Federal Register - February 10, 2021
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Source: Federal Register
Federal Register / Vol. 86, No. 26 / Wednesday, February 10, 2021 / Notices markets it serves, consistent with Rule 17Ad22e21 under the Act.31
IV. Conclusion On the basis of the foregoing, the Commission finds that the proposed rule changes are consistent with the requirements of the Act and in particular with the requirements of Section 17A of the Act 32 and the rules and regulations promulgated thereunder.
It is therefore ordered, pursuant to Section 19b2 of the Act 33 that proposed rule change SRDTC2020
019, be, and hereby is, approved.34
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.35
J. Matthew DeLesDernier, Assistant Secretary.
FR Doc. 202102712 Filed 2921; 8:45 am BILLING CODE 801101P
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Release No. 3491057; File No. SR
NASDAQ2020026
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt a New Requirement Related to the Qualification of Management for Companies From Restrictive Markets
2020.3 On July 20, 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rule change.5 On August 21, 2020, the Exchange filed Amendment No. 1 to the proposed rule change, which replaced and superseded the proposed rule change as originally filed.6 On September 9, 2020, the Commission published notice of Amendment No. 1 and instituted proceedings under Section 19b2B of the Act 7 to determine whether to approve or disapprove the proposed rule change, as modified by Amendment No. 1.8 On November 17, 2020, the Exchange filed Amendment No. 2 to the proposed rule change.9 On December 2, 2020, the Commission extended the period for consideration of the proposed rule change to February 7, 2021.10 On February 1, 2021, the Exchange withdrew the proposed rule change SRNASDAQ2020026.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.11
J. Matthew DeLesDernier, Assistant Secretary.
FR Doc. 202102708 Filed 2921; 8:45 am BILLING CODE 801101P
February 4, 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 adopt a new requirement related to the qualification of management for companies whose business is principally administered 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. The proposed rule change was published for comment in the Federal Register on June 12, 31 Id.
32 15
U.S.C. 78q1.
U.S.C. 78sb2.
34 In approving the proposed rule change, the Commission considered its impact on efficiency, competition, and capital formation. 15 U.S.C. 78cf.
35 17 CFR 200.303a12.
1 15 U.S.C. 78sb1.
2 17 CFR 240.19b4.
33 15
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3 See Securities Exchange Act Release No. 89028
June 8, 2020, 85 FR 35967. Comments on the proposed rule change can be found at: https
www.sec.gov/comments/sr-nasdaq-2020-026/
srnasdaq2020026.htm.
4 15 U.S.C. 78sb2.
5 See Securities Exchange Act Release No. 89342, 85 FR 44951 July 24, 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 Amendment No. 1 is available at https
www.sec.gov/comments/sr-nasdaq-2020-026/
srnasdaq2020026-7677529-222672.pdf.
7 15 U.S.C. 78sb2B.
8 See Securities Exchange Act Release No. 89794, 85 FR 57260 September 15, 2020.
9 Amendment No. 2 is available at: https
www.sec.gov/comments/sr-nasdaq-2020-026/
srnasdaq2020026-8048419-225740.pdf.
10 See Securities Exchange Act Release No. 90553, 85 FR 79062 December 8, 2020.
11 17 CFR 200.303a12.
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Release No. 3491060; File No. SRPhlx 202105
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Phlx Rules February 4, 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 26, 2021, Nasdaq PHLX LLC Phlx or Exchange 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 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 The Exchange proposes to amend Phlx Rules at Options 1, Section 1, Applicability, Definitions and References; Options 2, Section 4, Obligations of Market Makers;
Options 2, Section 6, Market Maker Orders; Options 3, Section 6, Firm Quotations; Options 3, Section 7, Types of Orders and Order and Quote Protocols; Options 3, Section 10, Electronic Execution Priority and Processing in the System; Options 3, Section 13, Price Improvement XL
PIXL; Options 3, Section 15, Simple Order Risk Protections;
Options 3, Section 23, Data Feeds and Trade Information; Options 5, Section 4, Order Routing; Options 8, Section 2, Definitions; and Options 8, Section 32, Types of Floor-Based Non-System Orders.
The text of the proposed rule change is available on the Exchanges website at https listingcenter.nasdaq.com/
rulebook/phlx/rules, at the principal office of the Exchange, 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 concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the 1 15
2 17
E:FRFM10FEN1.SGM
U.S.C. 78sb1.
CFR 240.19b4.
10FEN1
