Federal Register / Vol. 86, No. 151 / Tuesday, August 10, 2021 / Notices 43701 

5See Securities Exchange Act Release Nos. 89241 

(July 7, 2020), 85 FR 42034 (July 13, 2020) (SR– 

NYSEAMER–2020–47); 89482 (August 5, 2020), 85 

FR 48577 (August 11, 2020) (SR–NYSEAMER– 

2020–55); 89692 (August 27, 2020), 85 FR 54611 

(September 2, 2020) (SR–NYSEAMER–2020–65); 

90193 (October 15, 2020), 85 FR 67069 (October 21, 

2020) (SR–NYSEAMER–2020–76); 90833 (December 

30, 2020), 86 FR 641 (January 6, 2021) (SR– 

NYSEAMER–2020–87), 91366 (March 19, 2021) 86 

FR 15987 (March 25, 2021) (SR–NYSEAMER–2021– 

14). 

6 15 U.S.C. 78f(b). 

7 15 U.S.C. 78f(b)(4) and (5). 

8 15 U.S.C. 78s(b)(3)(A). 

9 17 CFR 240.19b–4(f)(2). 

10 15 U.S.C. 78s(b)(2)(B). 

11 17 CFR 200.30–3(a)(12). 

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

2 17 CFR 240.19b–4. 

due to COVID–19 related considerations 

(the ‘‘Qualifying Firms’’).5

Because the Trading Floor continued 

to operate with reduced capacity, the 

Exchange extended the fee waivers for 

Qualifying Firms through ‘‘the earlier of 

the first full month of a full reopening 

of the Trading Floor facilities to Floor 

personnel or June 2021’’. 

As the Trading Floor re-opened 

without social distancing requirements 

for vaccinated personnel on June 25, 

2021 and the expiration date has passed, 

the Exchange is submitting this 

proposed rule change to remove the 

language related to the fee waivers from 

the Fee Schedule. 

2. Statutory Basis 

The Exchange believes that the 

proposed rule change is consistent with 

Section 6(b) of the Act,6 in general, and 

furthers the objectives of Sections 

6(b)(4) and (5) of the Act,7 in particular, 

because it provides for the equitable 

allocation of reasonable dues, fees, and 

other charges among its members, 

issuers and other persons using its 

facilities and does not unfairly 

discriminate between customers, 

issuers, brokers or dealers. 

The Exchange believes that the 

proposed modifications to the Fee 

Schedule to remove expired fee waivers 

that the Exchange no longer offers are 

reasonable, equitable, and not unfairly 

discriminatory because the changes 

would provide clarity to the Fee 

Schedule, and do not affect any current 

activity by any ATP Holder. 

B. Self-Regulatory Organization’s 

Statement on Burden on Competition 

In accordance with Section 6(b)(8) of 

the Act, the Exchange does not believe 

that the proposed rule change would 

impose any burden on competition that 

is not necessary or appropriate in 

furtherance of the purposes of the Act. 

Instead, the proposed change is meant 

to add clarity and transparency to the 

Fee Schedule to the benefit of all market 

participants that trade on the Exchange. 

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 

The foregoing rule change is effective 

upon filing pursuant to Section 

19(b)(3)(A) 8 of the Act and 

subparagraph (f)(2) of Rule 19b–4 9

thereunder, because it establishes a due, 

fee, or other charge imposed by the 

Exchange. 

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 

under Section 19(b)(2)(B) 10 of the Act 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–2021–34 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–2021–34. 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–2021–34, and 

should be submitted on or before 

August 31, 2021. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.11

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2021–16964 Filed 8–9–21; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–92562; File No. SR–CBOE– 

2021–043] 

Self-Regulatory Organizations; Cboe 

Exchange, Inc.; Notice of Filing and 

Immediate Effectiveness of a Proposed 

Rule Change To Amend Rules 3.31, 

3.33 and 3.34 

August 4, 2021. 

