50568 Federal Register / Vol. 86, No. 172 / Thursday, September 9, 2021 / Notices 

42 15 U.S.C. 78s(b)(3)(A)(iii). 

43 17 CFR 240.19b–4(f)(6). 

44 15 U.S.C. 78s(b)(3)(A). 

45 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 

4(f)(6)(iii) requires the Exchange to give the 

Commission written notice of the Exchange’s 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. 

46 17 CFR 240.19b–4(f)(6). 

47 17 CFR 240.19b–4(f)(6)(iii). 

48See supra note 40. 

49For purposes only of waiving the 30-day 

operative delay, the Commission has considered the 

proposed rule’s impact on efficiency, competition, 

and capital formation. See 15 U.S.C. 78c(f). 50 17 CFR 200.30–3(a)(12). 

proposing substantially similar rule 

filings. Therefore, this is not a 

competitive rule filing, and, therefore, it 

does not impose a burden on 

competition. 

Furthermore, IEX notes that FINRA 

undertook an economic impact 

assessment of the potential costs and 

benefits associated with OATS 

retirement and determined that CAT 

meets or exceeds the OATS standards. 

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 

The Exchange has filed the proposed 

rule change pursuant to Section 

19(b)(3)(A)(iii) of the Act 42 and Rule 

19b–4(f)(6) thereunder.43 Because the 

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 44 and Rule 19b–4(f)(6)(iii) 

thereunder.45

A proposed rule change filed under 

Rule 19b–4(f)(6) 46 normally does not 

become operative prior to 30 days after 

the date of the filing. However, pursuant 

to Rule 19b–4(f)(6)(iii),47 the 

Commission may designate a shorter 

time if such action is consistent with the 

protection of investors and the public 

interest. The Exchange has asked the 

Commission to waive the 30-day 

operative delay so that the proposal may 

become operative by September 1, 2021, 

the first day on which FINRA will no 

longer accept OATS data (unless FINRA 

delays the OATS retirement past that 

date.) 48 As discussed above, IEX 

believes that it is appropriate for FINRA 

to retire OATS as of September 1, 2021. 

IEX states that the use of CAT Data, 

whether by IEX directly, or by FINRA 

pursuant to IEX’s RSA with FINRA, will 

continue to allow for accurate and 

effective surveillance of market activity 

on IEX. In addition, August 31, 2021, 

will be the last ‘‘OATS Business Day,’’ 

as defined under FINRA Rule 

7450(b)(3), and reports submitted to 

OATS for order events that occur after 

August 31, 2021, will be rejected. The 

Commission believes that it is 

consistent with the protection of 

investors and the public interest for IEX 

to delete its OATS reporting rules at the 

same time that FINRA retires OATS. 

Accordingly, the Commission hereby 

waives the 30-day operative delay and 

designates the proposal operative on 

September 1, 2021.49

At any time within 60 days of the 

filing of this 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 will 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– 

IEX–2021–10 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–IEX–2021–10. 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 will also be available for 

inspection and copying at the IEX’s 

principal office and on its internet 

website at www.iextrading.com. All 

comments received will be posted 

without change. 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–IEX– 

2021–10, and should be submitted on or 

before September 30, 2021. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.50

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2021–19422 Filed 9–8–21; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–92867; File No. SR– 

NYSEArca–2021–65] 

Self-Regulatory Organizations; NYSE 

Arca, Inc.; Notice of Designation of a 

Longer Period for Commission Action 

on a Proposed Rule Change To List 

and Trade Shares of the Sprott ESG 

Gold ETF Under NYSE Arca Rule 

8.201–E (Commodity-Based Trust 

Shares) 

September 2, 2021. 

On July 19, 2021, NYSE Arca, Inc. 

(‘‘NYSE Arca’’) filed with the Securities 

and Exchange Commission 


lotter on DSK11XQN23PROD with NOTICES1
Federal Register / Vol. 86, No. 172 / Thursday, September 9, 2021 / Notices 50569 

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

2 17 CFR 240.19b–4. 

3See Securities Exchange Act Release No. 92506 

(July 26, 2021), 86 FR 41109. 

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

5 Id. 

6 17 CFR 200.30–3(a)(31). 

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

2 17 CFR 240.19b–4. 

3Securities Exchange Act Release No. 92570 

(August 5, 2021), 86 FR 44482 (August 12, 2021) 

(SR–NSCC–2021–010) (‘‘Notice’’). NSCC also filed 

the proposal contained in the Proposed Rule 

Change as advance notice SR–NSCC–2021–803 

(‘‘Advance Notice’’) with the Commission pursuant 

to Section 806(e)(1) of the Dodd-Frank Wall Street 

Reform and Consumer Protection Act entitled the 

Payment, Clearing, and Settlement Supervision Act 

of 2010 (‘‘Clearing Supervision Act’’). 12 U.S.C. 

5465(e)(1); 17 CFR 240.19b–4(n)(1)(i). Notice of 

filing of the Advance Notice was published for 

comment in the Federal Register on August 12, 

2021. Securities Exchange Act Release No. 92568 

(August 5, 2021), 86 FR 44530 (August 12, 2021) 

(SR–NSCC–2021–803). The proposal contained in 

the Proposed Rule Change and the Advance Notice 

shall not take effect until all regulatory actions 

required with respect to the proposal are 

completed. 

