4988 Federal Register / Vol. 87, No. 20 / Monday, January 31, 2022 / Notices 

43 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. 

4See Securities Exchange Act Release No. 77241 

(February 26, 2016), 81 FR 11311 (March 3, 2016) 

(SR–NYSEMKT–2016–30). 

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. 

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–2022–04 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–2022–04. 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–2022–04 and should 

be submitted on or before February 22, 

2022. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.43

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2022–01851 Filed 1–28–22; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–94048; File No. SR– 

NYSEAMER–2022–01] 

Self-Regulatory Organizations; NYSE 

American LLC; Notice of Filing and 

Immediate Effectiveness of Proposed 

Rule Change of Non-Substantive 

Conforming Changes to Rule 9120 and 

Rule 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 American 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 and Rule 9560. 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 

9120 (Definitions) and Rule 9560 

(Expedited Suspension Proceeding) of 

the Exchange’s disciplinary rules. 

In 2016, the Exchange adopted rules 

relating to investigation, discipline, 

sanction, and other procedural rules 

based on the rules of its affiliate New 

York Stock Exchange LLC and the 

Financial Industry Regulatory Authority 

(‘‘FINRA’’).4 Rule 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 9120(m) includes 

the Department of Market Regulation of 

FINRA as defined in Rule 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 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 


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Federal Register / Vol. 87, No. 20 / Monday, January 31, 2022 / Notices 4989 

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. 

of FINRA from the definition of 

Enforcement in Rule 9120(m). As 

proposed, Rule 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 9000 Series, imposing sanctions on 

a member organization or covered 

person and (B) the Department of 

Enforcement of FINRA. 

Rule 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 9560(c)(1) & 

(2), (d)(1) and (e) use the term 

‘‘Chairman of the Hearing Panel.’’ This 

term is not defined in the disciplinary 

rules or used in Rule 476, the 

Exchange’s legacy disciplinary rules. 

The references to Chairman of the 

Hearing Panel in Rule 9560(c)(1) & (2), 

(d)(1) and (e) are incorrect and should 

be replaced with ‘‘Hearing Officer,’’ 

defined in Rule 9120(r) 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 9550 Series regarding expedited 

proceedings. The use of ‘‘Hearing 

Officer’’ would be consistent with the 

rules adopted by the Exchange’s other 

affiliates, which use ‘‘Hearing Officer’’ 

in their version of Rule 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– 

NYSEAMER–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–NYSEAMER–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–NYSEAMER–2022–01 and 


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4990 Federal Register / Vol. 87, No. 20 / Monday, January 31, 2022 / Notices 

11 17 CFR 200.30–3(a)(12). 

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. 2022–01846 Filed 1–28–22; 8:45 am] 

BILLING CODE 8011–01–P 

SOCIAL SECURITY ADMINISTRATION 

[Docket No. SSA–2021–0032] 

Privacy Act of 1974; Matching Program 

AGENCY: Social Security Administration 

(SSA). 

ACTION: Notice of a new matching 

program. 

SUMMARY: In accordance with the 

provisions of the Privacy Act, as 

amended, this notice announces a new 

matching program with the States, 

including tribal agencies and United 

States (U.S.) territories. The purpose of 

the matching program is to set forth the 

terms and conditions governing 

disclosures of records, information, or 

data (collectively referred to herein as 

‘‘data’’) made by SSA to various State 

agencies and departments, tribal 

agencies, and U.S. territories 

(collectively referred to as ‘‘State 

Agencies’’) that administer federally 

funded benefit programs, including 

those under various provisions of the 

Social Security Act (Act), as well as the 

state-funded state supplementary 

payment programs under Title XVI of 

the Act. 

DATES: The deadline to submit 

comments on the proposed matching 

program is March 2, 2022. The matching 

program will be applicable on July 1, 

2022, or once a minimum of 30 days 

after publication of this notice has 

elapsed, whichever is later. The 

matching program will be in effect for 

a period of 18 months. 

ADDRESSES: You may submit comments 

by any one of three methods—internet, 

fax, or mail. Do not submit the same 

comments multiple times or by more 

than one method. Regardless of which 

method you choose, please state that 

your comments refer to Docket No. 

SSA–2021–0032 so that we may 

associate your comments with the 

correct regulation. Caution: You should 

be careful to include in your comments 

only information that you wish to make 

publicly available. We strongly urge you 

not to include in your comments any 

personal information, such as Social 

Security numbers or medical 

information. 