Pursuant to Section 19(b)(1) of the 

Securities Exchange Act of 1934 (the 

‘‘Act’’),1 and Rule 19b–4 thereunder,2

notice is hereby given that on July 22, 

2021, Cboe Exchange, Inc. (the 

‘‘Exchange’’ or ‘‘Cboe Options’’) 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 substantially prepared by the 


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43702 Federal Register / Vol. 86, No. 151 / Tuesday, August 10, 2021 / Notices 

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

4 17 CFR 240.19b–4(f)(6). 

5See Rule 3.31(a)(7), which describes the 

requirements to register as a Registered Options 

Principal. 

6See FINRA Information Notice, Administrative 

Changes to the Continuing Education Regulatory 

Element Programs (December 2, 2018), available at: 

https://www.finra.org/rules-guidance/notices/ 

information-notice-100218. 

7See Securities Exchange Release No. 91262 

(March 5, 2021), 86 FR 13935 (March 11, 2021) (SR– 

FINRA–2021–003). 

8The proposed rule change also makes minor, 

nonsubstantive formatting changes, including: 

Adding a period at the end of the heading for Rule 

3.34(c), which is uniform with subparagraph 

headings throughout the Rulebook; and adding the 

phrase ‘‘of this Rule’’ following references to 

subparagraph (c)(3) to provide for additional clarity 

regarding rule references. 

Exchange. The Exchange filed the 

proposal as a ‘‘non-controversial’’ 

proposed rule change pursuant to 

Section 19(b)(3)(A)(iii) of the Act 3 and 

Rule 19b–4(f)(6) thereunder.4 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 

The Exchange proposes to amend 

Rules 3.31, 3.34 and 3.33. The text of 

the proposed rule change is provided in 

Exhibit 5. 

The text of the proposed rule change 

is available on the Exchange’s website 

(http://www.cboe.com/AboutCBOE/ 

CBOELegalRegulatoryHome.aspx), 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 

The Exchange proposes to amend 

certain registration rules including (i) 

Rule 3.31 to update an incorrect crossreference, (ii) Rule 3.33 to update a 

Regulatory Element Program reference 

and (iii) Rule 3.34 to provide the option 

of filing an initial or a transfer electronic 

Form U4 filing and any amendments to 

the disclosure information on Form U4 

based on a manually or an electronically 

signed copy of the form, each as 

described below. 

Proposed Rule Change to Rule 3.31 

Rule 3.31 (Registration Categories) 

currently sets forth registration 

requirements for principal and 

representative registration categories. In 

particular, Rule 3.31(a)(2) provides that 

each principal as defined in paragraph 

(a)(1) (of Rule 3.31) is required to 

register with the Exchange as a General 

Securities Principal, subject to certain 

exceptions. More specifically, Rule 

3.31(a)(2) provides that if a principal’s 

activities include the functions of a 

Compliance Officer, a Financial and 

Operations Principal, a Securities 

Trader Principal, a Securities Trader 

Compliance Officer, or a Registered 

Options Principal ‘‘as specified in 

paragraphs (a)(3) through (a)(6) of . . . 

Rule [3.31],’’ then the principal must 

appropriately register in one or more of 

these categories. The Exchange notes 

however that the aforementioned 

categories are described under 

paragraphs (a)(3) through (a)(7) 5

(instead of through (a)(6)) and that the 

Exchange inadvertently omitted to 

cross-reference subparagraph (a)(7). 

Accordingly, the Exchange proposes to 

update the reference to (a)(6) to (a)(7) in 

the rule text to accurately reflect the 

corresponding subparagraphs to the 

registration categories listed under Rule 

3.31(a)(2)(A)(i). 

