[Federal Register Volume 86, Number 105 (Thursday, June 3, 2021)]
[Notices]
[Pages 29849-29852]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-11686]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-92070; File No. SR-CTA/CQ-2021-01]


Consolidated Tape Association; Order Approving the Thirty-Sixth 
Substantive Amendment to the Second Restatement of the CTA Plan and the 
Twenty-Seventh Substantive Amendment to the Restated CQ Plan

May 28, 2021.

I. Introduction

    On February 3, 2021,\1\ the Consolidated Tape Association (``CTA'') 
Plan participants \2\ filed with the Securities and Exchange Commission 
(``SEC'' or ``Commission''), pursuant to Section 11A of the Securities 
Exchange Act of 1934 (``Act'') \3\ and Rule 608 of Regulation National 
Market System (``NMS'') thereunder,\4\ a proposal to amend the Second 
Restatement of the CTA Plan and the Restated Consolidated Quotation 
(``CQ'') Plan (collectively ``CTA/CQ Plans'' or ``Plans'').\5\ These 
amendments represent the Thirty-Sixth Substantive Amendment to the 
Second Restatement of the CTA Plan and the Twenty-Seventh Substantive 
Amendment to the Restated CQ Plan (``Amendments'').
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    \1\ See Letter from Robert Books, Chair, CTA/CQ Operating 
Committee, to Vanessa Countryman, Secretary, Commission (Feb. 3, 
2021). The Amendments were posted to the Plans' website on February 
12, 2021. See Email from James P. Dombach, Counsel to the Plans, to 
Michael E. Coe, Assistant Director, Commission (Feb. 12, 2021).
    \2\ These participants are: Cboe BYX Exchange, Inc., Cboe BZX 
Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., 
Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., 
The Investors' Exchange LLC, Long-Term Stock Exchange, Inc., MEMX 
LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq ISE, LLC, Nasdaq PHLX, 
Inc., The Nasdaq Stock Market LLC, New York Stock Exchange LLC, NYSE 
American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE 
National, Inc. (each a ``Participant,'' and collectively the 
``Participants'').
    \3\ 15 U.S.C. 78k-1(a)(3).
    \4\ 17 CFR 242.608.
    \5\ The CTA Plan, pursuant to which markets collect and 
disseminate last-sale price information for non-Nasdaq-listed 
securities, is a ``transaction reporting plan'' under Rule 601 of 
Regulation NMS, 17 CFR 242.601, and a ``national market system 
plan'' under Rule 608 of Regulation NMS, 17 CFR 242.608. The CQ 
Plan, pursuant to which markets collect and disseminate bid/ask 
quotation information for non-Nasdaq-listed securities, is a 
``national market system plan'' under Rule 608 under the Act, 17 CFR 
242.608. See Securities Exchange Act Release Nos. 10787 (May 10, 
1974), 39 FR at 17799 (May 20, 1974) (declaring the CTA Plan 
effective); 15009 (July 28, 1978), 43 FR at 34851 (Aug. 7, 1978) 
(temporarily authorizing the CQ Plan); and 16518 (Jan. 22, 1980), 45 
FR at 6521 (Jan. 28, 1980) (permanently authorizing the CQ Plan). 
The most recent restatement of both Plans was in 1995.
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    The Amendments were published for comment in the Federal Register 
on March 1, 2021.\6\ One comment letter was received.\7\ This order 
approves the Amendments to the Plans.
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    \6\ See Securities Exchange Act Release No. 91189 (Feb. 23, 
2021), 86 FR 12038 (Mar. 1, 2021) (``Notice'').
    \7\ Comments received in response to the Notice are available at 
https://www.sec.gov/comments/sr-ctacq-2021-01/srctacq202101.htm.
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II. Description of the Proposal

