4970 Federal Register / Vol. 87, No. 20 / Monday, January 31, 2022 / Notices 

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

2 15 U.S.C. 78a. 

3 17 CFR 240.19b–4. 

For User, Security Key Revoked, User 

Invite Sent, Temporary Password 

Viewed, 2-Step Verification Turned Off, 

User Session Unblocked, Profile Photo 

Updated, User Advanced Protection 

Unenroll, User Archived, User Birthdate 

Changed, User Created, User Deleted, 

User Downgraded From Social Media 

Application, User Enrolled In 2-Step 

Verification, User List Downloaded, 

User Org Unit Changed, User Put In 2- 

Step Verification Grace Period, User 

Renamed, User Strong Auth Unenrolled, 

User Suspended, User Unarchived, User 

Undeleted, User Unsuspended, User 

Upgraded To Social Media Application. 

102. Application Authoring 

application audit log elements: App 

synced, App edited, App added, App 

deleted, App invocation added, App 

invocation edited, App invocation 

deleted, App invocation action 

performed, App read call made, App bot 

invocation. 

RECORD SOURCE CATEGORIES: 

Employees; contractors; customers. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

Standard routine uses 1. through 9. 

apply. In addition: 

(a) To appropriate agencies, entities, 

and persons when (1) the Postal Service 

suspects or has confirmed that there has 

been a breach of the system of records; 

(2) the Postal Service has determined 

that as a result of the suspected or 

confirmed breach there is a risk of harm 

to individuals, the Postal Service 

(including its information systems, 

programs, and operations), the Federal 

Government, or national security; and 

(3) the disclosure made to such 

agencies, entities, and persons is 

reasonably necessary to assist in 

connection with the Postal Service’s 

efforts to respond to the suspected or 

confirmed breach or to prevent, 

minimize, or remedy such harm. 

POLICIES AND PRACTICES FOR STORAGE OF

RECORDS: 

Automated database, computer 

storage media, and paper. 

POLICIES AND PRACTICES FOR RETRIEVAL OF

RECORDS: 

Records relating to system 

administration are retrievable by user 

ID. 

POLICIES AND PRACTICES FOR RETENTION AND

DISPOSAL OF RECORDS: 

Records relating to system 

administration are retained for twentyfour months. 

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL

SAFEGUARDS: 

Paper records, computers, and 

computer storage media are located in 

controlled-access areas under 

supervision of program personnel. 

Computer access is limited to 

authorized personnel with a current 

security clearance, and physical access 

is limited to authorized personnel who 

must be identified with a badge. 

Access to records is limited to 

individuals whose official duties require 

such access. Contractors and licensees 

are subject to contract controls and 

unannounced on-site audits and 

inspections. 

Computers are protected by 

encryption, mechanical locks, card key 

systems, or other physical access control 

methods. The use of computer systems 

is regulated with installed security 

software, computer logon 

identifications, and operating system 

controls including access controls, 

terminal and transaction logging, and 

file management software. 

RECORD ACCESS PROCEDURES: 

Requests for access must be made in 

accordance with the Notification 

Procedure above and USPS Privacy Act 

regulations regarding access to records 

and verification of identity under 39 

CFR 266.5. 

CONTESTING RECORD PROCEDURES: 

See Notification Procedure and 

Record Access Procedures above. 

NOTIFICATION PROCEDURES: 

Customers wanting to know if other 

information about them is maintained in 

this system of records must address 

inquiries in writing to the Chief 

Information Officer and Executive Vice 

President and include their name and 

address. 

EXEMPTIONS PROMULGATED FOR THE SYSTEM: 

None. 

HISTORY: 

May 10th, 2021; 86 FR 24902. 

* * * * * 

Joshua J. Hofer, 

Attorney, Ethics and Legal Compliance. 

[FR Doc. 2022–01064 Filed 1–28–22; 8:45 am] 

BILLING CODE 7710–12–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–94050; File No. SR– 

NYSEARCA–2022–01] 

Self-Regulatory Organizations; NYSE 

Arca, Inc.; Notice of Filing and 

Immediate Effectiveness of Proposed 

Rule Change of Non-Substantive 

Conforming Changes to Rules 10.9120 

and 10.9560 

January 25, 2022. 

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 January 

10, 2022, NYSE Arca, Inc. (the 

‘‘Exchange’’) filed with the Securities 

and Exchange Commission (the 

‘‘Commission’’) the proposed rule 

change as described in Items I and II 

below, which Items have been prepared 

by the self-regulatory 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 the Substance 

of the Proposed Rule Change 

The Exchange proposes nonsubstantive conforming changes to 

Rules 10.9120 and 10.9560 of the 

Exchange’s disciplinary rules. 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 

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 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 nonsubstantive conforming changes to 


khammond on DSKJM1Z7X2PROD with NOTICES
Federal Register / Vol. 87, No. 20 / Monday, January 31, 2022 / Notices 4971 

4See Securities Exchange Act Release No. 85639 

(April 12, 2019), 84 FR 16346 (April 18, 2019) (SR– 

NYSEArca–2019–15). 

