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Federal Register / Vol. 86, No. 21 / Wednesday, February 3, 2021 / Notices For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.22
J. Matthew DeLesDernier, Assistant Secretary.
FR Doc. 202102187 Filed 2221; 8:45 am
SECURITIES AND EXCHANGE
COMMISSION

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchanges CAT Compliance Rule To Be Consistent With a Conditional Exemption Granted by the SEC From Certain Allocation Reporting Requirements January 28, 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 January 15, 2021, Cboe BZX Exchange, Inc. the Exchange or BZX filed with the Securities and Exchange Commission Commission the proposed rule change as described in Items I, II, and III below, which Items have been prepared by the Exchange. 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 BZX Exchange, Inc. the Exchange or BZX proposes to amend the Exchanges compliance rule Compliance Rule regarding the National Market System Plan Governing the Consolidated Audit Trail the CAT
NMS Plan or Plan 3 to be consistent with a conditional exemption granted by the Securities and Exchange Commission Commission from certain allocation reporting requirements set forth in Section 6.4diiA1 and 2 of the CAT NMS
Plan Allocation Exemption.4 The text of the proposed rule change is provided below.
22 17

jbell on DSKJLSW7X2PROD with NOTICES

Release No. 3491010; File No. SR
CboeBZX2021013

CFR 200.303a12.
U.S.C. 78sb1.
2 17 CFR 240.19b4.
3 Unless otherwise specified, capitalized terms used in this rule filing are defined as set forth in the Compliance Rule.
4 See Securities Exchange Act Rel. No. 90223
October 19, 2020, 85 FR 67576 October 23, 2020
Allocation Exemptive Order.
1 15

17:21 Feb 02, 2021

Rules of Cboe BZX Exchange, Inc.

Rule 4.5. Consolidated Audit Trail Definitions For purposes of Rules 4.5 through 4.16:

BILLING CODE 801101P

VerDate Sep<11>2014

q o No change.
r p No change.
s q No change.
t r No change.
u s No change.
v t No change.
w u No change.
x v No change.
y w No change.
z x No change.
aa y No change.
bb z No change.
cc aa No change.
dd bb No change.
ee cc No change.
ff dd No change.
gg ee No change.
hh ff No change.
ii gg No change.
jj hh No change.
kk ii No change.
ll jj No change.
mm kk No change.
nn ll No change.
oo mm No change.
pp nn No change.
qq oo No change.
rr pp No change.

additions are italicized; deletions are bracketed

Jkt 253001

ab No change.
c Allocation means 1 the placement of shares/contracts into the same account for which an order was originally placed; or 2
the placement of shares/contracts into an account based on allocation instructions e.g., subaccount allocations, delivery versus payment DVP allocations.
d c Allocation Report means a report made to the Central Repository by an Industry Member that identifies the Firm Designated ID for any accounts, including subaccounts, to which executed shares/
contracts are allocated and provides 1 the security that has been allocated;, 2 the identifier of the firm reporting the allocation;, 3 the price per share/contract of shares/contracts allocated;, 4 the side of shares/contracts allocated;, 5 the number of shares/contracts allocated to each account;, and 6 the time of the allocation; 7 Allocation ID, which is the internal allocation identifier assigned to the allocation event by the Industry Member; 8
trade date; 9 settlement date; 10 IB/
correspondent CRD Number if applicable;
11 FDID of new orders if available in the booking system; 12 allocation instruction time optional; 12 if account meets the definition of institution under FINRA Rule 4512c; 13 type of allocation allocation to a custody account, allocation to a DVP
account, step-out, correspondent flip, allocation to a firm owned or controlled account, or other non-reportable transactions e.g., option exercises, conversions; 14 for DVP allocations, custody broker-dealer clearing number prime broker if the custodian is a U.S. broker-dealer, DTCC
number if the custodian is a U.S. bank, or a foreign indicator, if the custodian is a foreign entity; and 15 if an allocation was cancelled, a cancel flag indicating that the allocation was cancelled, and a cancel timestamp, which represents the time at which the allocation was cancelled;
provided, for the avoidance of doubt, any such Allocation Report shall not be required to be linked to particular orders or executions.
e d No change.
f e No change.
g f No change.
h g No change.
i h No change.
j i No change.
k j No change.
l Client Account means, for the purposes of an Allocation and Allocation Report, any account or subaccount that is not owned or controlled by the Industry Member.
m k No change.
n l No change.
o m No change.
p n No change.

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Rule 4.7. Consolidated Audit Trail Industry Member Data Reporting a Recording and Reporting Industry Member Data 1 No change.
2 Subject to subparagraph a3 below, each Industry Member shall record and report to the Central Repository the following, as applicable Received Industry Member Data and, collectively with the information referred to in Rule 4.7
subparagraph a1, Industry Member Data in the manner prescribed by the Operating Committee pursuant to the CAT
NMS Plan:
A if the order is executed, in whole or in part:
i An Allocation Report;
i ii SRO-Assigned Market Participant Identifier of the clearing broker or prime broker, if applicable; and ii iii CAT-Order-ID of any contra-side orders;
BE No change.
F an Allocation Report any time the Industry Member performs an Allocation to a Client Account, whether or not the Industry Member was the executing broker for the trade.

The text of the proposed rule change is also available on the Exchanges website http markets.cboe.com/us/
equities/regulation/rule_filings/bzx/, at the Exchanges Office of the Secretary, 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, the Exchange included statements
E:FRFM03FEN1.SGM

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