    The Amendments propose revisions to the Plans' provisions governing 
Regulatory Halts \8\ and Operational Halts.\9\ The Participants state 
that ``[t]he purpose of the amendments is to incorporate into the Plans 
the same processes for Regulatory Halts that are proposed by the equity 
exchanges.'' \10\
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    \8\ The Amendments would define ``Regulatory Halt'' as ``a halt 
declared by the Primary Listing Market in trading in one or more 
securities on all Trading Centers for regulatory purposes, including 
for the dissemination of material news, news pending, suspensions, 
or where otherwise necessary to maintain a fair and orderly market. 
A Regulatory Halt includes a trading pause triggered by Limit Up 
Limit Down, a halt based on Extraordinary Market Activity, a trading 
halt triggered by a Market-Wide Circuit Breaker, and a SIP Halt.'' 
See Section XI(a)(i)(J) of the CTA Plan, as amended.
    \9\ The Amendments would define ``Operational Halt'' as ``a halt 
in trading in one or more securities only on a Market declared by 
such Participant and is not a Regulatory Halt.'' See Section 
XI(a)(i)(G) of the CTA Plan, as amended.
    \10\ See Notice, supra note 6, 86 FR at 12039.
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A. Regulatory Halts

1. Declaration of a Regulatory Halt
    With respect to declaration of a Regulatory Halt, the Amendments 
would provide that the Primary Listing Market \11\ may declare a 
Regulatory Halt in trading for any security for which it is the Primary 
Listing Market (1) as provided for in the rules of the Primary Listing 
Market; \12\ (2) if it determines \13\ there is a SIP Outage,\14\ 
Material SIP Latency,\15\ or Extraordinary Market Activity; \16\ or (3) 
in the event of

[[Page 29850]]

national, regional, or localized disruption that necessitates a 
Regulatory Halt to maintain a fair and orderly market.\17\
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    \11\ The Amendments would define ``Primary Listing Market'' as 
``the national securities exchange on which an Eligible Security is 
listed. If an Eligible Security is listed on more than one national 
securities exchange, Primary Listing Market means the exchange on 
which the security has been listed the longest.'' See Section 
XI(a)(i)(H) of the CTA Plan, as amended.
    \12\ See Section XI(a)(iii)(A)(1) of the CTA Plan, as amended.
    \13\ See Section XI(a)(iii)(A)(2) of the CTA Plan, as amended.
    \14\ The Amendments would define ``SIP Outage'' as ``a situation 
in which the Processor has ceased, or anticipates being unable, to 
provide updated and/or accurate quotation or last sale price 
information in one or more securities for a material period that 
exceeds the time thresholds for an orderly failover to backup 
facilities established by mutual agreement among the Processor, the 
Primary Listing Market for the affected securities, and the 
Operating Committee unless the Primary Listing Market, in 
consultation with the Processor and the Operating Committee, 
determines that resumption of accurate data is expected in the near 
future.'' See Section XI(a)(i)(M) of the CTA Plan, as amended.
    \15\ The Amendments would define ``Material SIP Latency'' as ``a 
delay of quotation or last sale price information in one or more 
securities between the time data is received by the Processor and 
the time the Processor disseminates the data over the high speed 
line or over the ``high speed line'' under the CQ Plan, which delay 
the Primary Listing Market determines, in consultation with, and in 
accordance with, publicly disclosed guidelines established by the 
Operating Committee, to be (a) material and (b) unlikely to be 
resolved in the near future.'' See Section XI(a)(i)(E) of the CTA 
Plan, as amended.
    \16\ The Amendments would define ``Extraordinary Market 
Activity'' as ``a disruption or malfunction of any electronic 
quotation, communication, reporting, or execution system operated 
by, or linked to, the Processor or a Trading Center or a member of 
such Trading Center that has a severe and continuing negative 
impact, on a market-wide basis, on quoting, order, or trading 
activity or on the availability of market information necessary to 
maintain a fair and orderly market. For purposes of this definition, 
a severe and continuing negative impact on quoting, order, or 
trading activity includes (i) a series of quotes, orders, or 
transactions at prices substantially unrelated to the current market 
for the security or securities; (ii) duplicative or erroneous 
quoting, order, trade reporting, or other related message traffic 
between one or more Trading Centers or their members; or (iii) the 
unavailability of quoting, order, transaction information, or 
regulatory messages for a sustained period.'' See Section 
XI(a)(i)(A) of the CTA Plan, as amended.
    \17\ See Section XI(a)(iii)(A)(3) of the CTA Plan, as amended.
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    The Amendments would further provide that, in determining whether 
to declare a Regulatory Halt, the Primary Listing Market will consider 
the totality of information available concerning the severity of the 
issue, its likely duration, and potential impact on Member Firms and 
other market participants, and will make a good-faith determination 
that the criteria to declare a Regulatory Halt have been satisfied and 
that a Regulatory Halt is appropriate.\18\ The Amendments would also 
provide that, the Primary Listing Market will consult, if feasible, 
with the affected Trading Center(s), other Participants, or the 
Processor, as applicable, regarding the scope of the issue and what 
steps are being taken to address the issue, and that the Primary 
Listing Market will continue to evaluate the circumstances to determine 
when trading may resume in accordance with the rules of the Primary 
Listing Market.\19\
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    \18\ See Section XI(a)(iii)(B) of the CTA Plan, as amended.
    \19\ See id. The Amendments would further provide that once a 
Regulatory Halt has been declared, the Primary Listing Market will 
continue to evaluate the circumstances to determine when trading may 
resume in accordance with the rules of the Primary Listing Market. 
See id.
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2. Initiating a Regulatory Halt

