Federal Register / Vol. 89, No. 228 / Tuesday, November 26, 2024 / Notices 93373 

50 17 CFR 200.30–3(a)(57). 

1The burdens imposed by the CFTC are included 

in this collection of information. 

2024. Rebuttal comments should be 

submitted by December 31, 2024. 

For the Commission, by the Division 

of Trading and Markets, pursuant to 

delegated authority.50

Sherry R. Haywood, 

Assistant Secretary. 

[FR Doc. 2024–27609 Filed 11–25–24; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[SEC File No. 270–641, OMB Control No. 

3235–0685] 

Submission for OMB Review; 

Comment Request; Extension: Rules 

3a68–2 and 3a68–4(c) 

Upon Written Request, Copies Available 

From: US Securities and Exchange 

Commission, Office of FOIA 

Services, 100 F Street NE, 

Washington, DC 20549–2736 

Notice is hereby given that pursuant 

to the Paperwork Reduction Act of 1995 

(44 U.S.C. 3501 et seq.), the Securities 

and Exchange Commission (‘‘SEC’’) has 

submitted to the Office of Management 

and Budget (‘‘OMB’’) a request for 

approval of extension of the previously 

approved collection of information 

provided in Rules 3a68–2 and 3a68–4(c) 

under the Securities Exchange Act of 

1934 (‘‘Exchange Act’’) (15 U.S.C. 78a et 

seq.). 

Rule 3a68–2 creates a process for 

interested persons to request a joint 

interpretation by the SEC and the 

Commodity Futures Trading 

Commission (‘‘CFTC’’) (together with 

the SEC, the ‘‘Commissions’’) regarding 

whether a particular instrument (or 

class of instruments) is a swap, a 

security-based swap, or both (i.e., a 

mixed swap). Under Rule 3a68–2, a 

person provides to the Commissions a 

copy of all material information 

regarding the terms of, and a statement 

of the economic characteristics and 

purpose of, each relevant agreement, 

contract, or transaction (or class 

thereof), along with that person’s 

determination as to whether each such 

agreement, contract, or transaction (or 

class thereof) should be characterized as 

a swap, security-based swap, or both 

(i.e., a mixed swap). The Commissions 

also may request the submitting person 

to provide additional information. 

The SEC expects 25 requests pursuant 

to Rule 3a68–2 per year. The SEC 

estimates the total paperwork burden 

associated with preparing and 

submitting each request would be 20 

hours to retrieve, review, and submit the 

information associated with the 

submission. This 20-hour burden is 

divided between the SEC and the CFTC, 

with 10 hours per response regarding 

reporting to the SEC and 10 hours of 

response regarding third party 

disclosure to the CFTC.1 The SEC 

estimates this would result in an 

aggregate annual burden of 500 hours 

(25 requests x 20 hours/request). 

The SEC estimates that the total costs 

resulting from a submission under Rule 

3a68–2 would be approximately $17,520 

for outside attorneys to retrieve, review, 

and submit the information associated 

with the submission. The SEC estimates 

this would result in aggregate costs each 

year of $438,000 (25 requests × 30 

hours/request × $584). 

Rule 3a68–4(c) establishes a process 

for persons to request that the 

Commissions issue a joint order 

permitting such persons (and any other 

person or persons that subsequently 

lists, trades, or clears that class of mixed 

swap) to comply, as to parallel 

provisions only, with specified parallel 

provisions of either the Commodity 

Exchange Act (‘‘CEA’’) or the Exchange 

Act, and related rules and regulations 

(collectively ‘‘specified parallel 

provisions’’), instead of being required 

to comply with parallel provisions of 

both the CEA and the Exchange Act. 

The SEC expects ten requests 

pursuant to Rule 3a68–4(c) per year. 

The SEC estimates that nine of these 

requests will have also been made in a 

request for a joint interpretation 

pursuant to Rule 3a68–2, and one will 

not have been. The SEC estimates the 

total burden for the one request for 

which the joint interpretation pursuant 

to 3a68–2 was not requested would be 

30 hours, and the total burden 

associated with the other nine requests 

would be 20 hours per request because 

some of the information required to be 

submitted pursuant to Rule 3a68–4(c) 

would have already been submitted 

pursuant to Rule 3a68–2. The burden in 

both cases is evenly divided between 

the SEC and the CFTC. 

