreement and under the 

continued oversight of the NYSE’s 

regulatory unit.15

The Exchange also proposes to make 

various related changes to the rule. 

Because Section 15(b)(8) of the Act 16

requires broker-dealers that transact 

with the public to be FINRA members, 

the Exchange proposes to remove this 

requirement from its definition of 

member organization as redundant. 

Consistent with the proposed 

amendment, Rule 2(i) would also no 

longer require that a member 

organization that conducts business on 

the Floor of the Exchange to [sic] be a 

FINRA member. The Exchange also 

proposes to amend paragraph (ii) of 

Rule 2 to remove references to being a 

member of FINRA or another national 

securities exchange. These provisions 

and references to FINRA would no 

longer be necessary in the Exchange’s 

rules since membership in FINRA, or 

another SRO, would no longer be 

required as a condition to becoming a 

members [sic] organization on the 

Exchange. Those member organizations 

that transact business with the public 

would, however, continue to be 

required to be members of FINRA 

pursuant to Section 15(b)(8) of the 

Act.17

The definition of ‘‘member 

organization’’ under Rule 2 will 

continue to require a registered broker 

or dealer to be approved by the 

Exchange and authorized to designate 

an associated natural person to effect 

transactions on the floor of the 

Exchange or any facility thereof. 

The Exchange proposes to delete the 

last sentence of Rule 2(i), which 

currently provides that member 

organizations include a natural person 

so registered, approved and licensed 

who directly effects transactions on the 

floor of the Exchange or any facility 

thereof. The Exchange does not 

currently have any natural persons that 

are member organizations of the 

Exchange, and, therefore, removing this 

language would not impact any current 

member organizations. The Exchange 

further believes that the addition of the 

reference to ‘‘sole proprietor’’ to Rule 

2(i) would address any natural persons 

that seek to be approved as a member 

organization in the future. In addition, 

removing this sentence would also 

further harmonize the Exchange’s 

membership requirements with its 

affiliate, NYSE Arca.18

2. Statutory Basis 

The Exchange believes that the 

proposal is consistent with Section 6(b) 

of the Act,19 in general, and furthers the 

objectives of Sections 6(b)(5) of the 

Act,20 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 

regulating, clearing, settling, processing 

information with respect to, and 

facilitating transactions in securities, to 

remove impediments to, and perfect the 

mechanisms of, a free and open market 

and a national market system and, in 

general, to protect investors and the 

public interest and because it is not 

designed to permit unfair 

discrimination between customers, 

issuers, brokers, or dealers. 

The Exchange believes that the 

proposed rule change would remove 

impediments to, and perfect the 

mechanisms of, a free and open market 

and a national market system and, in 

general, protect investors and the public 

interest by expanding the number of 

registered brokers-dealers that would be 

eligible to become NYSE member 

organizations and trade on the 

Exchange, while maintaining high 

regulatory standards and a 

comprehensive regulatory regime with 

respect to such firms. The Exchange 

notes that it did not require member 

organizations to also be members of 

FINRA prior to 2007. It only 

subsequently required FINRA 

membership to accommodate a 

transition period as part of the 

combination of NASD and NYSE 

Regulation to form FINRA. Since that 

time, the Exchange reintegrated 

numerous regulatory function 

performed by FINRA.21 The reasons 

behind initially requiring FINRA 

membership no longer exist. 

The Exchange believes that the 

proposed rule change is designed to 

prevent fraudulent and manipulative 

acts and practices because member 

organization will continue to be subject 

to a comprehensive, mature, and 

rigorous regulatory program, regardless 

of whether they are members of FINRA 

or another SRO. As mentioned above, 

the Exchange will perform the necessary 

regulatory oversight of member 

organizations, as it did prior to 2007. 