5See ‘‘FINRA Announces Enforcement Structure, 

Senior Leadership Team,’’ July 26, 2018, available 

at https://www.finra.org/media-center/newsreleases/2018/finra-announces-enforcementstructure-senior-leadership-team. 

6See NYSE Rule 9560(c)(1) & (2), (d)(1) & (e); 

NYSE National Rule 10.9560(c)(1) & (2), (d)(1) & (e). 

7 15 U.S.C. 78f(b). 

8 15 U.S.C. 78f(b)(5). 

9 15 U.S.C. 78s(b)(3)(A). 

10 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 

4(f)(6)(iii) requires a self-regulatory organization 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. The Exchange 

has satisfied this requirement. 

Rules 10.9120 (Definitions) and 10.9560 

(Expedited Suspension Proceeding) of 

the Exchange’s disciplinary rules. 

In 2019, the Exchange adopted rules 

relating to investigation, discipline, 

sanction, and other procedural rules 

based on the rules of its affiliate NYSE 

American LLC and the Financial 

Industry Regulatory Authority 

(‘‘FINRA’’).4 Rule 10.9120 defines 

certain terms used in the Exchange’s 

disciplinary rules, including 

‘‘Department of Market Regulation’’ in 

paragraph (i) and ‘‘Enforcement’’ in 

paragraph (m). The definition of 

Enforcement in Rule 10.9120(m) 

includes the Department of Market 

Regulation of FINRA as defined in Rule 

10.9120(i). 

In 2018, FINRA created a unified 

enforcement function and eliminated 

the separate enforcement function in the 

Department of Market Regulation.5 In 

order to reflect FINRA’s revised 

organizational structure, the Exchange 

accordingly proposes to delete the 

definition of Department of Market 

Regulation in Rule 10.9120(i) and mark 

paragraph (i) ‘‘Reserved’’ in order to 

maintain the Rule’s sequencing. In 

addition, the Exchange proposes to 

delete Department of Market Regulation 

of FINRA from the definition of 

Enforcement in Rule 10.9120(m). As 

proposed, Rule 10.9120(m) would 

provide that the term ‘‘Enforcement’’ 

refers to (A) any department reporting to 

the Chief Regulatory Officer (defined as 

‘‘CRO’’) of the Exchange with 

responsibility for investigating or, when 

appropriate after compliance with the 

Rule 10.9000 Series, imposing sanctions 

on an ETP Holder, OTP Holder, OTP 

Firm or covered person and (B) the 

Department of Enforcement of FINRA. 

Rule 10.9560 sets forth procedures for 

issuing suspension orders to 

immediately prohibit persons from 

conducting, or providing access to the 

Exchange to conduct, disruptive quoting 

and trading activity. Rule 10.9560(c)(1) 

& (2), (d)(1) and (e) use the term ‘‘Chief 

Hearing Officer.’’ Rule 10.9120(c) 

defines ‘‘Chief Hearing Officer’’ as the 

Hearing Officer that manages the Office 

of Hearing Officers, or his or her 

delegatee. Rule 10.9120(r) defines 

‘‘Hearing Officer,’’ on the other hand, as 

a FINRA employee who is an attorney 

appointed by the Chief Hearing Officer 

to adjudicate and fulfill various 

adjudicative responsibilities and duties 

as described in, among other rules, the 

Rule 10.9550 Series regarding expedited 

proceedings. Since Rule 10.9560(c)(1) & 

(2), (d)(1) and (e) govern various aspects 

of the adjudicative process for expedited 

hearings—Rule 10.9560(c) governs 

hearings, Rule 10.9560(d) governs 

issuance of suspension orders by the 

hearing panel, and Rule 10.9560(e) 

governs hearing panel reviews—the 

references to Chief Hearing Officer in 

each of these subsections is incorrect. 

The correct reference should be 

‘‘Hearing Officer’’ consistent with the 

rules adopted by the Exchange’s other 

affiliates, which use ‘‘Hearing Officer’’ 

in their version of Rule 10.9560.6

2. Statutory Basis 

The proposed rule change is 

consistent with Section 6(b) of the Act,7

in general, and furthers the objectives of 

Section 6(b)(5),8 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 

facilitating transactions in securities, to 

remove impediments to, and perfect the 

mechanism of, a free and open market 

and a national market system and, in 

general, to protect investors and the 

public interest. 