The SEC estimates that the total costs 

resulting from a submission under Rule 

3a68–4(c) would be approximately 

$29,200 for the services of outside 

attorneys to retrieve, review, and submit 

the information associated with the 

submission of the one request for which 

a request for a joint interpretation 

pursuant to Rule 3a68–2 was not 

previously made (1 request × 50 hours/ 

request × $584). For the nine requests 

for which a request for a joint 

interpretation pursuant to Rule 3a68–2 

was previously made, the SEC estimates 

the total costs associated with preparing 

and submitting a party’s request 

pursuant to Rule 3a68–4(c) would be 

$8,760 less per request because, as 

discussed above, some of the 

information required to be submitted 

pursuant to Rule 3a68–4(c) already 

would have been submitted pursuant to 

Rule 3a68–2. The SEC estimates this 

would result in an aggregate cost each 

year of $183,960 for the services of 

outside attorneys (9 requests × 35 hours/ 

request × $584). 

An agency may not conduct or 

sponsor, and a person is not required to 

respond to, a collection of information 

under the PRA unless it displays a 

currently valid OMB control number. 

The public may view background 

documentation for this information 

collection at the following website: 

www.reginfo.gov. Find this particular 

information collection by selecting 

‘‘Currently under 30-day Review—Open 

for Public Comments’’ or by using the 

search function. Written comments and 

recommendations for the proposed 

information collection should be sent 

within 30 days of publication of this 

notice by December 26, 2024 to (i) 

www.reginfo.gov/public/do/PRAMain or 

MBX.OMB.OIRA.SEC_desk_officer@

omb.eop.gov, and (ii) Austin Gerig, 

Director/Chief Data Officer, Securities 

and Exchange Commission, c/o Tanya 

Ruttenberg, 100 F Street NE, 

Washington, DC 20549, or by sending an 

email to: PRA_Mailbox@sec.gov. 

Dated: November 20, 2024 

Sherry R. Haywood, 

Assistant Secretary. 

[FR Doc. 2024–27621 Filed 11–25–24; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Investment Company Act Release No. 

35396; File No. 813–00414] 

Greystone & Co. II LLC; Greystone 

Employee Investments LP 

November 20, 2024. 

AGENCY: Securities and Exchange 

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

ACTION: Notice. 

Notice of application for an order 

(‘‘Order’’) under sections 6(b) and 6(e) of 

the Investment Company Act of 1940 

(the ‘‘Act’’) granting an exemption from 

all provisions of the Act, except sections 

9, 17, 30, and 36 through 53, and the 

rules and regulations under the Act (the 

‘‘Rules and Regulations’’). With respect 


lotter on DSK11XQN23PROD with NOTICES1
93374 Federal Register / Vol. 89, No. 228 / Tuesday, November 26, 2024 / Notices 

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

2 17 CFR 240.19b–4. 

3The Exchange initially filed the proposed fee 

change on November 1, 2024 (SR–CboeEDGX– 

2024–073). On November 12, 2024, the Exchange 

withdrew that filing and submitted this filing. 

4The Exchange notes for securities priced below 

$1.00, there is no fee or rebate for removing 

liquidity from EDGA using the ALLB routing 

strategy. 

5ALLB is a routing option under which an order 

checks the System for available shares and is then 

sent to Cboe BZX Exchange, Inc., Cboe BYX 

Exchange, Inc., and/or Cboe EDGA Exchange, Inc., 

in accordance with the System routing table. If 

shares remain unexecuted after routing, they are 

posted on the EDGX Book, unless otherwise 

instructed by the User. See Rule 11.11(g)(7). 

to sections 17(a), (d), (e), (f), (g), and (j) 

of the Act, sections 30(a), (b), (e), and (h) 

of the Act and the Rules and 

Regulations and rule 38a–1 under the 

Act, applicants request a limited 

exemption as set forth in the 

application. 

SUMMARY OF APPLICATION: Applicants 

request an order to exempt certain 

limited partnerships, limited liability 

companies, corporations, business or 

statutory trusts or other entities 

(‘‘Funds’’) organized primarily for the 

benefit of eligible employees of 

Greystone & Co. II LLC and its affiliates 

from certain provisions of the Act. Each 

Fund will be an ‘‘employees’ securities 

company’’ within the meaning of 

section 2(a)(13) of the Act. 

