Federal Register / Vol. 89, No. 203 / Monday, October 21, 2024 / Notices 84231 

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

2 17 CFR 240.19b–4. 

3 17 CFR 240.19b–4(f)(6). 

4See Securities Exchange Act Release No. 99679 

(March 6, 2024), 89 FR 26428 (April 15, 2024) (SEC 

File No. S7–29–22, Disclosure of Order Execution 

Information). 

5See supra note 4. 

6The proposed rule change would also make a 

technical correction to Rule 6810 to delete the 

reference to the definition of ‘‘Option’’ under Rule 

600(b) of Regulation NMS, as this term is not 

defined in Rule 600(b). 

7See supra note 4. 

8See Securities Exchange Act Release No. 90535 

(November 30, 2020), 85 FR 78395 (December 4, 

2020) (Notice of Filing and Order Granting 

Accelerated Approval of File No. SR–FINRA–2020– 

024) and Securities Exchange Act Release No. 

92239 (June 23, 2021), 86 FR 34293 (June 29, 2021) 

(Notice of Filing and Immediate Effectiveness of 

File No. SR–FINRA–2021–017). 

9See Securities Exchange Act Release No. 56146 

(July 26, 2007), 72 FR 42190 (August 1, 2007) 

(Notice of Filing and Order Granting Accelerated 

Approval of File No. SR–NASD–2007–053). The 

proposed rule change would also make a similar 

technical change to Rule 9217 to delete an outdated 

reference to NASD rules. 

10 15 U.S.C. 78o–3(b)(6). 

For the Commission, by the Division of 

Investment Management, under delegated 

authority. 

Sherry R. Haywood, 

Assistant Secretary. 

[FR Doc. 2024–24217 Filed 10–18–24; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–101336; File No. SR– 

FINRA–2024–016] 

Self-Regulatory Organizations; 

Financial Industry Regulatory 

Authority, Inc.; Notice of Filing and 

Immediate Effectiveness of a Proposed 

Rule Change To Make Technical and 

Other Non-Substantive Changes 

Within FINRA Rules 

October 15, 2024. 

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

Securities Exchange Act of 1934 

(‘‘Act’’),1 and Rule 19b–4 thereunder,2

notice is hereby given that on October 

4, 2024, the Financial Industry 

Regulatory Authority, Inc. (‘‘FINRA’’) 

filed with the Securities and Exchange 

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

the proposed rule change as described 

in Items I and II below, which Items 

have been prepared by FINRA. FINRA 

has designated the proposed rule change 

as constituting a ‘‘non-controversial’’ 

rule change under paragraph (f)(6) of 

Rule 19b–4 under the Act,3 which 

renders the proposal effective upon 

receipt of this filing by the Commission. 

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 

FINRA is proposing to make technical 

and other non-substantive changes 

within FINRA rules. 

The text of the proposed rule change 

is available on FINRA’s website at 

https://www.finra.org, at the principal 

office of FINRA 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, 

FINRA 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. FINRA 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 

On March 6, 2024, the SEC adopted 

amendments to Rule 600 of Regulation 

NMS to add new defined terms to and 

modify certain existing defined terms in 

Rule 600 that are used in Rule 605 of 

Regulation NMS.4 The amendments to 

Rule 600 of Regulation NMS became 

effective on June 14, 2024.5 As a result 

of the SEC amendments to Regulation 

NMS, certain cross references in FINRA 

rules have become outdated and 

inaccurate. In order to ensure clarity 

and avoid future inaccuracy in the event 

of further amendment to Regulation 

NMS, the proposed rule change would 

delete numeric cross references in the 

following FINRA rules: 5320 

(Prohibition Against Trading Ahead of 

Customer Orders), 6110 (Trading 

Otherwise than on an Exchange), 6120 

(Trading Halts), 6121 (Trading Halts 

Due to Extraordinary Market Volatility), 

6140 (Other Trading Practices), 6182 

(Trade Reporting of Short Sales), 6183 

(Exemption from Trade Reporting 

Obligation for Certain Alternative 

Trading Systems), 6310A (General), 

6320A (Definitions), 6310B (General), 

6320B (Definitions), 6420 (Definitions), 

6810 (Definitions), 7110 (Definitions) 

and 7230A (Trade Report Input).6 The 

proposed rule change would also update 

FINRA Rule 9217 (Violations 

Appropriate for Disposition Under Plan 

Pursuant to SEA Rule 19d–1(c)(2)) to 

remove specific paragraph references 

and instead refer generally to Rule 605 

of Regulation NMS.7 In addition, the 

proposed rule change would delete 

references to FINRA Rules 7440 and 

7450 in Rule 9217 to reflect the 

elimination of the Order Audit Trail 

System rules from the FINRA Manual.8

Finally, the proposed rule change 

would make a technical change to 

Article IV, Section 3 (Membership— 

Executive Representative) of the FINRA 

By-Laws to replace reference to NASD 

Regulation website with FINRA website 

to reflect the current name of FINRA.9

FINRA has filed the proposed rule 

change for immediate effectiveness and 

has requested that the SEC waive the 

requirement that the proposed rule 

change not become operative for 30 days 

after the date of the filing, so FINRA can 

implement the proposed rule change 

immediately. 

