Federal Register / Vol. 82, No. 176 / Wednesday, September 13, 2017 / Notices 43057 

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

2 15 U.S.C. 78a. 

3 17 CFR 240.19b–4. 

4See Securities Exchange Act Release No. 80929 

(June 14, 2017), 82 FR 28157 (June 20, 2017) (SR– 

NYSEArca–2017–40). 

5See Securities Exchange Act Release No. 81419 

(August 17, 2017), 82 FR 40044 (August 23, 2017) 

(SR–NYSEArca–2017–40). 

6See id. at 40044. 

7See Securities Exchange Act Release No. 79902 

(January 30, 2017), 82 FR 9258 (February 3, 2017) 

(SR–NSX–2016–16). 

under the PRA unless it displays a 

currently valid OMB control number. 

The public may view background 

documentation for this information 

collection at the following Web site: 

http://www.reginfo.gov. Comments 

should be directed to: (i) Desk Officer 

for the Securities and Exchange 

Commission, Office of Information and 

Regulatory Affairs, Office of 

Management and Budget, Room 10102, 

New Executive Office Building, 

Washington, DC 20503, or by sending an 

email to: Shagufta_Ahmed@

omb.eop.gov; and (ii) Pamela Dyson, 

Director/Chief Information Officer, 

Securities and Exchange Commission, 

c/o Remi Pavlik-Simon, 100 F Street 

NE., Washington, DC 20549 or by 

sending an email to: PRA_Mailbox@

sec.gov. Comments must be submitted to 

OMB within 30 days of this notice. 

Dated: September 7, 2017. 

Eduardo A. Aleman, 

Assistant Secretary. 

[FR Doc. 2017–19360 Filed 9–12–17; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–81548; File No. SR–NYSE– 

2017–44] 

Self-Regulatory Organizations; New 

York Stock Exchange LLC; Notice of 

Filing and Immediate Effectiveness of 

Proposed Change To Amend Its Rules 

To Make Technical and Conforming 

Updates, in Connection With the 

Merger of NYSE Arca Equities, Inc. 

With and Into the Exchange’s Affiliate 

NYSE Arca, Inc. and the Name Change 

of NYSE National, Inc. 

September 7, 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 

25, 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 to amend its 

rules to make technical and conforming 

updates in connection with (a) the 

merger of NYSE Arca Equities, Inc. with 

and into the Exchange’s affiliate NYSE 

Arca, Inc. and (b) the name change of 

NYSE National, Inc. 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 to amend its 

rules to make technical and conforming 

updates in connection with (a) the 

merger of NYSE Arca Equities, Inc. 

(‘‘NYSE Arca Equities’’) with and into 

the Exchange’s affiliate NYSE Arca, Inc. 

(‘‘NYSE Arca’’), and (b) the name 

change of NYSE National, Inc. 

Background 

On June 2, 2017, the Exchange’s 

affiliate, NYSE Arca, filed rule changes 

with the Commission in connection 

with the proposed merger of NYSE 

Arca’s wholly-owned subsidiary, NYSE 

Arca Equities, with and into NYSE Arca 

(the ‘‘Merger’’).4 The proposed changes 

were approved by the Commission on 

August 17, 2017, and the Merger 

occurred on that same date.5

Prior to the Merger, NYSE Arca had 

two rulebooks: the NYSE Arca rules for 

its options market and the NYSE Arca 

Equities rules for its equities market. At 

the Merger, the NYSE Arca Equities 

rules were integrated into the NYSE 

Arca rules, so that there is now one 

NYSE Arca rulebook.6 As part of such 

integration, some of the NYSE Arca 

rules were renumbered. Accordingly, 

the Exchange proposes to amend certain 

of its rules, as detailed below, to make 

technical and conforming updates to its 

rules that cross reference the NYSE Arca 

rules and delete references to the NYSE 

Arca Equities. 

In January 2017, the Exchange’s 

parent NYSE Group, Inc. acquired all 

the capital stock of National Stock 

Exchange, Inc., which was renamed 

‘‘NYSE National, Inc.’’ 7 The Exchange 

proposes to update a reference to 

National Stock Exchange, Inc. found in 

the Exchange’s rules to reflect the new 

name of such entity, NYSE National, 

Inc. 

