Federal Register / Vol. 82, No. 162 / Wednesday, August 23, 2017 / Notices 40055 

28 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. 

4The Exchange originally filed the proposed 

changes on July 21, 2017 (SR–NYSE–2017–37), 

withdrew such filing on July 27 and refiled the 

same day (SR–NYSE–2017–39). The Exchange 

subsequently withdrew SR–NYSE–2017–39 and 

refiled on August 2, 2017 (SR–NYSE–2017–40). SR– 

NYSE–2017–40 was subsequently withdrawn and 

replaced by this filing. 

5See Securities Exchange Act Release No.80283 

(March 21, 2017), 82 FR 15244 (March 27, 2017) 

(SR–NYSEMKT–2017–14). 

6See Securities Exchange Act Release No. 80748 

(May 23, 2017), 82 FR 24764 (May 30, 2017) (SR– 

NYSEMKT 2017–20). 

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 Web site (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 Web site viewing and 

printing in the Commission’s Public 

Reference Room 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; the 

Commission does not 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– 

NYSEAMER–2017–06, and should be 

submitted on or before September 13, 

2017. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.28

Eduardo A. Aleman, 

Assistant Secretary. 

[FR Doc. 2017–17807 Filed 8–22–17; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–81420; File No. SR–NYSE– 

2017–41] 

Self-Regulatory Organizations; New 

York Stock Exchange LLC; Notice of 

Filing and Immediate Effectiveness of 

Proposed Change in Connection With 

the Name Change of Its Affiliate, From 

NYSE MKT LLC to NYSE American LLC 

August 17, 2017. 

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 August 

9, 2017, New York Stock Exchange LLC 

(‘‘NYSE’’ or the ‘‘Exchange’’) 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 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 in connection 

with the name change of its affiliate, 

from NYSE MKT LLC to NYSE 

American LLC, to amend certain rules, 

the Independence Policy of the Board of 

Directors (‘‘Independence Policy’’), the 

New York Stock Exchange Price List 

(‘‘Price List’’), and the NYSE Proprietary 

Market Data Fees (‘‘Market Data Fees’’) 

to reflect that name change. The 

proposed change is available on the 

Exchange’s Web site 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. 

A. Self-Regulatory Organization’s 

Statement of the Purpose of, and the 

Statutory Basis for, the Proposed Rule 

Change 

1. Purpose 

The Exchange proposes, in 

connection with the name change of its 

affiliate, from NYSE MKT LLC (‘‘NYSE 

MKT’’) to NYSE American LLC (‘‘NYSE 

American’’), to amend certain rules of 

the Exchange, the Independence Policy, 

Price List, and Market Data Fees to 

reflect that name change.4

Background 

On March 16, 2017, NYSE MKT filed 

rule changes with the Commission in 

connection with its name change to 

NYSE American.5 In addition, on May 

19, 2017, NYSE MKT filed rule changes 

with the Commission associated with 

the rebranding of NYSE Amex Options, 

the Exchange’s facility for trading 

options, to NYSE American Options.6

The NYSE MKT name change to NYSE 

American became operative on July 24, 

2017. Accordingly, the Exchange 

proposes to amend the Independence 

Policy, Price List, Market Data Fees, and 

certain rules to [sic] as detailed below 

to reflect the new name of its affiliate, 

NYSE American. 

Proposed Rule Changes 

• The Exchange proposes to replace 

‘‘NYSE MKT LLC’’ with ‘‘NYSE 

American LLC’’ in Rule 2, 

Supplementary Material .10 (‘‘Member’’, 

‘‘Membership’’, ‘‘Member Firm’’, etc.); 

Rule 17(c)(2) (Use of Exchange Facilities 

and Vendor Services); Rule 18, 

Supplementary Material .10(a) 

(Compensation in Relation to Exchange 

System Failure); Rule 70, 

Supplementary Material .40(3) 

(Execution of Floor Broker Interest); 

Rule 98 (c)(6) (Operation of a DMM 

Unit); Rule 103, Supplementary 

Material .20(b)(6) (Registration and 

Capital Requirements of DMMs and 

DMM Units); and Rule 103B(IX) 

(Security Allocation and Reallocation). 

