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Federal Register / Vol. 86, No. 162 / Wednesday, August 25, 2021 / Notices The United States Postal Service hereby gives notice that, pursuant to 39 U.S.C.
3642 and 3632b3, on August 9, 2021, it filed with the Postal Regulatory Commission a USPS Request to Add Priority Mail Express Contract 90 to Competitive Product List. Documents are available at www.prc.gov, Docket Nos. MC2021124, CP2021126.
SUPPLEMENTARY INFORMATION:

Sean Robinson, Attorney, Corporate and Postal Business Law.
FR Doc. 202118314 Filed 82421; 8:45 am BILLING CODE 771012P

POSTAL SERVICE
Product ChangePriority Mail Express, Priority Mail, First-Class Package Service, and Parcel Select Service Negotiated Service Agreement AGENCY:
ACTION:

Postal ServiceTM.

Notice.

The Postal Service gives notice of filing a request with the Postal Regulatory Commission to add a domestic shipping services contract to the list of Negotiated Service Agreements in the Mail Classification Schedules Competitive Products List.

SUMMARY:

Date of required notice: August 25, 2021.

DATES:

FOR FURTHER INFORMATION CONTACT:

Sean Robinson, 2022688405.
The United States Postal Service hereby gives notice that, pursuant to 39 U.S.C.
3642 and 3632b3, on August 9, 2021, it filed with the Postal Regulatory Commission a USPS Request to Add Priority Mail Express, Priority Mail, First-Class Package Service, and Parcel Select Service Contract 9 to Competitive Product List. Documents are available at www.prc.gov, Docket Nos. MC2021122, CP2021124.
SUPPLEMENTARY INFORMATION:

Sean Robinson, Attorney, Corporate and Postal Business Law.
FR Doc. 202118312 Filed 82421; 8:45 am
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SECURITIES AND EXCHANGE
COMMISSION
Release No. 3492710; File No. SRFINRA
2021011

Self-Regulatory Organizations;
Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 1011p Specified Risk Event August 19, 2021.

I. Introduction On May 12, 2021, the Financial Industry Regulatory Authority, Inc.
FINRA filed with the Securities and Exchange Commission SEC or Commission, pursuant to Section 19b1 of the Securities Exchange Act of 1934 Exchange Act or Act 1 and Rule 19b4 thereunder,2 a proposed rule change to amend FINRA Rule 1011p which defines the term specified risk event to clarify the scope of final regulatory actions that are included in the definition of specified risk event for purposes of the Rule 1000 Series Member Application and Associated Person Registration.3
The proposed rule change was published for comment in the Federal Register on May 26, 2021.4 The public comment period closed on June 16, 2021. The Commission received one comment letter in response to the Notice.5 On July 9, 2021, FINRA
consented to an extension of the time period in which the Commission must approve the proposed rule change, disapprove the proposed rule change, or institute proceedings to determine whether to approve or disapprove the proposed rule change to August 24, 2021.6 This order approves the proposed rule change.
II. Description of the Proposed Rule Change On December 10, 2020, the Commission approved a proposed rule 1 15

U.S.C. 78sb1.
CFR 240.19b4.
3 See Exchange Act Release No. 90635 Dec. 10, 2020, 85 FR 81540 Dec. 16, 2020 Order Approving File No. SRFINRA2020011
December 2020 Order.
4 See Exchange Act Release No. 91959 May 20, 2021, 86 FR 28405 May 26, 2021 File No. SR
FINRA2021011 Notice.
5 See letter from Isaiah Sanderman, dated May 28, 2021 Sanderman Letter, available at https
www.sec.gov/comments/sr-finra-2021-011/
srfinra2021011-8852748-238381.htm.
6 See letter from Michael Garawski, Associate General Counsel, OGC Regulatory Practice and Policy, FINRA, to Daniel Fisher, Branch Chief, Division of Trading and Markets, Commission, dated July 9, 2021, available at SRFINRA2021
011-Extension1.pdf.
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change concerning brokers with a significant history of misconduct Misconduct Rule.7 Among other things, the Misconduct Rule amended the FINRA Rule 1000 Series Member Application and Associated Person Registration to require a FINRA
member broker-dealer member firm to seek a materiality consultation and approval of a continuing membership application, if required, when a natural person seeking to become an owner, control person, principal, or registered person of the member firm has, in the prior five years, one or more final criminal matters or two or more specified risk events. 8 The amendments to the Rule 1000 Series will become effective on September 1, 2021.9
To provide clarity to member firms determining whether they need to seek a materiality consultation or approval of a CMA, the Misconduct Rule defines specified risk event to mean any one of the . . . events described in Rule 1011p that are disclosed, or are or were required to be disclosed, on an applicable Uniform Registration Form. 10 The events described in Rule 1011p include, among others, a final regulatory action as set forth in Rule 1011p4. Specifically, Rule 1011p4
describes a final regulatory action to include final regulatory actions where A the total monetary sanctions including civil and administrative penalties or fines, disgorgement, monetary penalties other than fines, or restitution were ordered for a dollar amount at or above $15,000; or B the sanction against the person was a bar permanently or temporarily, expulsion, rescission, revocation, or suspension from associating with a member. The proposed rule change 7 See
supra note 3.
December 2020 Order at 81541. In general, a member firm initiates a materiality consultation with FINRAs Department of Member Regulation Member Regulation by submitting a letter requesting its determination as to whether a proposed change is material such that it requires the submission of a Continuing Membership Application CMA. If Member Regulation determines that a proposed change is material, it will instruct the broker-dealer to file a CMA if it intends to proceed with the proposed change. See Regulatory Notice 1823 Proposal Regarding the Rules Governing the New and Continuing Membership Application Process Jul. 2018; see also December 2020 Order at n. 9.
9 See Regulatory Notice 2109 Mar. 2021.
10 See FINRA Rule 1011p; see also Notice at 28406. FINRA Rule 1011r defines Uniform Registration Forms to mean the Uniform Application for Broker-Dealer Registration Form BD, the Uniform Application for Securities Industry Registration or Transfer Form U4, the Uniform Termination Notice for Securities Industry Registration Form U5 and the Uniform Disciplinary Action Reporting Form Form U6, as such may be amended or any successors thereto.
8 See
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