Proposed Rule Change to Rule 3.33 

Existing Rule 3.33 (Continuing 

Education for Registered Persons) 

includes Regulatory Elements for 

Exchange registered persons. The 

Regulatory Elements are Continuing 

Education (‘‘CE’’) programs 

administered by the Financial Industry 

Regulatory Industry, Inc. (‘‘FINRA’’) and 

consist of periodic computer-based 

training on regulatory, compliance, 

ethical, and supervisory subjects, and 

sales practice standards. Pursuant to 

current Rule 3.33(a)(3), the Exchange 

offers the following Regulatory Elements 

for Exchange registered persons: The 

S201 for registered principals and 

supervisors; the S106 for persons 

registered only as Investment Company 

and Variable Contracts Representatives; 

and the S101 for all other registered 

persons. The Exchange proposes to 

amend Rule 3.33(a)(3), to be consistent 

with FINRA’s most current CE 

programs. Specifically, the Exchange 

proposes to remove the language in Rule 

3.33(a)(3) that provides that the S106 

Regulatory Element CE Program is 

offered for persons registered only as 

Investment Company and Variable 

Contracts Representatives. In December 

2018, the content from S106 became 

part of the S101 Regulatory Element CE 

Program and was retired as a standalone program.6 As a result, persons 

registered only as Investment Company 

and Variable Contracts Representatives 

who complete the S106 CE Program, 

pursuant to Rule 3.33(a)(3), are now 

required to complete the S101 CE 

Program, as is currently the case for all 

other registered persons. Therefore, the 

Exchange proposes to update Rule 

3.33(a)(3) to reflect this CE Program 

change by removing the language in 

Rule 3.33(a)(3) that provides that the 

S106 is offered for persons registered 

only as Investment Company and 

Variable Contracts Representatives 

while maintaining the existing language 

that provides that the S101 is offered for 

all other registered persons. 

Proposed Rule Change to Rule 3.34 

Paragraph (c) of Rule 3.34 (Electronic 

Filing Requirements for Uniform 

Forms), currently sets forth Form U4 

filing requirements. Specifically, Rule 

3.34(c) provides that initial and transfer 

electronic Form U4 filings and any 

amendments to the disclosure 

information on Form U4 must be based 

on a manually signed Form U4 provided 

to the Trading Permit Holder (‘‘TPH’’) or 

applicant for membership by the person 

on whose behalf the Form U4 is being 

filed, consistent with FINRA Rule 

1010(c). However, FINRA recently 

amended their Rule 1010(c) to permit 

firms to choose to rely on electronic 

signatures to satisfy the signature 

requirements when filing Form U4.7

The Exchange proposes to amend Rule 

3.34 to similarly allow firms to rely on 

electronic signatures when filing Form 

U4, consistent with FINRA Rule 

1010(c). 

Specifically, the Exchange proposes to 

amend Exchange Rule 3.34, similar to 

the amendments made by FINRA, to 

provide firms the option of filing an 

initial or a transfer Form U4 based on 

a manually or an electronically signed 

copy of the form provided to the TPH, 

or applicant for membership, by the 

individual on whose behalf the form is 

being filed. As such, the proposed rule 

change removes the term ‘‘manual’’ 

from manual signature and the term 

‘‘manually’’ from manually signed in 

Rule 3.34(c) and in Interpretation and 

Policy .03 to Rule 3.34.8 The proposed 


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Federal Register / Vol. 86, No. 151 / Tuesday, August 10, 2021 / Notices 43703 

9See SR–FINRA–2021–003, 86 FR at 13937 

(noting the same in connection with the FINRA 

filing). 

10See accord Securities Exchange Act Release 

No. 85282 (March 11, 2019), 84 FR 9573 (March 15, 

2019) (Order Approving File No. SR–FINRA–2018– 

040) (discussing valid electronic signatures under 

existing guidance). 

11 15 U.S.C. 78f(b). 

12 15 U.S.C. 78f(b)(5). 13See supra note 9. 

14 15 U.S.C. 78s(b)(3)(A). 

15 17 CFR 240.19b–4(f)(6). 

rule change provides TPHs, and 

applicants for membership, with an 

opportunity to better manage 

operational challenges. Particularly, the 

COVID–19 pandemic amplified the need 

to better manage operational challenges 

like those that arose during the 

pandemic 9 and that may continue to 

arise in the future. The proposed rule 

change would not require the use of a 

particular type of technology to obtain 

a valid electronic signature from the 

associated person. The Exchange 

believes that some firms may be unable 

to obtain the manual signature of 

applicants for registration resulting in a 

significant operational backlog. By 

permitting these firms to rely on 

electronic signatures to satisfy the 

signature requirements of Exchange 

Rule 3.34, the proposed rule change 

may reduce or eliminate this backlog. 

