44676 Federal Register / Vol. 82, No. 184 / Monday, September 25, 2017 / Notices 

21 15 U.S.C. 78s(b)(3)(A). 

22 17 CFR 240.19b–4(f). 23 17 CFR 200.30–3(a)(12). 

believes that its proposal would not 

burden intramarket competition because 

the proposed rate would apply 

uniformly to all Members. 

C. Self-Regulatory Organization’s 

Statement on Comments on the 

Proposed Rule Change Received From 

Members, Participants, or Others 

The Exchange has not solicited, and 

does not intend to solicit, comments on 

this proposed rule change. The 

Exchange has not received any 

unsolicited written comments from 

Members or other interested parties. 

III. Date of Effectiveness of the 

Proposed Rule Change and Timing for 

Commission Action 

The foregoing rule change has become 

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

of the Act 21 and paragraph (f) of Rule 

19b–4 thereunder.22 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. 

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– 

BatsBYX–2017–21 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–BatsBYX–2017–21. 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– 

BatsBYX–2017–21, and should be 

submitted on or before October 16, 

2017. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.23

Eduardo A. Aleman, 

Assistant Secretary. 

[FR Doc. 2017–20364 Filed 9–22–17; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

Submission for OMB Review; 

Comment Request 

Upon Written Request, Copies Available 

From: Securities and Exchange 

Commission, Office of FOIA Services, 

100 F Street NE., Washington, DC 

20549–2736 

Extension: 

Regulation S–X, SEC File No. 270–003, 

OMB Control No. 3235–0009. 

Notice is hereby given that, pursuant 

to the Paperwork Reduction Act of 1995 

(44 U.S.C. 3501 et seq.), the Securities 

and Exchange Commission 

(‘‘Commission’’) has submitted to the 

Office of Management and Budget 

(‘‘OMB’’) a request for extension of the 

previously approved collection of 

information discussed below. 

Information collected and information 

prepared pursuant to Regulation S–X 

focus on the form and content of, and 

requirements for, financial statements 

filed with periodic reports and in 

connection with the offer and sale of 

securities. Investors need reasonably 

current financial statements to make 

informed investment and voting 

decisions. 

The potential respondents include all 

entities that file registration statements 

or reports pursuant to the Securities Act 

of 1933 (15 U.S.C. 77a, et seq.), the 

Securities Exchange Act of 1934 (15 

U.S.C. 78a, et seq.), or the Investment 

Company Act of 1940 (15 U.S.C. 80a–1, 

et seq.). 

Regulation S–X specifies the form and 

content of financial statements when 

those financial statements are required 

to be filed by other rules and forms 

under the federal securities laws. 

Compliance burdens associated with the 

financial statements are assigned to the 

rule or form that directly requires the 

financial statements to be filed, not to 

Regulation S–X. Instead, an estimated 

burden of one hour traditionally has 

been assigned to Regulation S–X for 

incidental reading of the regulation. The 

estimated average burden hours are 

solely for purposes of the Paperwork 

Reduction Act and are not derived from 

a comprehensive or even a 

representative survey or study of the 

costs of SEC rules or forms. 

Recordkeeping retention periods are 

based on the disclosure required by 

various forms and rules other than 

Regulation S–X. In general, balance 

sheets for the preceding two fiscal years, 

income and cash flow statements for the 

preceding three fiscal years, and 

condensed quarterly financial 

statements must be filed with the 

Commission. Five year summary 

financial information is required to be 

disclosed by some larger registrants. 

Filing financial statements, when 

required by the governing rule or form, 

is mandatory. Because these statements 

are provided for the purpose of 

disseminating information to the 

securities markets, they are not kept 

confidential. 

An agency may not conduct or 

sponsor, and a person is not required to 

respond to, a collection of information 

unless it displays a currently valid 

control number. 

