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Federal Register / Vol. 86, No. 21 / Wednesday, February 3, 2021 / Notices
III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Because the foregoing proposed rule change does not:
A. Significantly affect the protection of investors or the public interest;
B. impose any significant burden on competition; and C. become operative for 30 days from the date on which it was filed, or such shorter time as the Commission may designate, it has become effective pursuant to Section 19b3A of the Act 20 and Rule 19b4f6 21
thereunder. 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. If the Commission takes such action, the Commission will institute proceedings to determine whether the proposed rule change should be approved or disapproved.
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:

jbell on DSKJLSW7X2PROD with NOTICES

Electronic Comments 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
CboeBZX2021013 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 SRCboeBZX2021013. 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 SRCboeBZX2021013, and should be submitted on or before February 24, 2021.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.22
J. Matthew DeLesDernier, Assistant Secretary.
FR Doc. 202102188 Filed 2221; 8:45 am BILLING CODE 801101P

SECURITIES AND EXCHANGE
COMMISSION
Release No. 3491008; File No. SRCBOE
2021007

Self-Regulatory Organizations; Cboe 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 Exchange, Inc. the Exchange or Cboe Options 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 22 17

CFR 200.303a12.
U.S.C. 78sb1.
2 17 CFR 240.19b4.

20 15

U.S.C. 78sb3A.
21 17 CFR 240.19b4f6.

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proposed rule change from interested persons.
I. Self-Regulatory Organizations Statement of the Terms of Substance of the Proposed Rule Change Cboe Exchange, Inc. the Exchange or Cboe Options proposes to amend Chapter 7, Section B of the Rules, which is 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.
additions are italicized; deletions are bracketed

Rules of Cboe Exchange, Inc.

Rule 7.20. Definitions For purposes of this Section B to Chapter 7:

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
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.

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