    The Amendments would specify procedures for initiating a Regulatory 
Halt. Specifically, when initiating a Regulatory Halt, the start time 
of a Regulatory Halt would be when the Primary Listing Market declares 
the halt, regardless of whether an issue with communications impacts 
the dissemination of the notice.\20\ The Amendments would further 
provide that if the Processor is unable to disseminate notice of a 
Regulatory Halt or the Primary Listing Market is not open for trading, 
the Primary Listing Market will take reasonable steps to provide notice 
of a Regulatory Halt, which shall include both the type and start time 
of the Regulatory Halt, by dissemination through: (1) Proprietary data 
feeds containing quotation and last sale price information that the 
Primary Listing Market also sends to the Processor; (2) posting on a 
publicly-available Participant website; or (3) system status 
messages.\21\ The Amendments would further specify that a Participant 
will halt trading for any security traded on its Market if the Primary 
Listing Market declares a Regulatory Halt for the security.\22\
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    \20\ See Section XI(a)(iv)(A) of the CTA Plan, as amended.
    \21\ See Section XI(a)(iv)(B) of the CTA Plan, as amended. The 
Amendments would further provide that, except in exigent 
circumstances, the Primary Listing Market will not declare a 
Regulatory Halt retroactive to a time earlier than the notice of 
such halt. See Section XI(a)(iv)(C) of the CTA Plan, as amended.
    \22\ See Section XI(a)(vii) of the CTA Plan, as amended.
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3. Resumption of Trading After a Regulatory Halt
    The Amendments would specify certain procedures for the resumption 
of trading following (1) Regulatory Halts other than a SIP Halts and 
(2) SIP Halts.\23\
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    \23\ The Amendments would define ``SIP Halt'' as ``a Regulatory 
Halt to trading in one or more securities that a Primary Listing 
Market declares in the event of a SIP Outage or Material SIP 
Latency.'' See Section XI(a)(i)(K) of the CTA Plan, as amended.
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a. Resumption of Trading After a Regulatory Halt Other Than a SIP Halt
    With respect to the resumption of trading after a Regulatory Halt 
other than a SIP Halt, the Amendments would provide that the Primary 
Listing Market will declare a resumption of trading when it makes a 
good-faith determination that trading may resume in a fair and orderly 
manner and in accordance with its rules.\24\ The Amendments would 
further provide that for a Regulatory Halt that is initiated by another 
Participant that is a Primary Listing Market, a Participant may resume 
trading after the Participant receives notification from the Primary 
Listing Market that the Regulatory Halt has been terminated.\25\
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    \24\ See Section XI(a)(v)(A) of the CTA Plan, as amended.
    \25\ See Section XI(a)(v)(B) of the CTA Plan, as amended.
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b. Resumption of Trading After a SIP Halt

