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Federal Register / Vol. 86, No. 25 / Tuesday, February 9, 2021 / Notices 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 SRNYSE202109, and should be submitted on or before March 2, 2021.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.20
J. Matthew DeLesDernier, Assistant Secretary.
FR Doc. 202102589 Filed 2821; 8:45 am BILLING CODE 801101P

Release No. 3491055; File No. SR
NASDAQ2020027

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Withdrawal of Proposed Rule Change To Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets
khammond on DSKJM1Z7X2PROD with NOTICES

February 3, 2021.

On May 29, 2020, The Nasdaq Stock Market LLC Exchange filed with the Securities and Exchange Commission Commission, pursuant to Section 19b1 of the Securities Exchange Act of 1934 Act 1 and Rule 19b4
thereunder,2 a proposed rule change to apply additional initial listing criteria for companies primarily operating in a jurisdiction that has secrecy laws, blocking statutes, national security laws or other laws or regulations restricting access to information by regulators of U.S.-listed companies in such jurisdiction. The proposed rule change 20 17

CFR 200.303a12.
U.S.C. 78sb1.
2 17 CFR 240.19b4.
1 15

17:07 Feb 08, 2021

For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.9
J. Matthew DeLesDernier, Assistant Secretary.
FR Doc. 202102593 Filed 2821; 8:45 am BILLING CODE 801101P

SECURITIES AND EXCHANGE
COMMISSION
Release No. 3491047; File No. SRFINRA
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SECURITIES AND EXCHANGE
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was published for comment in the Federal Register on June 12, 2020.3
On July 21, 2020, pursuant to Section 19b2 of the Act,4 the Commission designated a longer period within which to approve the proposed rule change, disapprove the proposed rule change, or institute proceedings to determine whether to disapprove the proposed rule change.5 On September 9, 2020, the Commission instituted proceedings under Section 19b2B of the Act 6 to determine whether to approve or disapprove the proposed rule change.7
On December 3, 2020, the Commission extended the period for consideration of the proposed rule change to February 7, 2021.8
On February 1, 2021, the Exchange withdrew the proposed rule change SRNASDAQ2020027.

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Self-Regulatory Organizations;
Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Private Placement Filer Form Under FINRA
Rules 5122 and 5123
February 3, 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 27, 2021, the Financial Industry Regulatory Authority, Inc. FINRA
3 See Securities Exchange Act Release No. 89027
June 8, 2020, 85 FR 35962. Comments on the proposed rule change can be found at: https
www.sec.gov/comments/sr-nasdaq-2020-027/
srnasdaq2020027.htm.
4 15 U.S.C. 78sb2.
5 See Securities Exchange Act Release No. 89358, 85 FR 45275 July 27, 2020. The Commission designated September 10, 2020, as the date by which the Commission shall approve or disapprove, or institute proceedings to determine whether to approve or disapprove, the proposed rule change.
6 15 U.S.C. 78sb2B.
7 See Securities Exchange Act Release No. 89799, 85 FR 57282 September 15, 2020.
8 See Securities Exchange Act Release No. 90559, 85 FR 79249 December 9, 2020.
9 17 CFR 200.303a12.
1 15 U.S.C. 78sb1.
2 17 CFR 240.19b4.

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filed with the Securities and Exchange Commission SEC or Commission the proposed rule change as described in Items I, II, and III 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 changes to the Private Placement Filer Form Filer Form that members complete when submitting private placement filings under FINRA Rules 5122 Private Placements of Securities Issued by Members or 5123 Private Placements of Securities. The proposal does not make any changes to the text of FINRA
rules.
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 Rules 5122 and 5123 require a FINRA
member to file information regarding private placements in which the member participates.4 When Rule 5123
3 17 CFR 240.19b-4f6. Rule 19b4f6iii requires a self-regulatory organization to give the Commission written notice of its intent to file the proposed rule change, along with a brief description and text of 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. FINRA has satisfied this requirement.
4 Both Rules 5122 and 5123 provide exemptions from the filing requirement when certain types of securities are sold or securities are sold to certain types of investors. See Rules 5122c and 5123b.

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