• The Exchange proposes to replace 

‘‘NYSE MKT’’ with ‘‘NYSE American’’ 

in Rule 2, Supplementary Material .10 

and .20; Rule 17(c)(2); Rule 18, 

Supplementary Material .10; Rule 36, 

Supplementary Material .70(a)(iii) 

(Communications Between Exchange 

and Members’ Officers); Rule 70, 

Supplementary Material .40(3); Rule 

103, Supplementary Material .20(b)(6); 

and Rule 103B(IX). 

• The Exchange proposes to replace 

‘‘NYSE Amex Options Trading Floor’’ 

with ‘‘NYSE American Options Trading 

Floor’’ in Rule 6A(b)(‘‘Trading Floor’’) 

and Rule 36, Supplementary Material 

.23 and .70(a). 

• The Exchange proposes to replace 

‘‘NYSE Amex’’ with ‘‘NYSE American’’ 

in Rule 36, Supplementary Material .23 

and .70(a). 

• The Exchange proposes to replace 

‘‘NYSE Amex-listed’’ with ‘‘NYSE 

American-listed’’ in Rule 6A. 


asabaliauskas on DSKBBXCHB2PROD with NOTICES
40056 Federal Register / Vol. 82, No. 162 / Wednesday, August 23, 2017 / Notices 

7 In addition, the Exchange proposes to delete 

footnote 2 of the Independence Policy, which has 

an obsolete reference to NYSE Regulation, Inc. 

(‘‘NYSE Regulation’’). NYSE Regulation and NYSE 

Market (DE), Inc. (‘‘NYSE Market (DE)’’) were 

previously parties to a Delegation Agreement 

whereby the Exchange delegated certain regulatory 

functions to NYSE Regulation and certain market 

functions to NYSE Market (DE). The Delegation 

Agreement was terminated when the Exchange reintegrated its regulatory and market functions. As 

a result, the two entities ceased being regulated 

subsidiaries, and NYSE Regulation was merged out 

of existence. See Securities Exchange Act Release 

No. 75991 (September 28, 2015), 80 FR 59837. 

8Prior to the termination of the Delegation 

Agreement, the same Independence Policy applied 

to the Exchange, NYSE MKT LLC, NYSE Market 

(DE), and NYSE Regulation. See Securities 

Exchange Act Release Nos. 72156 (May 13, 2014), 

79 FR 28782 (May 19, 2014) (SR–NYSEMKT–2014– 

41); 67564 (August 1, 2012), 77 FR 47161 (August 

7, 2012) (SR–NYSE–2012–17; SR–NYSEArca–2012– 

59; SR–NYSEMKT–2012–07). 

9 15 U.S.C. 78f(b). 

10 15 U.S.C. 78f(b)(1). 

11 15 U.S.C. 78f(b)(5). 

12 15 U.S.C. 78s(b)(3)(A). 

13 17 CFR 240.19b–4(f)(3). 

• In Rule 70, Supplementary Material 

.40(3), the Exchange proposes to replace 

‘‘NYSE Amex option’’ with ‘‘NYSE 

American option.’’ 

• In Rule 300, Supplementary 

Material .10T (Trading Licenses), the 

Exchange proposes to replace ‘‘NYSE 

Amex LLC’’ and ‘‘NYSE Amex’’ with 

‘‘NYSE American LLC’’ and ‘‘NYSE 

American’’, respectively. 

Proposed Changes to Independence 

Policy, Price List, and Market Data 

• Independence Policy: The Exchange 

proposes to replace ‘‘NYSE MKT LLC’’ 

with ‘‘NYSE American LLC’’ throughout 

the Independence Policy.7 Additionally, 

the Exchange proposes to replace 

‘‘[Insert name of relevant NYSE U.S. 

Regulated Subsidiary]’’ with ‘‘New York 

Stock Exchange LLC.’’ The text being 

replaced was used in prior filings 

because several entities used the same 

Independence Policy.8

• Price List: The Exchange proposes 

to replace ‘‘NYSE MKT’’ with ‘‘NYSE 

American’’ throughout the Price List. 

Additionally, under ‘‘Co-Location 

Fees,’’ the Exchange proposes to replace 

‘‘NYSE MKT LLC’’ with ‘‘NYSE 

American LLC’’ in General Note 1. The 

Exchange also proposes to replace 

‘‘NYSE Amex Options’’ with ‘‘NYSE 

American Options’’ in the chart in 

General Note 4. 