1. Internet: We strongly recommend 

that you submit your comments via the 

internet. Please visit the Federal 

eRulemaking portal at http://

www.regulations.gov. Use the Search 

function to find docket number SSA– 

2021–0032 and then submit your 

comments. The system will issue you a 

tracking number to confirm your 

submission. You will not be able to 

view your comment immediately 

because we must post each submission 

manually. It may take up to a week for 

your comments to be viewable. 

2. Fax: Fax comments to (410) 966– 

0869. 

3. Mail: Matthew Ramsey, Executive 

Director, Office of Privacy and 

Disclosure, Office of the General 

Counsel, Social Security 

Administration, G–401 WHR, 6401 

Security Boulevard, Baltimore, MD 

21235–6401, or emailing 

Matthew.Ramsey@ssa.gov. Comments 

are also available for public viewing on 

the Federal eRulemaking portal at 

http://www.regulations.gov or in person, 

during regular business hours, by 

arranging with the contact person 

identified below. 

FOR FURTHER INFORMATION CONTACT: 

Interested parties may submit general 

questions about the matching program 

to Melissa Feldhan, Division Director, 

Office of Privacy and Disclosure, Office 

of the General Counsel, Social Security 

Administration, G–401 WHR, 6401 

Security Boulevard, Baltimore, MD 

21235–6401, at telephone: (410) 965– 

1416, or send an email to 

Melissa.Feldhan@ssa.gov. 

SUPPLEMENTARY INFORMATION: None. 

Matthew Ramsey, 

Executive Director, Office of Privacy and 

Disclosure, Office of the General Counsel. 

Participating Agencies: SSA and the 

States, State Agencies, tribal agencies, 

and U.S. territories. 

Authority for Conducting the 

Matching Program: The legal authorities 

for SSA to disclose data and the States’ 

authority to collect, maintain, and use 

data protected under SSA’s systems of 

records (SOR) for the specified purposes 

are: 

• Sections 453, 1106(b), and 1137 of 

the Act (42 U.S.C. 653, 1306(b), and 

1320b–7) (income and eligibility 

verification data); 

• 26 U.S.C. 6103(l)(7) and (8) (Federal 

tax information); 

• Sections 202(x)(3)(B)(iv) and 

1611(e)(1)(I)(iii) of the Act (42 U.S.C. 

402(x)(3)(B)(iv) and 1382(e)(1)(I)(iii)) 

(prisoner data); 

• Section 205(r)(3) of the Act (42 

U.S.C. 405(r)(3)) and the Intelligence 

Reform and Terrorism Prevention Act of 

2004, Public Law 108–458, 7213(a)(2) 

(death data); 

• Sections 402, 412, 421, and 435 of 

Public Law 104–193 (8 U.S.C. 1612, 

1622, 1631, and 1645) (quarters of 

coverage data); 

• Section 1902(ee) of the Act (42 

U.S.C. 1396a(ee)); Children’s Health 

Insurance Program Reauthorization Act 

of 2009 (CHIPRA), Public Law 111–3 

(citizenship data); and 

• Routine use exception to the 

Privacy Act, 5 U.S.C. 552a(b)(3) (data 

necessary to administer other programs 

compatible with SSA programs). 

Purpose(s): The purpose of the 

matching program is to set forth the 

terms and conditions governing 

disclosures of data made by SSA to 

various State agencies that administer 

federally funded benefit programs, 

including those under various 

provisions of the Act, such as section 

1137 of the Act (42 U.S.C. 1320b–7), as 

well as the state-funded state 

supplementary payment programs 

under Title XVI of the Act. The terms 

and conditions of the matching 

agreements ensure that SSA’s 

disclosures and the State Agencies’ use 

of such disclosed data is, in accordance 

with the requirements of the Privacy Act 

of 1974, as amended by the Computer 

Matching and Privacy Protection Act, 5 

U.S.C. 552a. 

Under section 1137 of the Act, States 

are required to use an income and 

eligibility verification system to 

administer specified federally funded 

benefit programs, including the statefunded state supplementary payment 

programs under Title XVI of the Act. To 

assist the State Agencies in determining 

entitlement to and eligibility for benefits 

under those programs, as well as other 

federally funded benefit programs, SSA 

verifies the Social Security number 

(SSN) and discloses certain data about 

applicants (and in limited 

circumstances, members of an 

applicant’s household) for stateadministered benefits from its Privacy 

Act SORs. 

SSA has separate agreements with the 

State Agencies, which describe the 

information SSA will disclose for 

specified federally funded benefit 

programs. 

Categories of Individuals: The 

individuals whose information is 

involved in this matching program are 

those who apply for federally funded, 

state-administered benefits, as well as 

current beneficiaries, recipients, and 

annuitants under the programs covered 

by the Agreement. 


khammond on DSKJM1Z7X2PROD with NOTICES