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Federal Register / Vol. 86, No. 25 / Tuesday, February 9, 2021 / Notices
Paper Comments Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 205491090.
All submissions should refer to File Number SRFINRA2021002. 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 Commissions 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 Commissions 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 such filing also will be available for inspection and copying at the principal office of FINRA. 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 SRFINRA
2021002 and should be submitted on or before March 2, 2021.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.32
J. Matthew DeLesDernier, Assistant Secretary.
FR Doc. 202102588 Filed 2821; 8:45 am
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BILLING CODE 801101P

SECURITIES AND EXCHANGE
COMMISSION
Release No. 3491049; File No. SRC2
2021002

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Policy Relating to Billing Errors Pursuant to Section 19b1 of the Securities Exchange Act of 1934 the Act,1 and Rule 19b4 thereunder,2
notice is hereby given that on January 22, 2021, Cboe C2 Exchange, Inc. the Exchange or C2 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 Exchange. The Exchange filed the proposal as a non-controversial proposed rule change pursuant to Section 19b3Aiii of the Act 3 and Rule 19b4f6 thereunder.4 The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons.
I. Self-Regulatory Organizations Statement of the Terms of Substance of the Proposed Rule Change Cboe C2 Exchange, Inc. C2 or the Exchange is filing with the Securities and Exchange Commission the Commission a proposed rule change to establish a policy relating to billing errors. The Exchange has designated this proposal as non-controversial and provided the Commission with the notice required by Rule 19b4f6iii under the Act.5
The text of the proposed rule change is provided in Exhibit 5. The text of the proposed rule change is available on the Exchanges website at http
markets.cboe.com/, at the Exchanges principal office and at the Public Reference Room of the Commission.
II. Self-Regulatory Organizations Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the Exchange 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 these statements may be examined at the U.S.C. 78sb1.
CFR 240.19b4.
3 15 U.S.C. 78sb3Aiii.
4 17 CFR 240.19b4f6.
5 17 CFR 240.19b4f6iii.
2 17

CFR 200.303a12.

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A. Self-Regulatory Organizations Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose
February 3, 2021.

1 15

32 17

places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of such statements.

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The Exchange proposes to amend a provision of its fees schedule which relates to billing errors and fee disputes.
The Exchange currently provides that that any potential billing errors relating to fees assessed by C2 must be brought to the attention of C2s Accounting Department within three months from the invoice date. Additionally, all fees assessed shall be deemed final and nonrefundable after three months from the invoice date. However, the fees schedule further provides that the Exchange is not precluded from assessing fees more than three months after they were incurred if those fees were required to be paid pursuant to the C2 Fee Schedule in effect at the time the fees were incurred. The Exchange proposes to eliminate the current language in the fees schedule and replace it with language recently adopted by its affiliated exchanges.6
Particularly, the Exchange proposes to provide: All fees and rebates assessed prior to the three full calendar months before the month in which the Exchange becomes aware of a billing error shall be considered final. Any dispute concerning fees or rebates billed by the Exchange must be submitted to the Exchange in writing and must be accompanied by supporting documentation. 7
The proposed language would result in all fees and rebates assessed prior to the three full calendar months before the month in which the Exchange becomes aware of a billing error to be considered final. Particularly, the Exchange will resolve an error by crediting or debiting Trading Permit Holders TPHs and Non-TPHs based on the fees or rebates that should have been applied in the three full calendar months preceding the month in which the Exchange became aware of the error, including to all impacted transactions 6 See SRCboeBZX2020094; SRCboeBYX
2020034; SRCboeEDGA2020032; SR
CboeEDGX2020064.
7 The current language relating to billing errors and fee disputes is located at the end of the fees schedule. The Exchange proposes to relocate the new language relating to billing errors and fee disputes to the top of the fees schedule.

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