2. Statutory Basis 

FINRA believes that the proposed rule 

change is consistent with the provisions 

of Section 15A(b)(6) of the Exchange 

Act,10 which requires, among other 

things, that FINRA rules must be 

designed to prevent fraudulent and 

manipulative acts and practices, to 

promote just and equitable principles of 

trade, and, in general, to protect 

investors and the public interest. FINRA 

believes the proposed rule change will 

provide greater clarity to members and 

the public regarding FINRA’s rules. 

B. Self-Regulatory Organization’s 

Statement on Burden on Competition 

FINRA does not believe that the 

proposed rule change will result in any 

burden on competition that is not 

necessary or appropriate in furtherance 

of the purposes of the Act. The 

proposed rule change brings clarity and 

consistency to FINRA rules without 

adding any burden on firms. 

C. Self-Regulatory Organization’s 

Statement on Comments on the 

Proposed Rule Change Received From 

Members, Participants, or Others 

Written comments were neither 

solicited nor received. 

III. Date of Effectiveness of the 

Proposed Rule Change and Timing for 

Commission Action 

FINRA has filed the proposed rule 

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


lotter on DSK11XQN23PROD with NOTICES1
84232 Federal Register / Vol. 89, No. 203 / Monday, October 21, 2024 / Notices 

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

12 17 CFR 240.19b–4(f)(6). 

13 15 U.S.C. 78s(b)(3)(A). 

14 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 

4(f)(6)(iii) requires FINRA 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. FINRA has satisfied this requirement. 

15 17 CFR 240.19b–4(f)(6). 

16 17 CFR 240.19b–4(f)(6)(iii). 

17For purposes only of waiving the 30-day 

operative delay, the Commission also has 

considered the proposed rule’s impact on 

efficiency, competition, and capital formation. See 

15 U.S.C. 78c(f). 18 17 CFR 200.30–3(a)(12) and (59). 

of the Act 11 and Rule 19b–4(f)(6) 12

thereunder. Because the foregoing 

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 

for 30 days from the date on which it 

was filed, or such shorter time as the 

Commission may designate, it has 

become effective pursuant to Section 

19(b)(3)(A) of the Act 13 and Rule 19b– 

4(f)(6) 14 thereunder. 

A proposed rule change filed under 

Rule 19b–4(f)(6) 15 normally does not 

become operative prior to 30 days after 

the date of the filing. However, pursuant 

to Rule 19b–4(f)(6)(iii),16 the 

Commission may designate a shorter 

time if such action is consistent with 

protection of investors and the public 

interest. FINRA has asked the 

Commission to waive the 30-day 

operative delay so that the proposed 

rule change may become operative 

immediately upon filing. The 

Commission believes that waving the 

30-day operative delay is consistent 

with the protection of investors and the 

public interest because it will allow 

FINRA to correct without delay 

outdated references in its rule text and 

does not introduce any novel regulatory 

issues. Accordingly, the Commission 

designates the proposed rule change to 

be operative upon filing.17

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 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 will institute proceedings 

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– 

FINRA–2024–016 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–FINRA–2024–016. 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–FINRA–2024–016 and should be 

submitted on or before November 12, 

2024. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.18

Sherry R. Haywood, 

Assistant Secretary. 

[FR Doc. 2024–24202 Filed 10–18–24; 8:45 am] 

BILLING CODE 8011–01–P 

SELECTIVE SERVICE SYSTEM 

Performance Review Board 

Membership 

AGENCY: Selective Service System. 

ACTION: Notice. 

SUMMARY: Notice is hereby given of the 

names of the members of the 

Performance Review Board. 

FOR FURTHER INFORMATION CONTACT: Lee 

Levells, Human Resources Officer, 

Selective Service System, 1501 Wilson 

Blvd., Arlington, VA 22209, telephone: 

703–605–4011. 

SUPPLEMENTARY INFORMATION: Sec. 

4314(c) (1) through (5) of title 5, U.S.C., 

requires each agency to establish, in 

accordance with regulations prescribed 

by the Office of Personnel Management, 

one or more performance review boards. 

The board shall review and evaluate the 

initial appraisal of a senior executive’s 

performance by the supervisor, along 

with any recommendations to the 

appointing authority relative to the 

performance of the senior executive. 

The Members of the Performance 

Review Board Are 

1. Mark Blythe, Director of Field 

Service, U.S. Railroad Retirement 

Board 

2. Peggy Gartner, Deputy Office Head, 

Office of Information and Resource 

Management, National Science 

Foundation 

3. Leslie Bayless, Chief Operating 

Officer, Federal Mine Safety and 

Health Review Commission 

Daniel A. Lauretano, Sr., 

General Counsel. 

[FR Doc. 2024–24311 Filed 10–18–24; 8:45 am] 

BILLING CODE 8015–01–P 

SMALL BUSINESS ADMINISTRATION 

[Disaster Declaration #20666 and #20667; 

LOUISIANA Disaster Number LA–20007] 

Presidential Declaration Amendment of 

a Major Disaster for Public Assistance 

Only for the State of Louisiana 

AGENCY: U.S. Small Business 

Administration. 


lotter on DSK11XQN23PROD with NOTICES1