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Federal Register / Vol. 86, No. 26 / Wednesday, February 10, 2021 / Notices
disapproval that would be facilitated by an oral presentation of views, data, and arguments, the Commission will consider, pursuant to Rule 19b4, any request for an opportunity to make an oral presentation.17
Interested persons are invited to submit written data, views, and arguments regarding whether the Amended Proposed Rule Change should be approved or disapproved by February 24, 2021. Any person who wishes to file a rebuttal to any other persons submission must file that rebuttal by March 8, 2021.
Comments may be submitted by any of the following methods:
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 No. SR
FINRA2020038 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 No.
SRFINRA2020038. 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 Amended Proposed Rule Change that are filed with the Commission, and all written communications relating to the Amended 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 such filing also will be available for 17 Section 19b2 of the Act, as amended by the Securities Acts Amendments of 1975, Public Law 9429, 89 Stat. 97 1975, grants the Commission flexibility to determine what type of proceeding either oral or notice and opportunity for written commentsis appropriate for consideration of a particular proposal by a self-regulatory organization. See Securities Acts Amendments of 1975, Report of the Senate Committee on Banking, Housing and Urban Affairs to Accompany S. 249, S. Rep. No. 75, 94th Cong., 1st Sess. 30 1975.

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inspection and copying at the principal office of FINRA.
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 No. SRFINRA2020038 and should be submitted on or before February 24, 2021. If comments are received, any rebuttal comments should be submitted on or before March 8, 2021.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.18
J. Matthew DeLesDernier, Assistant Secretary.
FR Doc. 202102715 Filed 2921; 8:45 am BILLING CODE 801101P

SECURITIES AND EXCHANGE
COMMISSION
Release No. 3491062; File No. SR
NASDAQ2021005

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ALPS Active REIT ETF of ALPS ETF
Trust To List and Trade Shares of the Fund Under Nasdaq Rule 5750
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 25, 2021, The Nasdaq Stock Market LLC
Nasdaq 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 a rule change relating to the ALPS Active REIT ETF
the Fund of ALPS ETF Trust the Trust, to list and trade shares of the Fund under Nasdaq Rule 5750 Proxy Portfolio Shares. The shares of the 18 17 CFR 200.303a12; 17 CFR 200.30
3a57.
1 15 U.S.C. 78sb1.
2 17 CFR 240.19b4.

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Fund are collectively referred to herein as the Shares.
b Not applicable. sic The text of the proposed rule change is available on the Exchanges website at https listingcenter.nasdaq.com/
rulebook/nasdaq/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 proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange 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 The Commission has approved the listing and trading of Proxy Portfolio Shares under Nasdaq Rule 5750, which governs the listing and trading of Proxy Portfolio Shares on the Exchange.3
The Fund is an actively-managed exchange-traded fund ETF. The Shares are offered by the Trust, which was established as a Delaware statutory trust on September 13, 2007.4 The Trust, which is registered with the Commission as an investment company under the Investment Company Act of 1940 the 1940 Act, has filed a registration statement on Form N1A
Registration Statement relating to the Fund with the Commission.5 The Fund is a series of the Trust. ALPS
Advisors, Inc. Adviser is the investment adviser to the Fund. ALPS
Portfolio Solutions Distributor, Inc. is the principal underwriter and distributor of the Funds Shares. ALPS
Fund Services, Inc. acts as the administrator and provides fund 3 The Commission approved Nasdaq Rule 5750 in Securities Exchange Act Release No. 89110 June 22, 2020, 85 FR 38461 June 26, 2020 SR
NASDAQ2020032.
4 The Commission has issued an order, upon which the Trust may rely, granting certain exemptive relief under the 1940 Act. See Investment Company Act Release No. 34181 Jan.
21, 2021 Exemptive Order.
5 The Registration Statement is available on the Commissions website at https www.sec.gov/
Archives/edgar/data/1414040/
000139834420019856/fp0058104_485apos.htm.

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