2480 Federal Register / Vol. 83, No. 11 / Wednesday, January 17, 2018 / Notices 

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

2 17 CFR 240.19b–4. 

3See Securities Exchange Act Release No. 80911 

(June 13, 2017), 82 FR 27925. 

4 15 U.S.C. 78s(b)(2). 

5See Securities Exchange Act Release No. 81247, 

82 FR 36031 (August 2, 2017). The Commission 

designated September 17, 2017 as the date by which 

the Commission shall approve or disapprove, or 

institute proceedings to determine whether to 

disapprove, the proposed rule change. 

6See Letter from Gary L. Gastineau, President, 

ETF Consultants.com, Inc., to Brent J. Fields, 

Secretary, Commission, dated July 7, 2017; Letter 

from Todd J. Broms, Chief Executive Officer, Broms 

& Company LLC, to Brent J. Fields, Secretary, 

Commission, dated July 10, 2017; Letter from James 

J. Angel, Associate Professor of Finance, 

Georgetown University, McDonough School of 

Business, to the Commission, dated July 10, 2017; 

and Letter from Terence W. Norman, Founder, Blue 

Tractor Group, LLC, to Brent J. Fields, Secretary, 

Commission, dated August 1, 2017. The comment 

letters are available on the Commission’s website at: 

https://www.sec.gov/comments/sr-batsbzx-2017-30/ 

batsbzx201730.htm. 

7 15 U.S.C. 78s(b)(2)(B). 

8See Securities Exchange Act Release No. 81599, 

82 FR 43621 (September 18, 2017). 

9See Letter from Terence W. Norman, Founder, 

Blue Tractor Group, LLC, to Brent J. Fields, 

Secretary, Commission, dated December 5, 2017. 

The comment letter is available on the 

Commission’s website at: https://www.sec.gov/ 

comments/sr-batsbzx-2017-30/batsbzx201730.htm. 

10See Securities Exchange Act Release No. 82301, 

82 FR 60073 (December 18, 2017). The Commission 

designated February 14, 2018 as the date by which 

the Commission must either approve or disapprove 

the proposed rule change. 

11 17 CFR 200.30–3(a)(12). 

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

2 17 CFR 240.19b–4. 

3 17 CFR 240.19b–4(f)(6). 

4Public Law 111–203, 124 Stat. 1376 (2010). 

5See Securities Exchange Act Release No. 64795 

(July 1, 2011), 76 FR 39927 (July 7, 2011) (Order 

Granting Temporary Exemptions Under the 

Securities Exchange Act of 1934 in Connection 

With the Pending Revision of the Definition of 

‘‘Security’’ To Encompass Security-Based Swaps, 

For the Commission, by the Division of 

Investment Management, under delegated 

authority. 

Eduardo A. Aleman, 

Assistant Secretary. 

[FR Doc. 2018–00626 Filed 1–16–18; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–82482; File No. SR– 

BatsBZX–2017–30] 

Self-Regulatory Organizations; Bats 

BZX Exchange, Inc.; Notice of 

Withdrawal of a Proposed Rule Change 

To Permit the Listing and Trading of 

Managed Portfolio Shares and To List 

and Trade Shares of the Following 

Under Proposed Rule 14.11(k): 

ClearBridge Appreciation ETF, 

ClearBridge Large Cap ETF, 

ClearBridge MidCap Growth ETF, 

ClearBridge Select ETF, and 

ClearBridge All Cap Value ETF 

January 10, 2018. 

On June 1, 2017, Bats BZX Exchange, 

Inc. (‘‘Exchange’’) filed with the 

Securities and Exchange Commission 

(‘‘Commission’’), pursuant to Section 

19(b)(1) of the Securities Exchange Act 

of 1934 (‘‘Act’’) 1 and Rule 19b–4 

thereunder,2 a proposed rule change to: 

(1) Adopt Rule 14.11(k) (Managed 

Portfolio Shares); and (2) list and trade 

shares of the ClearBridge Appreciation 

ETF, ClearBridge Large Cap ETF, 

ClearBridge MidCap Growth ETF, 

ClearBridge Select ETF, and ClearBridge 

All Cap Value ETF under proposed Rule 

14.11(k). The proposed rule change was 

published for comment in the Federal 

Register on June 19, 2017.3 On July 28, 

2017, pursuant to Section 19(b)(2) of the 

Act,4 the Commission designated a 

longer period within which to approve 

the proposed rule change, disapprove 

the proposed rule change, or institute 

proceedings to determine whether to 

disapprove the proposed rule change.5

The Commission received four comment 

letters on the proposed rule change.6 On 

September 13, 2017, the Commission 

instituted proceedings under Section 

19(b)(2)(B) of the Act 7 to determine 

whether to approve or disapprove the 

proposed rule change.8 The Commission 

subsequently received one comment 

letter on the proposed rule change.9 On 

December 12, 2017, the Commission 

designated a longer period for action on 

the proposed rule change.10

On January 10, 2018, the Exchange 

withdrew the proposed rule change 

(SR–BatsBZX–2017–30). 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.11

Eduardo A. Aleman, 

Assistant Secretary. 

[FR Doc. 2018–00645 Filed 1–16–18; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–82480; File No. SR–FINRA– 

2018–001] 

Self-Regulatory Organizations; 

Financial Industry Regulatory 

Authority, Inc.; Notice of Filing and 

Immediate Effectiveness of a Proposed 

Rule Change To Extend the Expiration 

Date of FINRA Rule 0180 (Application 

of Rules to Security-Based Swaps) 

January 10, 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 January 4, 

2018, 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 extend the 

expiration date of FINRA Rule 0180 

(Application of Rules to Security-Based 

Swaps) to February 12, 2019. FINRA 

Rule 0180 temporarily limits, with 

certain exceptions, the application of 

FINRA rules with respect to securitybased swaps. 

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 July 1, 2011, the SEC issued an 

Order granting temporary exemptive 

relief (the ‘‘Temporary Exemptions’’) 

from compliance with certain 

provisions of the Exchange Act in 

connection with the revision, pursuant 

to Title VII of the Dodd-Frank Wall 

Street Reform and Consumer Protection 

Act (the ‘‘Dodd-Frank Act’’),4 of the 

Exchange Act definition of ‘‘security’’ to 

encompass security-based swaps.5


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