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Federal Register / Vol. 86, No. 136 / Tuesday, July 20, 2021 / Notices investors, or otherwise in furtherance of the purposes of the Act. If the Commission takes such action, the Commission shall institute proceedings under Section 19b2B 18 of the Act 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:

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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
NYSENAT202114 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 SRNYSENAT202114. 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 18 15

U.S.C. 78sb2B.

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to make available publicly. All submissions should refer to File Number SRNYSENAT202114, and should be submitted on or before August 10, 2021.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.19
J. Matthew DeLesDernier, Assistant Secretary.
FR Doc. 202115336 Filed 71921; 8:45 am BILLING CODE 801101P

SECURITIES AND EXCHANGE
COMMISSION
Release No. 3492403; File No. SRFINRA
2021018

Self-Regulatory Organizations;
Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Technical and Other Non-Substantive Changes Within FINRA Rules July 14, 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 July 6, 2021, the Financial Industry Regulatory Authority, Inc. FINRA 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 to make technical and other non-substantive changes within FINRA rules.
The text of the proposed rule change is available on FINRAs website at CFR 200.303a12, 59.
U.S.C. 78sb1.
2 17 CFR 240.19b4.
3 17 CFR 240.19b4f6. 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.

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http www.finra.org, at the principal office of FINRA and at the Commissions Public Reference Room.
Below is the text of the proposed rule change. Proposed new language is in italics; proposed deletions are in brackets.

Schedule A to the By-Laws of the Corporation

IMSection 4b1 and e Exemption From Certain Registration and Membership Application Fees for Certain NYSE and NYSE Alternext USAmerican LLC Member Organizations NYSE and NYSE Alternext USAmerican LLC member organizations that become members of FINRA pursuant to IM10131 and IM
10132, respectively, shall not be assessed the fee set forth in Section 4b1 to Schedule A of the FINRA ByLaws for the initial Form U4 filed by firms for the registration of any representative or principal associated with the member organization at the time a firm submits its application for FINRA membership. Such firms also shall not be assessed the membership application fee set forth in Section 4e to Schedule A of the FINRA By-Laws.
However, those firms will otherwise remain subject to FINRAs By-Laws and Schedules to By-Laws, including Schedule A.

FINRA Rules

1000. Member Application and Associated Person Registration

IM10111. Safe Harbor for Business Expansions This interpretive material concerns the types of business expansions that will not require a member to submit a Rule 1017 application to obtain FINRAs approval of the expansion. This safe harbor applies to: 1 Firms that do not have a membership agreement, and 2
firms that have a membership agreement that does not contain a restriction on the factors listed below.

The safe harbor is not available to any member that has disciplinary history.
For purposes of this Interpretation, disciplinary history means a finding of a violation by the member or a principal of the member in the past five years by the SEC, a self-regulatory organization, or a foreign financial
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