• Market Data Fees: In footnote 5, the 

Exchange proposes to replace ‘‘NYSE 

MKT BBO’’ and ‘‘NYSE MKT Trades’’ 

with ‘‘NYSE American BBO’’ and 

‘‘NYSE American Trades,’’ respectively, 

and to replace ‘‘NYSE MKT Proprietary 

Market Data Fees’’ with ‘‘NYSE 

American Proprietary Market Data 

Fees.’’ 

None of the foregoing changes are 

substantive. 

2. Statutory Basis 

The Exchange believes that the 

proposed rule change is consistent with 

Section 6(b) of the Exchange Act,9 in 

general, and with Section 6(b)(1) 10 in 

particular, in that it enables the 

Exchange to be so organized as to have 

the capacity to be able to carry out the 

purposes of the Exchange Act and to 

comply, and to enforce compliance by 

its exchange members and persons 

associated with its exchange members, 

with the provisions of the Exchange Act, 

the rules and regulations thereunder, 

and the rules of the Exchange. 

The proposed rule change is a nonsubstantive change and does not impact 

the governance or ownership of the 

Exchange. The Exchange believes that 

the proposed rule change would enable 

the Exchange to continue to be so 

organized as to have the capacity to 

carry out the purposes of the Exchange 

Act and comply and enforce compliance 

with the provisions of the Exchange Act 

by its members and persons associated 

with its members, because ensuring that 

the Exchange’s rules, Independence 

Policy, Price List, and Market Data Fees 

accurately reflect the name change of its 

affiliate from NYSE MKT to NYSE 

American would contribute to the 

orderly operation of the Exchange by 

adding clarity and transparency to such 

rules, Independence Policy, Price List, 

and Market Data Fees. 

For similar reasons, the Exchange also 

believes that the proposed rule change 

is consistent with Section 6(b)(5) of the 

Act,11 in that it is 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 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. 

The Exchange believes that the 

proposed rule change would remove 

impediments to and perfect the 

mechanism of a free and open market 

and a national market system by 

ensuring that market participants can 

more easily navigate, understand and 

comply with the Exchange’s rules, 

Independence Policy, Price List, and 

Market Data Fees. The Exchange 

believes that, by ensuring that such 

documents and rulebook accurately 

reflect the name change of its affiliate 

from NYSE MKT to NYSE American, 

the proposed rule change would reduce 

potential investor or market participant 

confusion. 

The Exchange believes that the 

proposed changes to replace ‘‘[Insert 

name of relevant NYSE U.S. Regulated 

Subsidiary]’’ with ‘‘New York Stock 

Exchange LLC’’ in the Independence 

Policy would contribute to the orderly 

operation of the Exchange by adding 

clarity and transparency to such 

document. 

Further, the Exchange believes that 

the proposed deletion of footnote two of 

the Independence Policy would remove 

impediments to, and perfect the 

mechanism of a free and open market 

and a national market system and, in 

general, protect investors and the public 

interest because the change would 

eliminate an obsolete reference to NYSE 

Regulation, thereby reducing potential 

confusion. Market participants and 

investors would not be harmed and in 

fact could benefit from the increased 

clarity and transparency in the 

Independence Policy, ensuring that 

market participants could more easily 

understand the Independence Policy. 

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 

proposed rule change is not intended to 

address competitive issues but rather is 

concerned solely with updating the 

Exchange’s rules, Independence Policy, 

Price List, and Market Data Fees to 

reflect its affiliates [sic] name change 

from NYSE MKT to NYSE American 

and NYSE Amex Options to NYSE 

American Options. 

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 proposed rule change has become 

effective pursuant to Section 19(b)(3)(A) 

of the Act 12 and Rule 19b–4(f)(3) 13

thereunder. 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 


asabaliauskas on DSKBBXCHB2PROD with NOTICES
Federal Register / Vol. 82, No. 162 / Wednesday, August 23, 2017 / Notices 40057 

14 15 U.S.C. 78s(b)(2)(B). 15 17 CFR 200.30–3(a)(12). 

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) 14 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– 

NYSE–2017–41 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–NYSE–2017–41. 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 Web site (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 Web site 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; 

the Commission does not 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–NYSE– 

2017–41 and should be submitted on or 

before September 13, 2017. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.15

Eduardo A. Aleman, 

Assistant Secretary. 