    With respect to the resumption of trading after a SIP Halt, the 
Amendments would provide that the Primary Listing Market will determine 
the SIP Halt Resume Time.\26\ The Amendments would further provide 
that, in making such determination, the Primary Listing Market will 
make a good-faith determination and consider the totality of 
information to determine whether resuming trading would promote a fair 
and orderly market, including input from the Processor, the Operating 
Committee, or the operator of the system in question (as well as any 
Trading Center(s) to which such system is linked), regarding 
operational readiness to resume trading.\27\ The Amendments would also 
provide that the Primary Listing Market retains discretion to delay the 
SIP Halt Resume Time if it believes trading will not resume in a fair 
and orderly manner.\28\ Also, with respect to termination of the SIP 
Halt, the Amendments would provide that the Primary Listing Market will 
terminate a SIP Halt with a notification that specifies a SIP Halt 
Resume Time.\29\ The Amendments would further provide that the Primary 
Listing Market shall provide a minimum notice of a SIP Halt Resume 
Time, as specified by the rules of the Primary Listing Market, during 
which period market participants may enter quotes and orders in the 
affected securities.\30\ Under the Amendments, the Primary Listing 
Market would be permitted to stagger the SIP Halt Resume Times for 
multiple symbols in order to reopen in a fair and orderly manner.\31\
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    \26\ See Section XI(a)(vi)(A) of the CTA Plan, as amended. The 
Amendments would define ``SIP Halt Resume Time'' as ``the time that 
the Primary Listing Market determines as the end of a SIP Halt.'' 
See Section XI(a)(i)(L) of the CTA Plan, as amended.
    \27\ See id.
    \28\ See id.
    \29\ See Section XI(a)(vi)(B) of the CTA Plan, as amended.
    \30\ See id. The Amendments would further provide that, during 
regular Trading Hours, the last SIP Halt Resume Time before the end 
of Regular Trading Hours shall be an amount of time as specified by 
the rules of the Primary Listing Market. See id.
    \31\ See id.
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    Finally, the Amendments would provide that during Regular Trading 
Hours, if the Primary Listing Market does not open a security within 
the amount of time as specified by the rules of the Primary Listing 
Market after the SIP Halt Resume Time, a Participant may resume trading 
in that security.\32\ Under the Amendments, a Participant may, outside 
Regular Trading Hours, resume trading immediately after the SIP Halt 
Resume Time.\33\
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    \32\ See Section XI(a)(vi)(C) of the CTA Plan, as amended.
    \33\ See id.
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B. Communications

    The Amendments address communications regarding trading halts. 
Specifically, the Amendments would provide that, whenever in the 
exercise of its regulatory functions the Primary Listing Market for an 
Eligible Security determines it is appropriate to initiate a Regulatory 
Halt, the Primary Listing

[[Page 29851]]

Market will notify all other Participants and the Processor of such 
Regulatory Halt and will provide notice that a Regulatory Halt has been 
lifted using such protocols and other emergency procedures as may be 
mutually agreed to between the Operating Committee and the Primary 
Listing Market.\34\ The Amendments would further provide that the 
Processor shall disseminate to Participants notice of the Regulatory 
Halt (as well as notice of the lifting of a Regulatory Halt) through 
the high speed line or through the ``high speed line'' under the CQ 
Plan, and (ii) any other means the Processor, in its sole discretion, 
considers appropriate. Under the Amendments, each Participant would be 
required to continuously monitor these communication protocols 
established by the Operating Committee and the Processor during market 
hours.\35\
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    \34\ See Section XI(a)(viii) of the CTA Plan, as amended.
    \35\ See id. The Amendments would further provide that the 
failure of a Participant to continuously monitor such communication 
protocols as established by the Operating Committee and the 
Processor during market hours will not prevent the Primary Listing 
Market from initiating a Regulatory Halt in accordance with the 
procedures specified in these Amendments. See id.
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C. Operational Halts

