Federal Register - June 9, 2021
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Fuente: Federal Register
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Federal Register / Vol. 86, No. 109 / Wednesday, June 9, 2021 / Notices
as the Commission may designate, it has become effective pursuant to Section 19b3A of the Act 33 and Rule 19b 4f6 thereunder.34
A proposed rule change filed pursuant to Rule 19b4f6 under the Act normally does not become operative for 30 days after the date of its filing.
However, Rule 19b4f6iii 35 permits the Commission to designate a shorter time if such action is consistent with the protection of investors and the public interest. The Exchange has requested that the Commission waive the 30-day operative delay so that the proposal may become operative immediately upon filing. The Exchange states that the Commission has previously approved proposed rule changes to permit listing and trading on the Exchange of Active Proxy Portfolio Shares similar to the Funds.36 The Exchange also states that the Commission has previously issued a notice of filing and immediate effectiveness for a proposed rule change relating to the proposed listing on a national securities exchange of other issues of Active Proxy Portfolio Shares similar to the Funds.37 For these reasons, the Commission believes that waiver of the 30-day operative delay is consistent with the protection of investors and the public interest.
Accordingly, the Commission hereby waives the 30-day operative delay and designates the proposed rule change operative upon filing.38
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.
33 15
U.S.C. 78sb3A.
CFR 240.19b4f6. In addition, Rule 19b 4f6 requires a self-regulatory organization to give the Commission written notice of its intent to file the proposed rule change at least five business days prior to the date of filing of the proposed rule change, or such shorter time as designated by the Commission. The Exchange has satisfied this requirement.
35 17 CFR 240.19b4f6iii.
36 See supra note 8.
37 See id.
38 For purposes only of waiving the 30-day operative delay, the Commission has also considered the proposed rules impact on efficiency, competition, and capital formation. See 15 U.S.C. 78cf.
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Comments may be submitted by any of the following methods:
SECURITIES AND EXCHANGE
COMMISSION
Electronic Comments
SEC File No. 270141, OMB Control No.
32350249
Use the Commissions internet comment form http www.sec.gov/
rules/sro.shtml; or Send an email to rule-comments@
sec.gov. Please include File Number SR
NYSEArca202146 on the subject line.
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 SRNYSEArca202146. 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 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.
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 SRNYSEArca202146 and should be submitted on or before June 30, 2021.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.39
J. Matthew DeLesDernier, Assistant Secretary.
FR Doc. 202112029 Filed 6821; 8:45 am BILLING CODE 801101P
39 17
PO 00000
CFR 200.303a12.
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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
205492736
Extension:
Rule 12f3
Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995
PRA 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 approval of extension of the previously approved collection of information provided for in Rule 12f3 17 CFR 240.12f3, under the Securities Exchange Act of 1934
Act 15 U.S.C. 78a et seq..
Rule 12f3 Rule, which was originally adopted in 1955 pursuant to Sections 12f and 23a of the Act, and as further modified in 1995, sets forth the requirements to submit an application to the Commission for termination or suspension of unlisted trading privileges in a security, as contemplated under Section 12f4 of the Act. In addition to requiring that one copy of the application be filed with the Commission, the Rule requires that the application contain specified information. Under the Rule, an application to suspend or terminate unlisted trading privileges must provide, among other things, the name of the applicant; a brief statement of the applicants interest in the question of termination or suspension of such unlisted trading privileges; the title of the security; the name of the issuer;
certain information regarding the size of the class of security, the public trading volume and price history in the security for specified time periods on the subject exchange and a statement indicating that the applicant has provided a copy of such application to the exchange from which the suspension or termination of unlisted trading privileges are sought, and to any other exchange on which the security is listed or admitted to unlisted trading privileges.
The information required to be included in applications submitted pursuant to Rule 12f3, is intended to provide the Commission with sufficient information to make the necessary findings under the Act to terminate or
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