Certain of the Exchange’s regulatory 

obligations with respect to member 

organizations that are FINRA members 

are allocated to FINRA pursuant to the 

terms of allocation plan under Rule 17d2 of the Act between FINRA and the 

Exchange.22 For those member 

organizations that are not FINRA 

members, the Exchange will provide for 

certain of its regulatory responsibilities, 

including, if applicable, DEA 

responsibilities, pursuant to an existing 

Regulatory Services Agreement between 

the Exchange and FINRA.23

The proposed rule change would also 

contribute to perfecting the mechanism 

of a free and open market and a national 

market system, which outcomes are also 

consistent with the protection of 

investors and the public interest by 

aligning NYSE membership 

requirements more closely with those of 

the Exchange’s affiliate, NYSE Arca.24 In 

addition, the proposed rule change is 

not without additional precedent. For 

example, the rules of the Cboe do not 

require membership in FINRA or on 

another SRO to be a Trading Permit 

Holder on Cboe.25 Finally, no federal 

securities law requires that a brokerdealer be a member of more than one 

national securities exchange or SRO 


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38198 Federal Register / Vol. 83, No. 150 / Friday, August 3, 2018 / Notices 

26See generally 15 U.S.C. 78o. 

27 15 U.S.C. 78f(b)(8). 

28See supra note 9 and accompanying text. 

29 17 CFR 200.30–3(a)(12). 

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

2 17 CFR 240.19b–4. 

3See Securities Exchange Act Release No. 83525 

(June 26, 2018), 83 FR 31006. 

4See Letter to Brent J. Fields, Secretary, 

Commission, from Richard J. McDonald, 

Susquehanna International Group, LLP, dated July 

23, 2018. 

5 17 CFR 200.30–3(a)(12). 

(e.g., FINRA).26 The Exchange’s 

proposal would merely remove the 

requirement under its rules that brokerdealers be members of another SRO 

when they are not otherwise required to 

do so. 

The proposed rule change would also 

not unfairly discriminate between or 

among market participants because both 

current and prospective members would 

be subject to the rule. All member 

organizations would be regulated in the 

same manner by the Exchange should 

they be a member of another SRO or not. 

For these reasons, the Exchange 

believes that the proposal is consistent 

with the Act. 

B. Self-Regulatory Organization’s 

Statement on Burden on Competition 

In accordance with Section 6(b)(8) of 

the Act,27 the Exchange believes that the 

proposed rule change will not 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 designed to 

have a competitive impact because it is 

not intended to attract additional 

business to the Exchange. It is simply 

intended to align the definition of 

‘‘member organization’’ with that of its 

affiliates [sic] and similar definitions of 

other national securities exchanges 

while ensuring the member 

organizations continue to be subject to 

comprehensive regulatory oversight. 

This proposal should also move to 

harmonize the membership 

requirements between the exchange and 

its affiliate NYSE Arca, thereby avoiding 

potential confusion.28

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 

Within 45 days of the date of 

publication of this notice in the Federal 

Register or 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 self-regulatory 

organization consents, the Commission 

will: 

(A) by order approve or disapprove 

the 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 (http://www.sec.gov/ 

rules/sro.shtml); or 

• Send an email to rule-comments@

sec.gov. Please include File Number SR– 

NYSE–2018–33 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–NYSE–2018–33. 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 the 

filing also will be available for 

inspection and copying at the principal 

office of the Exchange. 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 SR–NYSE–2018–33 and should 

be submitted on or before August 24, 

2018. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.29

Robert W. Errett, 

Deputy Secretary. 

[FR Doc. 2018–16598 Filed 8–2–18; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–83737; File No. SR–BOX– 

2018–20] 

Self-Regulatory Organizations; BOX 

Options Exchange LLC; Notice of 

Withdrawal of Proposed Rule Change 

To Amend BOX Rule 7300 (Preferenced 

Orders) To Provide an Additional 

Allocation Preference to Preferred 

Market Makers 

July 30, 2018. 

On June 13, 2018, BOX Options 

Exchange LLC (the ‘‘Exchange’’) filed 

with the Securities and Exchange 

Commission (‘‘Commission’’), pursuant 

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

Exchange Act of 1934 1 and Rule 19b– 

4 thereunder,2 a proposed rule change 

to amend Exchange Rule 7300 

(Preferenced Orders) to provide an 

additional allocation preference to 

Preferred Market Makers. The proposed 

rule change was published for comment 

in the Federal Register on July 2, 2018.3

The Commission received one comment 

letter on the proposal.4 On July 25, 

2018, the Exchange withdrew the 

proposed rule change (SR–BOX–2018– 

20). 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.5

Robert W. Errett, 

Deputy Secretary. 

[FR Doc. 2018–16595 Filed 8–2–18; 8:45 am] 

BILLING CODE 8011–01–P 


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