    With respect to Operational Halts,\36\ the Amendments would provide 
that a Participant must notify the Processor if it has concerns about 
its ability to collect and transmit quotes, orders or last sale prices, 
or where it has declared an Operational Halt or suspension of trading 
in one or more Eligible Securities, pursuant to the procedures adopted 
by the Operating Committee.\37\
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    \36\ See supra note 9 and accompanying text.
    \37\ See Section XI(a)(ii) of the CTA Plan, as amended.
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III. Discussion and Commission Findings

    After careful review, the Commission is approving the Amendments, 
for the reasons discussed below. Section 11A of the Act authorizes the 
Commission, by rule or order, to authorize or require the self-
regulatory organizations to act jointly with respect to matters as to 
which they share authority under the Act in planning, developing, 
operating, or regulating a facility of the national market system.\38\ 
Pursuant to this authority, the Commission adopted Regulation NMS.\39\ 
Rule 603 of Regulation NMS requires the SROs to act jointly pursuant to 
NMS plans to ``disseminate consolidated information, including a 
national best bid and national best offer, on quotations for and 
transactions in NMS stocks.'' \40\ And Rule 608 of Regulation NMS 
authorizes two or more SROs, acting jointly, to file with the 
Commission a national market system plan (``NMS plan'') or a proposed 
amendment to an effective NMS plan.\41\ Rule 608 further provides that 
the Commission shall approve an amendment to an NMS plan if it finds 
that the amendment is necessary or appropriate in the public interest, 
for the protection of investors and the maintenance of fair and orderly 
markets, to remove impediments to, and perfect the mechanisms of, a 
national market system, or otherwise in furtherance of the purposes of 
the Act.\42\
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    \38\ See 15 U.S.C. 78k-1(a)(3)(B).
    \39\ 17 CFR 242.600-612; see also Regulation NMS, Securities 
Exchange Act Release No. 51808 (June 9, 2005), 70 FR 37495, 37560 
(June 29, 2005).
    \40\ 17 CFR 242.603(b).
    \41\ See 17 CFR 242.608.
    \42\ See 17 CFR 242.608(b)(2).
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    As stated above, the Commission received one comment letter 
regarding the proposed Amendments. The commenter states that the 
Amendments should be approved as filed.\43\ According to the commenter, 
the purpose of the Amendments is to incorporate into the Plans the same 
processes for Regulatory and Operational Halts that are proposed by the 
equity exchanges, including that the Primary Listing Market be vested 
with the authority to determine when to initiate and end a Regulatory 
Halt, consistent with its rules.\44\ The commenter states that the 
Primary Listing Market would be enabled to declare a Regulatory Halt as 
provided for in the Primary Listing Market's rules, if it determines 
that there is a SIP Outage, Material SIP Latency, Extraordinary Market 
Activity, or in the event of national, regional, or localized 
disruption that necessitates a Regulatory Halt to maintain a fair and 
orderly market. The commenter states that the Commission should thus 
approve the Amendments because they are consistent with the Act and 
Rule 608 thereunder.\45\
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    \43\ See Letter from Elizabeth K. King, Chief Regulatory 
Officer, ICE and General Counsel and Corporate Secretary, NYSE 
Group, Inc., to Vanessa Countryman, Secretary, Commission, at 2 
(Mar. 18, 2021) (``NYSE Letter'').
    \44\ See id.
    \45\ See id.
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    The Commission agrees that the Amendments are consistent with the 
Act and Rule 608 of Regulation NMS.\46\ The Commission believes that 
the Amendments further the goals of Section 11A of the Act and of Rules 
603 and 608 of Regulation NMS by establishing a clear and uniform 
approach with respect to trading halts under various defined 
circumstances. The Plans' provisions currently lack clarity with 
respect to whether a Primary Listing Market may declare a Regulatory 
Halt due to underlying problems at the SIP, as well as the standard and 
process for calling a halt and resuming trading thereafter. The 
Amendments--and in particular the revisions that address Regulatory 
Halts in connection with SIP Outages, Material SIP Latency, 
Extraordinary Market Activity, and national, regional, or localized 
disruptions that necessitate a Regulatory Halt to maintain a fair and 
orderly market--address this shortcoming by providing for uniform rules 
governing how Participants will address, among other things, the 
initiation, implementation, and communication of trading halts, as well 
as the resumption of trading after a trading halt or SIP Halt, thereby 
clarifying the procedures to be followed and the standards to be 
applied, improving coordination and certainty among the Participants 
and other market participants, and enhancing the resiliency and 
integrity of market systems. Accordingly, the Commission believes that 
the Amendments are in the public interest, support the protection of 
investors, and help the maintenance of fair and orderly markets because 
the Amendments are reasonably designed to assist market participants in 
understanding the processes to be followed during circumstances 
potentially warranting a regulatory halt, such as events involving the 
loss, timeliness, or accuracy of information that is processed or 
disseminated by the SIPs. Additionally, the Commission believes that 
the Amendments are reasonably designed to enhance the resiliency of the 
national market system by clearly memorializing the coordinated actions 
to be taken by the Participants during such events so that trading may 
resume in a fair and orderly manner.
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    \46\ See 17 CFR 242.608.
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    The Commission further believes that the proposed requirement for 
Primary Listing Markets to make good-faith determinations \47\ in 
consultation with other market participants, as may be applicable 
concerning the appropriateness of declaring a regulatory halt and 
resuming trading thereafter, should promote fairness and orderliness in 
decision-making by the Primary Listing Markets. In particular, the 
good-faith determination standard promotes fair and orderly markets and 
the protection of investors because it addresses potential concerns 
that

