Federal Register / Vol. 83, No. 7 / Wednesday, January 10, 2018 / Notices 1279 

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. 78823 

(September 13, 2016), 81 FR 64240 (September 19, 

2016) (Order Approving File No. SR–FINRA–2016– 

018). 

5See Regulatory Notice 16–41 (October 2016). 

6See Securities Exchange Act Release No. 81114 

(July 11, 2017), 82 FR 32728 (July 17, 2017) (Order 

Approving File No. SR–FINRA–2017–015) and 

Securities Exchange Act Release No. 81318 (August 

4, 2017), 82 FR 37484 (August 10, 2017) (Order 

Approving File No. SR–FINRA–2017–021). 

7See Securities Exchange Act Release No. 77565 

(April 8, 2016), 81 FR 22136 (April 14, 2016) (Order 

Approving File No. SR–FINRA–2016–005); see also 

Regulatory Notice 16–23 (July 2016). 

8See Regulatory Notice 17–36 (November 2017). 

9 15 U.S.C. 78o–3(b)(6). 

public information reported on Form PF 

that is identifiable to any particular 

adviser or private fund, although the 

Commission may use Form PF 

information in an enforcement action. 

An agency may not conduct or sponsor, 

and a person is not required to respond 

to, a collection of information unless it 

displays a currently valid OMB control 

number. 

Written comments are invited on: (a) 

Whether the collection of information is 

necessary for the proper performance of 

the functions of the Commission, 

including whether the information has 

practical utility; (b) the accuracy of the 

Commission’s estimate of the burden of 

the collection of information; (c) ways to 

enhance the quality, utility, and clarity 

of the information collected; and (d) 

ways to minimize the burden of the 

collection of information on 

respondents, including through the use 

of automated collection techniques or 

other forms of information technology. 

Consideration will be given to 

comments and suggestions submitted in 

writing within 60 days of this 

publication. 

Please direct your written comments 

to Pamela Dyson, Director/Chief 

Information Officer, Securities and 

Exchange Commission, c/o Remi PavlikSimon, 100 F Street NE, Washington, 

DC 20549; or send an email to: PRA_

Mailbox@sec.gov. 

Dated: January 5, 2018. 

Eduardo A. Aleman, 

Assistant Secretary. 

[FR Doc. 2018–00267 Filed 1–9–18; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–82441; File No. SR–FINRA– 

2017–036] 

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 

January 4, 2018. 

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 December 

22, 2017, 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, II, 

and III 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 

http://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 September 13, 2016, the SEC 

approved changes to FINRA Rules 2210 

(Communications with the Public), 2213 

(Requirements for the Use of Bond 

Mutual Fund Volatility Ratings), and 

2214 (Requirements for the Use of 

Investment Analysis Tools) that, among 

other things, eliminated the filing 

requirements for investment analysis 

tool report templates and retail 

communications concerning such tools 

and instead requires members to 

provide FINRA staff with access to 

investment analysis tools upon request.4

The implementation date for the 

changes was January 9, 2017.5

The proposed rule change would 

delete FINRA Rule 2214.03 to eliminate 

the requirement to re-file a writtenreport template or retail communication 

concerning an investment analysis tool, 

and conform the rule to changes 

approved in SR–FINRA–2016–018. In 

addition, the proposed rule change 

would renumber FINRA Rule 2214.04 

through 2214.07 as 2214.03 through 

2214.06, accordingly. 