APPLICANTS: Greystone & Co. II LLC; and 

Greystone Employee Investments LP. 

FILING DATES: The application was filed 

on January 2, 2024 and amended on 

May 21, 2024. 

HEARING OR NOTIFICATION OF HEARING: 

An order granting the requested relief 

will be issued unless the Commission 

orders a hearing. Interested persons may 

request a hearing on any application by 

emailing the SEC’s Secretary at 

Secretarys-Office@sec.gov and serving 

the Applicants 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 Commission 

by 5:30 p.m. on December 16, 2024, 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 

emailing the Commission’s Secretary at 

Secretarys-Office@sec.gov. 

ADDRESSES: mail to: The Commission: 

Secretarys-Office@sec.gov. Applicant: 

Gary Levine, Greystone & Co. II LLC, 

gary.levine@greyco.com; Vadim 

Avdeychik, Clifford Chance US LLP, 

Vadim.avdeychik@cliffordchance.com. 

FOR FURTHER INFORMATION CONTACT: 

Chris Chase, Senior Counsel, or Lisa 

Reid Ragen, Branch Chief, at (202) 551– 

6825 (Division of Investment 

Management, Chief Counsel’s Office). 

SUPPLEMENTARY INFORMATION: For 

Applicants’ representations, legal 

analysis, and conditions, please refer to 

Applicants’ first amended and restated 

application, dated May 21, 2024, which 

may be obtained via the Commission’s 

website by searching for the file number 

at the top of this document, 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, http://www.sec.gov/edgar/ 

searchedgar/legacy/companysearch.

html. You may also call the SEC’s Public 

Reference Room at (202) 551–8090. 

For the Commission, by the Division of 

Investment Management, under delegated 

authority. 

Sherry R. Haywood, 

Assistant Secretary. 

[FR Doc. 2024–27607 Filed 11–25–24; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–101669; File No. SR– 

CboeEDGX–2024–076] 

Self-Regulatory Organizations; Cboe 

EDGX Exchange, Inc.; Notice of Filing 

and Immediate Effectiveness of a 

Proposed Rule Change To Amend Its 

Fee Schedule Relating to Routing 

Codes 

November 20, 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 November 

12, 2024, Cboe EDGX Exchange, Inc. 

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

Securities and Exchange Commission 

(‘‘Commission’’) the proposed rule 

change as described in Items I, II, and 

III below, which Items have been 

prepared by the Exchange. 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 

Cboe EDGX Exchange, Inc. (the 

‘‘Exchange’’ or ‘‘EDGX’’) proposes to 

amend its Fee Schedule. The text of the 

proposed rule change is provided in 

Exhibit 5. 

The text of the proposed rule change 

is also available on the Exchange’s 

website (http://markets.cboe.com/us/ 

options/regulation/rule_filings/edgx/), 

at the Exchange’s Office of the 

Secretary, 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 

Exchange 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. The 

Exchange 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 

Effective November 1, 2024, the 

Exchange proposes to amend its EDGX 

Fee Schedule applicable to its equities 

trading platform. By implementing a 

remove fee (as opposed to a rebate) for 

fee code, AA, and removing fee codes, 

I and RR.3

Fee Codes 

The Exchange proposes to implement 

a remove fee for fee code, AA. The 

proposed changes are as follows: 

• For securities priced above $1.00,4

fee code AA is appended to orders that 

are routed to EDGA using the ALLB 5

routing strategy. Currently, orders 

appended with fee code AA receive a 

rebate of $0.0016. 

The Exchange now proposes to amend 

fee code, AA, as follows: 

• For securities priced above $1.00, 

fee code AA will continue to be 

appended to orders that are routed to 

EDGA using the ALLB routing strategy. 

However, orders appended with fee 

code AA will now pay a fee of $0.0030. 

The Exchange does not propose to add 

a fee or rebate for removing liquidity for 

securities priced below $1.00. 

The Exchange also proposes to 

remove fee codes, I and RR. For orders 

in securities priced at $1.00 or above, 


lotter on DSK11XQN23PROD with NOTICES1