4Comment letters are available at https://

www.sec.gov/comments/sr-nscc-2021-010/srnscc

2021010.htm. 

5 15 U.S.C. 78s(b)(2). 

6 15 U.S.C. 78s(b)(2). 

7 17 CFR 200.30–3(a)(31). 

(‘‘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 

list and trade shares of the Sprott ESG 

Gold ETF under NYSE Arca Rule 8.201– 

E (Commodity-Based Trust Shares). The 

proposed rule change was published for 

comment in the Federal Register on July 

30, 2021.3 The Commission has received 

no comment letters on the proposed rule 

change. 

Section 19(b)(2) of the Act 4 provides 

that within 45 days of the publication of 

notice of the filing of a proposed rule 

change, or within such longer period up 

to 90 days as the Commission may 

designate if it finds such longer period 

to be appropriate and publishes its 

reasons for so finding, or as to which the 

self-regulatory organization consents, 

the Commission shall either approve the 

proposed rule change, disapprove the 

proposed rule change, or institute 

proceedings to determine whether the 

proposed rule change should be 

disapproved. The 45th day after 

publication of the notice for this 

proposed rule change is September 13, 

2021. The Commission is extending this 

45-day time period. 

The Commission finds it appropriate 

to designate a longer period within 

which to take action on the proposed 

rule change so that it has sufficient time 

to consider the proposed rule change. 

Accordingly, the Commission, pursuant 

to Section 19(b)(2) of the Act,5

designates October 28, 2021 as the date 

by which the Commission shall either 

approve or disapprove, or institute 

proceedings to determine whether to 

disapprove, the proposed rule change 

(File No. SR–NYSEArca–2021–65). 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.6

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2021–19421 Filed 9–8–21; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–92860; File No. SR–NSCC– 

2021–010] 

Self-Regulatory Organizations; 

National Securities Clearing 

Corporation; Notice of Designation of 

Longer Period for Commission Action 

on a Proposed Rule Change To 

Establish the Securities Financing 

Transaction Clearing Service and Make 

Other Changes 

September 2, 2021. 

On July 22, 2021, National Securities 

Clearing Corporation (‘‘NSCC’’) filed 

with the Securities and Exchange 

Commission (‘‘Commission’’) proposed 

rule change SR–NSCC–2021–010 

(‘‘Proposed Rule Change’’) pursuant to 

Section 19(b)(1) of the Securities 

Exchange Act of 1934 (‘‘Act’’) 1 and Rule 

19b–4 thereunder.2 The Proposed Rule 

Change was published for comment in 

the Federal Register on August 12, 

2021.3 The Commission has received 

comment letters on the Proposed Rule 

Change.4

Section 19(b)(2) of the Act 5 provides 

that, within 45 days of the publication 

of notice of the filing of a proposed rule 

change, or within such longer period up 

to 90 days as the Commission may 

designate if it finds such longer period 

to be appropriate and publishes its 

reasons for so finding or as to which the 

self-regulatory organization consents, 

the Commission shall either approve the 

proposed rule change, disapprove the 

proposed rule change, or institute 

proceedings to determine whether the 

proposed rule change should be 

disapproved. The 45th day after 

publication of the notice for the 

Proposed Rule Change is September 26, 

2021. 

The Commission is extending the 45- 

day period for Commission action on 

the Proposed Rule Change. The 

Commission finds that it is appropriate 

to designate a longer period within 

which to take action on the Proposed 

Rule Change so that it has sufficient 

time to consider and take action on the 

Proposed Rule Change. 

Accordingly, pursuant to Section 

19(b)(2) of the Act 6 and for the reasons 

stated above, the Commission 

designates November 10, 2021 as the 

date by which the Commission shall 

either approve, disapprove, or institute 

proceedings to determine whether to 

disapprove proposed rule change SR– 

NSCC–2021–010. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.7

J. Matthew DeLesDernier, 

Assistant Secretary. 

[FR Doc. 2021–19418 Filed 9–8–21; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release Nos. 33–10976; 34–92872; File No. 

265–32] 

SEC Small Business Capital Formation 

Advisory Committee 

AGENCY: Securities and Exchange 

Commission. 

ACTION: Notice of meeting. 

SUMMARY: The Securities and Exchange 

Commission Small Business Capital 

Formation Advisory Committee, 

established pursuant to the Securities 

Exchange Act of 1934 as added by the 

SEC Small Business Advocate Act of 

2016, is providing notice that it will 

hold a public meeting by 

videoconference. The public is invited 

to submit written statements to the 

Committee. 

DATES: The meeting will be held on 

Monday, September 27, 2021, from 

10:00 a.m. to 2:30 p.m. (ET) and will be 

open to the public. Written statements 

should be received on or before 

September 27, 2021. 

ADDRESSES: The meeting will be 

conducted by remote means 

(videoconference). Members of the 

public may attend the meeting by 

viewing the webcast on the 

Commission’s website at www.sec.gov. 

Written statements may be submitted by 

any of the following methods: 


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