[FR Doc. 2017–17809 Filed 8–22–17; 8:45 am] 

BILLING CODE 8011–01–P 

DEPARTMENT OF STATE 

[Public Notice 10096] 

E.O. 13224 Designation of Ahmad 

Alkhald, aka Yassine Noure, aka 

Mohammed Nawar Mohammed 

Alqadhi, aka Mahmoud as a Specially 

Designated Global Terrorist 

Acting under the authority of and in 

accordance with section 1(b) of 

Executive Order 13224 of September 23, 

2001, as amended by Executive Order 

13268 of July 2, 2002, and Executive 

Order 13284 of January 23, 2003, I 

hereby determine that the person known 

as Ahmad Alkhald, also known as 

Yassine Noure, also known as 

Mohammed Nawar Mohammed 

Alqadhi, also known as Mahmoud, 

committed, or poses a significant risk of 

committing, acts of terrorism that 

threaten the security of U.S. nationals or 

the national security, foreign policy, or 

economy of the United States. 

Consistent with the determination in 

section 10 of Executive Order 13224 that 

prior notice to persons determined to be 

subject to the Order who might have a 

constitutional presence in the United 

States would render ineffectual the 

blocking and other measures authorized 

in the Order because of the ability to 

transfer funds instantaneously, I 

determine that no prior notice needs to 

be provided to any person subject to this 

determination who might have a 

constitutional presence in the United 

States, because to do so would render 

ineffectual the measures authorized in 

the Order. 

This notice shall be published in the 

Federal Register. 

Rex W. Tillerson, 

Secretary of State. 

[FR Doc. 2017–17834 Filed 8–22–17; 8:45 am] 

BILLING CODE 4710–AD–P 

DEPARTMENT OF STATE 

[Public Notice 10097] 

E.O. 13224 Designation of Abu Yahya 

al-Iraqi, aka Ayad Hamed Mohal alJumail, aka Ayad Hammed Muhal 

Shuab, aka Abu-Yahya, aka Iyad 

Hamed Mahl al-Jumaily, aka Iyad alJumayli, aka Ayad Hamid al-Jumaili, 

aka Ayad al-Jumaili, aka Ayad 

Miuhammed Mahar, aka Ayad 

Muhammad Mahar, aka Ayad Hamed 

Mohl Aljamali, aka Ayad Hamed Mahal 

Joumily as a Specially Designated 

Global Terrorist 

Acting under the authority of and in 

accordance with section 1(b) of 

Executive Order 13224 of September 23, 

2001, as amended by Executive Order 

13268 of July 2, 2002, and Executive 

Order 13284 of January 23, 2003, I 

hereby determine that the person known 

as Abu Yahya al-Iraqi, also known as 

Ayad Hamed Mohal al-Jumail, also 

known as Ayad Hammed Muhal Shuab, 

also known as Abu-Yahya, also known 

as Iyad Hamed Mahl al-Jumaily, also 

known as Iyad al-Jumayli, also known 

as Ayad Hamid al-Jumaili, also known 

as Ayad al-Jumaili, also known as Ayad 

Miuhammed Mahar, also known as 

Ayad Muhammad Mahar, also known as 

Ayad Hamed Mohl Aljamali, also 

known as Ayad Hamed Mahal Joumily, 

committed, or poses a significant risk of 

committing, acts of terrorism that 

threaten the security of U.S. nationals or 

the national security, foreign policy, or 

economy of the United States. 

Consistent with the determination in 

section 10 of Executive Order 13224 that 

prior notice to persons determined to be 

subject to the Order who might have a 

constitutional presence in the United 

States would render ineffectual the 

blocking and other measures authorized 

in the Order because of the ability to 

transfer funds instantaneously, I 

determine that no prior notice needs to 

be provided to any person subject to this 

determination who might have a 

constitutional presence in the United 

States, because to do so would render 

ineffectual the measures authorized in 

the Order. 

This notice shall be published in the 

Federal Register. 

Rex W. Tillerson, 

Secretary of State. 

[FR Doc. 2017–17833 Filed 8–22–17; 8:45 am] 

BILLING CODE 4710–AD–P 


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