The public may view the information 

discussed in this notice at 

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, Chief Information Officer, 

Securities and Exchange Commission, c/ 

o Remi Pavlik-Simon, 100 F Street NE., 

Washington, DC 20549 or send an email 


asabaliauskas on DSKBBXCHB2PROD with NOTICES
Federal Register / Vol. 82, No. 184 / Monday, September 25, 2017 / Notices 44677 

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 August 25, 2017 (SR–NYSEArca–2017– 

95), withdrew such changes on September 6, 2017 

and refiled on the same day (SR–NYSEArca–2017– 

106). SR–NYSEArca– 2017–106 was subsequently 

withdrawn on September 8, 2017 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). 

7The Exchange will announce by Trader Update 

when the amended version of Rule 7.31–E will 

become operative. 

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

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

to: PRA_Mailbox@sec.gov. Comments 

must be submitted to OMB within 30 

days of this notice. 

Dated: September 19, 2017. 

Eduardo A. Aleman, 

Assistant Secretary. 

[FR Doc. 2017–20359 Filed 9–22–17; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–81652; File No. SR– 

NYSEARCA–2017–108] 

Self-Regulatory Organizations; NYSE 

Arca, Inc.; Notice of Filing and 

Immediate Effectiveness of Proposed 

Rule Change To Amend Its Rules and 

the NYSE Arca Options Fees and 

Charges Schedule in Connection With 

the Name Change of Its Affiliate NYSE 

MKT LLC to NYSE American LLC 

September 19, 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 

September 8, 2017, NYSE Arca, Inc. (the 

‘‘Exchange’’ or ‘‘NYSE Arca’’) 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 NYSE MKT LLC to NYSE 

American LLC, proposes [sic] to amend 

its rules and the NYSE Arca Options 

Fees and Charges schedule (the 

‘‘Options Fee Schedule’’). 

The proposed rule 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, in connection with the 

name change of its affiliate NYSE MKT 

LLC (‘‘NYSE MKT’’) to NYSE American 

LLC (‘‘NYSE American’’), proposes to 

amend its rules and the Options Fee 

Schedule.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 certain of its rules 

and the Options Fee Schedule as 

detailed below to reflect the new name 

of its affiliate NYSE American. 

Proposed Rule Changes 

• The Exchange proposes to replace 

‘‘NYSE MKT’’ with ‘‘NYSE American’’ 

in Rule 5.25–O, Commentary .03 

(Margins); Rule 6.96–O(b) (Operation of 

Routing Broker); 5.2–E(b) (General); 5.2– 

E(d) (Preferred Stock and Similar 

Issues); 5.2–E(e) (Bonds and 

Debentures); 5.5–E(a), Commentary .02 

and .03 (Maintenance Requirements and 

Delisting Procedures); 7.31–E(f) (Orders 

and Modifiers); and 7.45–E(c) 

(Operation of Routing Broker). 

• Rule 7.31–E has a notice stating that 

an amended version of the rule has been 

approved but is not yet operative.7 The 

notice includes a link to the amended 

version of the rule and the relevant 

approval order. The Exchange proposes 

to replace ‘‘NYSE MKT’’ with ‘‘NYSE 

American’’ in the text of the amended 

but not yet operative version of Rule 

7.31–E. Exhibit 5B sets forth the 

proposed revised text. 

• The Exchange proposes to replace 

‘‘NYSE MKT LLC’’ with ‘‘NYSE 

American LLC’’ in Rule 5.82–O(a) 

(Applicability; Definitions Related to 

ByRDs), Rule 6.96–O(b), Rule 7.37–E(d) 

(Order Execution and Routing), and 

Rule 7.45–E(c)(1). 

Proposed Changes to the Options Fee 

Schedule 

• Options Fee Schedule: Under ‘‘CoLocation Fees,’’ in General Notes 1 and 

4, the Exchange proposes to replace 

‘‘NYSE MKT LLC’’ with ‘‘NYSE 

American LLC’’ and replace ‘‘NYSE 

MKT’’ with ‘‘NYSE American.’’ In 

addition, the Exchange proposes to 

replace ‘‘NYSE Amex Options’’ with 

‘‘NYSE American Options’’ in the table 

in General Note 4. 

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 and Options Fee Schedule 

accurately reflect the name change of 

the Exchange’s affiliate from NYSE MKT 

to NYSE American and the rebranding 

of NYSE Amex Options to NYSE 


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