Also, the proposed rule change would 

make technical changes to FINRA Rule 

7730 (Trade Reporting and Compliance 

Engine (TRACE)). On July 11, 2017, the 

SEC approved SR–FINRA–2017–015, 

which added the definition of ‘‘End-ofDay TRACE Transaction File’’ to Rule 

7730 as paragraph (g)(6). On August 4, 

2017, the SEC approved SR–FINRA– 

2017–021, which added ‘‘TRACE 

Security Activity Report’’ also as 

paragraph (g)(6). The proposed rule 

change would redesignate Rule 

7730(g)(6) (TRACE Security Activity 

Report) as 7730(g)(7) to avoid 

duplication.6

Finally, the proposed rule change 

would update a reference in FINRA 

Rule 9217 (Violations Appropriate for 

Disposition Under Plan Pursuant to SEA 

Rule 19b–1(c)(2)) to reflect that FINRA 

Rule 7430 (Synchronization of Member 

Business Clocks) has been renumbered 

as FINRA Rule 4590 (Synchronization of 

Member Business Clocks) to conform 

with SEC approval in SR–FINRA–2016– 

005.7

FINRA has filed the proposed rule 

change for immediate effectiveness. The 

implementation date for the proposed 

changes to FINRA Rules 2214 and 9217 

will be January 22, 2018. The 

implementation date for the proposed 

changes to FINRA Rule 7730 will be 

February 1, 2018, to coincide with the 

implementation date of earlier changes 

to the rule.8

2. Statutory Basis 

FINRA believes that the proposed rule 

change is consistent with the provisions 

of Section 15A(b)(6) of the Act,9 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 


daltland on DSKBBV9HB2PROD with NOTICES
1280 Federal Register / Vol. 83, No. 7 / Wednesday, January 10, 2018 / Notices 

10 15 U.S.C. 78s(b)(3)(A). 

11 17 CFR 240.19b–4(f)(6). 12 17 CFR 200.30–3(a)(12). 

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 by 

deleting the re-filing requirements in 

Rule 2214.03 to conform to changes 

approved in SR–FINRA–2016–018 and 

by making technical updates in Rules 

7730(g)(6) and 9217. 

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 

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 10 and Rule 19b– 

4(f)(6) thereunder.11

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 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– 

FINRA–2017–036 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–2017–036. 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 FINRA. 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–FINRA– 

2017–036, and should be submitted on 

or before January 31, 2018. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.12

Eduardo A. Aleman, 

Assistant Secretary. 

[FR Doc. 2018–00213 Filed 1–9–18; 8:45 am] 

BILLING CODE 8011–01–P 

DEPARTMENT OF STATE 

[Public Notice: 10262] 

Call for Expert Reviewers To 

Contribute to the U.S. Government 

Review of the Intergovernmental Panel 

on Climate Change (IPCC) Special 

Report on the Impacts of Global 

Warming of 1.5 ≥C Above Preindustrial 

Levels and Related Global Greenhouse 

Gas Emission Pathways in the Context 

of Strengthening the Global Response 

to the Threat of Climate Change, 

Sustainable Development and Efforts 

to Eradicate Poverty. (Special Report 

on Global Warming of 1.5 ≥C) 

The United States Global Change 

Research Program (USGCRP), in 

cooperation with the Department of 

State, requests expert review of the 

second-order draft of the IPCC Special 

Report on Global Warming of 1.5 °C, 

including the first draft of its Summary 

for Policymakers (SPM). 

The United Nations Environment 

Programme (UNEP) and the World 

Meteorological Organization (WMO) 

established the IPCC in 1988. As 

reflected in its governing documents 

(the IPCC’s ‘‘principles and 

procedures’’), the role of the IPCC is to 

assess on a comprehensive, objective, 

open, and transparent basis the 

scientific, technical, and socioeconomic information relevant to 

understanding the scientific basis of risk 

of human-induced climate change, its 

potential impacts and options for 

adaptation and mitigation. IPCC reports 

should be neutral with respect to policy, 

although they may need to deal 

objectively with scientific, technical, 

and socio-economic factors relevant to 

the application of particular policies. 

The principles and procedures for the 

IPCC and its preparation of reports can 

be found at: https://www.ipcc.ch/pdf/ 

ipcc-principles/ipcc-principles.pdf and 

http://ipcc.ch/pdf/ipcc-principles/ipccprinciples-appendix-a-final.pdf. At the 

44th Session of the Panel (Bangkok, 

Thailand, October 17–20, 2016), the 

IPCC approved the outline for the 

Special Report on Global Warming of 

1.5C. Writing team nominations were 

submitted by the IPCC deadline of 

December 11, 2016, and author 

appointments made on January 23, 

2017. The Table of Contents for the 

Special Report can be viewed here: 

http://ipcc.ch/meetings/session44/l2_

adopted_outline_sr15.pdf. As reflected 

in the IPCC’s principles and procedures, 

review is an essential part of the IPCC 

process. Since the IPCC is an 

intergovernmental body, review of IPCC 

documents involves both peer review by 

experts and review by governments. The 


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