[[Page 29852]]

Primary Listing Markets may be subject to commercial pressures in 
making decisions to call a Regulatory Halt and resuming trading 
thereafter. Accordingly, the Commission believes that the good-faith-
determination standard encourages Primary Listing Markets to consider 
the broader interests of the national market system with respect to 
declaring trading halts and resuming trading thereafter, thereby 
promoting the maintenance of fair and orderly markets and enhancing the 
protection of investors.\48\
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    \47\ See, e.g., Sections XI(a)(iii)(B); XI(a)(v)(A); and 
XI(a)(vi)(A) of the CTA Plan, as amended.
    \48\ This commenter also urges the Commission to publish and 
provide notice of any material changes that the Commission is 
considering with respect to the Amendments. See NYSE Letter, supra 
note 43, at 2. The Commission has determined to approve the 
Amendments without modification.
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    For the reasons discussed, the Commission finds that the Amendments 
to the Plans, are consistent with the requirements of the Act and the 
rules and regulations thereunder, and in particular, Section 11A of the 
Act \49\ and Rule 608 \50\ thereunder in that the Amendments are 
necessary or appropriate in the public interest, for the protection of 
investors and the maintenance of fair and orderly markets, to remove 
impediments to, and perfect the mechanisms of, a national market 
system. Section 11A of the Act \51\ sets forth Congress' finding that 
it is in the public interest and appropriate for the protection of 
investors and the maintenance of fair and orderly markets to ensure the 
prompt, accurate, reliable and fair collection, processing, 
distribution, and publication of information with respect to quotations 
for and transactions in such securities and the fairness and usefulness 
of the form and content of such information. The Commission believes 
that the Amendments further these goals set forth by Congress.
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    \49\ 15 U.S.C. 78k-1.
    \50\ 17 CFR 242.608.
    \51\ 15 U.S.C. 78k-1(c)(1)(B).
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IV. Conclusion

    It is therefore ordered, pursuant to Section 11A of the Act,\52\ 
and Rule 608(b)(2) thereunder,\53\ that the Amendments to the CTA and 
CQ Plans (File No. SR-CTA/CQ-2021-01) are approved.
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    \52\ 15 U.S.C. 78k-1.
    \53\ 17 CFR 242.608(b)(2).

    By the Commission.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-11686 Filed 6-2-21; 8:45 am]
BILLING CODE 8011-01-P