For purposes of the proposed rule 

change, a valid electronic signature 

would be any electronic mark that 

clearly identifies the signatory and is 

otherwise in compliance with the 

Electronic Signatures in Global and 

National Commerce Act (‘‘E-Sign Act’’) 

and the guidance issued by the 

Commission relating to the E-Sign Act.10

2. Statutory Basis 

The Exchange believes the proposed 

rule change is consistent with the 

Securities Exchange Act of 1934 (the 

‘‘Act’’) and the rules and regulations 

thereunder applicable to the Exchange 

and, in particular, the requirements of 

Section 6(b) of the Act.11 Specifically, 

the Exchange believes the proposed rule 

change is consistent with the Section 

6(b)(5) 12 requirements that the rules of 

an exchange be 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 regulating, clearing, settling, 

processing information with respect to, 

and 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 

the proposed rule change promotes just 

and equitable principles of trade and 

removes impediments to and perfects 

the mechanisms of a free and open 

market and a national market system 

and, in general, protects investors and 

the public interest, by amending an 

incorrect cross-reference in Rule 3.31 

and a reference to an obsolete CE 

Program to reflect the current CE 

Programs administered by FINRA. 

Moreover, the proposed rule change 

updates the Exchange Rules to be 

consistent with current CE Program 

requirements and is designed to protect 

investors by ensuring accuracy and 

clarity relating to cross references in its 

rules and regarding CE for TPHs in Rule 

3.33. Furthermore, the proposed rule 

change provides firms with the 

flexibility to rely on electronic 

signatures to satisfy the signature 

requirements of Rule 3.34. Specifically, 

the Exchange proposes to amend 

Exchange Rule 3.34, similar to the 

amendments made by FINRA, to 

provide the option of filing an initial or 

a transfer Form U4 based on a manually 

or an electronically signed copy of the 

form provided to the TPH, or applicant 

for membership, by the individual on 

whose behalf the form is being filed. 

Considering the technological 

advancements that provide for 

enhanced authentication and security of 

electronic signatures, the Exchange 

believes that it is appropriate to amend 

Rule 3.34 to provide such flexibility. 

The proposed rule change also 

addresses the ongoing public health 

risks stemming from the outbreak of 

COVID–19 and the operational 

challenges that firms continue to face as 

a result of pandemic repercussions.13 By 

permitting these firms to rely on 

electronic signatures to satisfy the 

signature requirements of Rule 3.34, the 

proposed rule change may reduce or 

eliminate an operational backlog due to 

the difficulty firms may have faced in 

obtaining the manual signature of 

applicants for registration as a result of 

the impact of the pandemic on daily 

work environments. 

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 

Exchange does not believe that the 

proposed rule change will impose any 

burden on intramarket competition that 

is not necessary or appropriate in 

furtherance of the purposes of the Act 

as the proposed rule changes to update 

an incorrect cross-reference and delete 

an obsolete CE Program reference are 

merely clarifying in nature and are not 

meant to address any competitive issue. 

The proposed change relating to manual 

signatures is, in all material respects, 

substantively identical to recent rule 

changes adopted by FINRA. The 

Exchange believes the proposed change 

will reduce a regulatory burden for 

TPHs by allowing them to rely on Form 

U4 copies with an electronic signature. 

All TPHs will have the option to rely on 

such forms with an electronic signature 

(or continue to rely on forms with a 

manual signature). Also, all persons 

registered only as Investment Company 

and Variable Contracts Representatives 

Regulatory Element are already required 

to complete the S101 CE Program, as 

FINRA replaced S106 with S101 in 

2018; the proposed rule change just 

updates the Regulatory Element number 

in the Rules accordingly. 

