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Federal Register / Vol. 86, No. 168 / Thursday, September 2, 2021 / Notices
lotter on DSK11XQN23PROD with NOTICES1

proposed rule changes were published for comment in the Federal Register on March 4, 2021.3 On April 7, 2021, pursuant to Section 19b2 of the Act,4
the Commission designated a longer period within which to either approve the proposed rule changes, disapprove the proposed rule changes, or institute proceedings to determine whether to approve or disapprove the proposed rule changes.5 On May 26, 2021, the Commission instituted proceedings to determine whether to approve or disapprove the proposed rule changes.6
The Commission has received comment letters on the proposed rule changes.7
Section 19b2 of the Act 8 provides that, after initiating proceedings, the Commission shall issue an order approving or disapproving the proposed rule change not later than 180 days after the date of publication of notice of filing of the proposed rule change. The Commission may extend the period for issuing an order approving or disapproving the proposed rule change, however, by not more than 60 days if the Commission determines that a longer period is appropriate and publishes the reasons for such determination. The proposed rule changes were published for notice and comment in the Federal Register on March 4, 2021.9 August 31, 2021 is 180
days from that date, and October 30, 2021 is 240 days from that date.
The Commission finds it appropriate to designate a longer period within which to issue an order approving or disapproving the proposed rule changes so that it has sufficient time to consider the proposed rule changes, the issues raised in the comment letter that has been submitted in connection therewith, and the Exchanges response to the comment letter. Accordingly, the Commission, pursuant to Section 3 See Securities Exchange Act Release Nos. 91217
February 26, 2021, 86 FR 12715 March 4, 2021
SRNYSE202114; 91218 February 26, 2021, 86
FR 12744 March 4, 2021 SRNYSEAMER2021
10; 91216 February 26, 2021, 86 FR 12735 March 4, 2021 SRNYSEArca202113; 91219 February 26, 2021, 86 FR 12724 March 4, 2021 SR
NYSECHX202103; and 91215 February 26, 2021, 86 FR 12752 March 4, 2021 SR
NYSENAT202104 collectively, the Notices.
4 15 U.S.C. 78sb2.
5 See Securities Exchange Act Release No. 91490
April 7, 2021, 86 FR 19313 April 13, 2021. The Commission designated June 2, 2021, as the date by which it should approve, disapprove, or institute proceedings to determine whether to approve or disapprove the proposed rule changes.
6 See Securities Exchange Act Release No. 92033
May 26, 2021, 86 FR 29601 June 2, 2021.
7 Comments received on the Notices are available on the Commissions website at: https
www.sec.gov/comments/sr-nyse-2021-14/
srnyse202114.htm.
8 15 U.S.C. 78sb2.
9 See Notices, supra note 3.

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19b2 of the Act,10 designates October 30, 2021 as the date by which the Commission should either approve or disapprove the proposed rule changes File Nos. SRNYSE202114, SR
NYSEAMER202110, SRNYSEArca 202113, SRNYSECHX202103, SR
NYSENAT202104.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.11
Vanessa A. Countryman, Secretary.
FR Doc. 202118946 Filed 9121; 8:45 am BILLING CODE 801101P

SECURITIES AND EXCHANGE
COMMISSION
Release No. 3492793; File No. SR-FINRA
2021020

Self-Regulatory Organizations;
Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Form CMA
Continuing Membership Application Form August 27, 2021.

Pursuant to Section 19b1 of the Securities Exchange Act of 1934
Act 1 and Rule 19b4 thereunder,2
notice is hereby given that on August 20, 2021, the Financial Industry Regulatory Authority, Inc. FINRA
filed with the Securities and Exchange Commission SEC or Commission the proposed rule change as described in Items I and II below, which Items have been prepared by FINRA. FINRA
has designated the proposed rule change as constituting a non-controversial rule change under paragraph f6 of Rule 19b4 under the Act,3 which renders the proposal effective upon receipt of this filing by the Commission.
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 FINRA is proposing to 1 amend Form CMA Continuing Membership Application Form required under Rule 1017 Application for Approval of Change in Ownership, Control, or Business Operations to conform to amendments to the Membership 10 15

U.S.C. 78sb2.
CFR 200.303a31.
1 15 U.S.C. 78sb1.
2 17 CFR 240.19b4.
3 17 CFR 240.19b4f6.
11 17

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Application Program MAP rules 4 as described in File No. SRFINRA2020
011, which become effective on September 1, 2021; 5 and 2 make nonsubstantive and technical changes to Form CMA.6 The proposed rule change does not make any changes to the text of FINRA rules.
The text of the proposed rule change is available on FINRAs website at http www.finra.org, at the principal office of FINRA and at the Commissions Public Reference Room.
II. Self-Regulatory Organizations Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, FINRA 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 places specified in Item IV below. FINRA has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of such statements.
A. Self-Regulatory Organizations Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose Background The MAP rules require an applicant for continuing membership to file an application that includes a Form CMA.7
Form CMA is organized into sections that align with the standards for admission set forth in Rule 1014a Standards for Admission. Each section begins with a description of the applicable standard in Rule 1014a, followed by a series of questions related to that standard that are intended to help the applicant provide the responses needed to demonstrate that it 4 The MAP rules consist of Rules 1011 through 1019, which reside under the Rule 1000 Series Member Application and Associated Person Registration.
5 See Securities Exchange Act Release No. 90635
December 10, 2020, 85 FR 81540 December 16, 2020 Order Approving File No. SRFINRA2020
011, as Modified by Amendment No. 1 SEC
Order. See also Regulatory Notice 2109 March 2021 announcing September 1, 2021, as the effective date of the amendments to the MAP rules, and different effective dates of the amendments to other FINRA rules to address brokers with a significant history of misconduct.
6 FINRA is separately developing comprehensive changes to the MAP rules in connection with the retrospective review of this rule set, which will also require conforming amendments to the standardized forms. See Regulatory Notice 1823
July 2018 requesting comment on a proposal regarding the MAP rules.
7 See Rule 1017b2.

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