In particular, the Exchange believes 

that the proposed non-substantive 

conforming changes would remove 

impediments to and perfect the 

mechanism of a free and open market 

and a national market system and, in 

general, protect investors and the public 

interest because the proposed nonsubstantive changes would add clarity, 

transparency and consistency to the 

Exchange’s rules. The Exchange believes 

that market participants would benefit 

from the increased clarity, thereby 

reducing potential confusion and 

ensuring that persons subject to the 

Exchange’s jurisdiction, regulators, and 

the investing public can more easily 

navigate and understand the Exchange’s 

rules. 

B. Self-Regulatory Organization’s 

Statement on Burden on Competition 

The Exchange does not believe that 

the proposed rule change will 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 intended to 

address competitive issues but is rather 

concerned with making non-substantive 

conforming changes to the Exchange 

rules. 

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 

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 prior to 30 days from the date 

on which it was filed, or such shorter 

time as the Commission may designate, 

if consistent with the protection of 

investors and the public interest, the 

proposed rule change has become 

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

of the Act 9 and Rule 19b–4(f)(6) 

thereunder.10

At any time within 60 days of the 

filing of such 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 shall 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 (http://www.sec.gov/ 

rules/sro.shtml); or 

• Send an email to rule-comments@

sec.gov. Please include File Number SR– 


khammond on DSKJM1Z7X2PROD with NOTICES
4972 Federal Register / Vol. 87, No. 20 / Monday, January 31, 2022 / Notices 

11 17 CFR 200.30–3(a)(12). 

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

2 15 U.S.C. 78a. 

3 17 CFR 240.19b–4. 

NYSEARCA–2022–01 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–NYSEARCA–2022–01. 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 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–NYSEARCA–2022–01 and 

should be submitted on or before 

February 22, 2022. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.11

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2022–01849 Filed 1–28–22; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

Sunshine Act Meetings 

TIME AND DATE: 2:00 p.m. on Thursday, 

February 3, 2022. 

PLACE: The meeting will be held via 

remote means and/or at the 

Commission’s headquarters, 100 F 

Street NE, Washington, DC 20549. 

STATUS: This meeting will be closed to 

the public. 

MATTERS TO BE CONSIDERED: 

Commissioners, Counsel to the 

Commissioners, the Secretary to the 

Commission, and recording secretaries 

will attend the closed meeting. Certain 

staff members who have an interest in 

the matters also may be present. 

In the event that the time, date, or 

location of this meeting changes, an 

announcement of the change, along with 

the new time, date, and/or place of the 

meeting will be posted on the 

Commission’s website at https://

www.sec.gov. 

The General Counsel of the 

Commission, or his designee, has 

certified that, in his opinion, one or 

more of the exemptions set forth in 5 

U.S.C. 552b(c)(3), (5), (6), (7), (8), 9(B) 

and (10) and 17 CFR 200.402(a)(3), 

(a)(5), (a)(6), (a)(7), (a)(8), (a)(9)(ii) and 

(a)(10), permit consideration of the 

scheduled matters at the closed meeting. 

The subject matter of the closed 

meeting will consist of the following 

topics: 

Institution and settlement of 

injunctive actions; 

Institution and settlement of 

administrative proceedings; 

Resolution of litigation claims; and 

Other matters relating to examinations 

and enforcement proceedings. 

At times, changes in Commission 

priorities require alterations in the 

scheduling of meeting agenda items that 

may consist of adjudicatory, 

examination, litigation, or regulatory 

matters. 

CONTACT PERSON FOR MORE INFORMATION: 

For further information; please contact 

Vanessa A. Countryman from the Office 

of the Secretary at (202) 551–5400. 

Authority: 5 U.S.C. 552b. 

Dated: January 27, 2022. 

Vanessa A. Countryman, 

Secretary. 

[FR Doc. 2022–02063 Filed 1–27–22; 4:15 pm] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–94047; File No. SR–NYSE– 

2022–02] 

Self-Regulatory Organizations; New 

York Stock Exchange LLC; Notice of 

Filing and Immediate Effectiveness of 

Proposed Rule Change of NonSubstantive Conforming Changes to 

Rule 9120 

January 25, 2022. 

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 January 

10, 2022, New York Stock Exchange 

LLC (the ‘‘Exchange’’) filed with the 

Securities and Exchange Commission 

(the ‘‘Commission’’) the proposed rule 

change as described in Items I and II 

below, which Items have been prepared 

by the self-regulatory 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 the Substance 

of the Proposed Rule Change 

The Exchange proposes nonsubstantive conforming changes to Rule 

9120 of the Exchange’s disciplinary 

rules. 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 

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 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 nonsubstantive conforming changes to Rule 


khammond on DSKJM1Z7X2PROD with NOTICES