Proposed Rule Changes 

• In Exchange Rule 5.2(j) (Exchange 

Traded Products), the Exchange 

proposes to update the cross references 

to NYSE Arca Equities Rule 5.2(j)(1) by 

deleting the word ‘‘Equities’’ from the 

term ‘‘NYSE Arca Equities Rule’’ and 

appending an ‘‘-E’’ to the end of the rule 

number. The new cross reference would 

be to ‘‘NYSE Arca Rule 5.2–E(j)(1).’’ 

Similarly, the Exchange proposes to 

update the cross references to 

subsections of NYSE Arca Options Rule 

5.13 and to NYSE Arca Options Rule 5.3 

by deleting the word ‘‘Options’’ form 

the term ‘‘NYSE Arca Options Rule’’ 

and appending an ‘‘-O’’ to the end of the 

rules number. The new cross references 

would be to ‘‘NYSE Arca Rule 5.13–O’’ 

and ‘‘NYSE Arca Rule 5.3–O,’’ 

respectively, followed by any relevant 

subsection of the rule. 

• In Exchange Rules 8.4 (Account 

Approval), 8.5 (Suitability), 8.6 

(Discretionary Accounts), 8.7 

(Supervision of Accounts), 8.8 

(Customer Complaints), the Exchange 

proposes to update the references to 

NYSE Arca Equities Rules 9.18 by 

deleting the word ‘‘Equities’’ from the 

term ‘‘NYSE Arca Equities Rules’’ and 

appending an ‘‘-E’’ to the end of the rule 

number. The new cross references 

would be to ‘‘NYSE Arca Rule 9.18–E,’’ 

followed by any relevant subsection of 

the rule. 

• In Exchange Rule 8.9 (Prior 

Approval of Certain Communications to 

Customers) the Exchange proposes to 

update the cross references to NYSE 

Arca Equities Rule 9.28 by deleting the 


sradovich on DSK3GMQ082PROD with NOTICES
43058 Federal Register / Vol. 82, No. 176 / Wednesday, September 13, 2017 / Notices 

8 15 U.S.C. 78f(b). 

9 15 U.S.C. 78f(b)(1). 

10 15 U.S.C. 78f(b)(5). 

11 15 U.S.C. 78s(b)(3)(A). 

12 17 CFR 240.19b–4(f)(3). 

13 15 U.S.C. 78s(b)(2)(B). 14 17 CFR 200.30–3(a)(12). 

word ‘‘Equities’’ from the term ‘‘NYSE 

Arca Equities Rule’’ and appending an 

‘‘-E’’ to the end of the rule number. The 

new cross reference would be to ‘‘NYSE 

Arca Rule 9.28–E.’’ 

• Finally, in Exchange Rule 19, 

Supplementary Material .01 (Locking or 

Crossing Protected Quotations in NMS 

Stocks), the Exchange proposes to 

replace ‘‘NYSE Arca Equities, Inc.’’ with 

‘‘NYSE Arca, Inc.’’ and replace 

‘‘National Stock Exchange, Inc.’’ with 

‘‘NYSE National, Inc.’’. 

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,8 in 

general, and with section 6(b)(1) 9 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 rules accurately cross reference the 

rules of NYSE Arca and the name of 

NYSE National, Inc. would contribute to 

the orderly operation of the Exchange by 

adding clarity and transparency to its 

rules. 

For similar reasons, the Exchange also 

believes that the proposed rule change 

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

Act,10 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 its rules. The Exchange 

believes that, by ensuring that such 

rules accurately cross-reference the 

rules of NYSE Arca and the name of 

NYSE National, Inc., the proposed rule 

change would reduce potential investor 

or market participant confusion. 

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 

rules to reflect its affiliate’s merger and 

integrated rulebook. 

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 11 and Rule 19b–4(f)(3) 12

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 

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) 13 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–2017–44 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–2017–44. 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– 

2017–44 and should be submitted on or 

before October 4, 2017. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.14

Eduardo A. Aleman, 

Assistant Secretary. 

[FR Doc. 2017–19377 Filed 9–12–17; 8:45 am] 

BILLING CODE 8011–01–P 


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