The Exchange does not believe that 

the proposed rule change will impose 

any burden on intermarket competition 

that is not necessary or appropriate in 

furtherance of the purposes of the Act 

because the proposed rule changes are 

based upon the same changes recently 

made to FINRA Rule 1010(c) and 

consistent with the current Regulatory 

Element CE Programs administered by 

FINRA, as well as updates an incorrect 

cross-reference in the rules. 

C. Self-Regulatory Organization’s 

Statement on Comments on the 

Proposed Rule Change Received From 

Members, Participants, or Others 

The Exchange neither solicited nor 

received comments on 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 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 14 and Rule 19b– 

4(f)(6) 15 thereunder. 

A proposed rule change filed under 

Rule 19b–4(f)(6) normally does not 

become operative for 30 days after the 

date of filing. However, pursuant to 

Rule 19b–4(f)(6)(iii), the Commission 

may designate a shorter time if such 

action is consistent with the protection 

of investors and the public interest. The 


jbell on DSKJLSW7X2PROD with NOTICES
43704 Federal Register / Vol. 86, No. 151 / Tuesday, August 10, 2021 / Notices 

16See supra note 9 (where FINRA noted the 

same). In that filing, FINRA also requested and the 

Commission granted a waiver of the 30-day 

operative delay. See SR–FINRA–2021–003, 86 FR at 

13938–9. 17For purposes only of waiving the 30-day 

operative delay, the Commission has considered the 

proposed rule change’s impact on efficiency, 

competition, and capital formation. See 15 U.S.C. 

78c(f). 18 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. 

Exchange has asked the Commission to 

waive the 30-day operative delay so that 

the proposed rule change may become 

operative immediately upon filing. As 

noted by the Exchange, correcting the 

cross-reference in Rule 3.31(a)(2)(A)(i) 

and updating the reference to an 

obsolete CE Program in Rule 3.33(a)(3) 

would immediately alleviate potential 

confusion in connection with the 

Exchange’s publicly available rulebook. 

The Exchange also states that the 

proposed rule changes will help ensure 

accuracy and clarity relating to cross 

references in its rules and regarding CE 

for TPHs. Additionally, the Exchange 

notes that the proposed rule change to 

Exchange Rule 3.34 is based on a similar 

rule change by FINRA that has already 

taken effect. Finally, as the Exchange 

notes above in regard to its proposed 

rule change allowing electronic 

signatures to satisfy the signature 

requirements of Rule 3.34, the COVID– 

19 pandemic amplified the need to 

better manage operational challenges 

like those that arose during the 

pandemic 16 and that may continue to 

arise in the future. 

For these reasons, the Commission 

believes that waiver of the 30-day 

operative delay is consistent with the 

protection of investors and the public 

interest. Accordingly, the Commission 

hereby waives the 30-day operative 

delay and designates the proposal 

operative upon filing.17

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 

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– 

CBOE–2021–043 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–CBOE–2021–043. 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 such 

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 

submissions. You should submit only 

information that you wish to make 

available publicly. All submissions 

should refer to File Number SR–CBOE– 

2021–043 and should be submitted on 

or before August 31, 2021. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.18

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2021–16966 Filed 8–9–21; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34-92563; File No. SR– 

NYSEARCA–2021–68] 

Self-Regulatory Organizations; NYSE 

Arca, Inc.; Notice of Filing of Proposed 

Rule Change New Rule 6.91P–O 

August 4, 2021. 

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 July 23, 

2021, NYSE Arca, Inc. (‘‘NYSE Arca’’ or 

the ‘‘Exchange’’) filed with the 

Securities and Exchange Commission 

(the ‘‘Commission’’) the proposed rule 

change as described in Items I, II, and 

III 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 Substance of 

the Proposed Rule Change 

The Exchange proposes new Rule 

6.91P–O (Electronic Complex Order 

Trading) to reflect the implementation 

of the Exchange’s Pillar trading 

technology on its options market and to 

make conforming amendments to Rule 

6.47A–O (Order Exposure 

Requirements—OX). The proposed 

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 

self-regulatory organization 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. 


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