Voglio sapere a riguardo di…

Federal Register / Vol. 86, No. 165 / Monday, August 30, 2021 / Notices 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 to make available publicly. All submissions should refer to File Number SRCBOE2021048 and should be submitted on or before September 20, 2021.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.13
Jill M. Peterson, Assistant Secretary.
FR Doc. 202118554 Filed 82721; 8:45 am BILLING CODE 801101P

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 General 9, Section 51, Research Analysts.
The text of the proposed rule change is available on the Exchanges website at https listingcenter.nasdaq.com/
rulebook/bx/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
SECURITIES AND EXCHANGE
COMMISSION

The Exchange proposes to amend General 9, Section 51, Research Analysts. Specifically, the Exchange proposes to 1 remove references to
Release No. 3492737; File No. SRBX
2021035

Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 9, Section 51, Research Analysts
khammond on DSKJM1Z7X2PROD with NOTICES

August 24, 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 August 12, 2021, Nasdaq BX, Inc. BX 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 13 17

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

VerDate Sep<11>2014

18:40 Aug 27, 2021

Jkt 253001

PO 00000

Frm 00075

Fmt 4703

Sfmt 4703

48459

FINRA Rules 1120 3 and 1250; 4 and 2
add references to FINRA Rules 1240 and 1220a6, a14 and b6.
By way of background, FINRA
previously deleted in their entirety the NASD Rule 1000 Series relating to registration of Principals and Representatives and adopted rules relating to qualification and registration requirements in the Consolidated FINRA Rulebook.5 In that rule change, FINRA Rule 1250 was renumbered to FINRA Rule 1240.6 FINRA Rule 1240
describes continuing education requirements applicable to registered persons and consists of a Regulatory Element and a Firm Element.
BX subsequently filed a rule change 7
to amend, reorganize and enhance certain of its corresponding membership, registration and qualification requirements rules in part in response to the FINRA Rule Changes,8 and also in order to facilitate 3 BX Rule 1050 subsequently renumbered as General 9, Section 51 originally referred to NASD
Rule 1120, Continuing Education Requirements.
See Securities Exchange Act Release Nos. 84353
October 3, 2018, 83 FR 50999 October 10, 2018
SRBX2018047 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend, Reorganize and Enhance Membership, Registration and Qualification Rules, and To Make Conforming Changes to Certain Other Rules; and 87468
November 5, 2019, 84 FR 61091 November 12, 2019 SRBX2019039 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Relocate Rules From Its Current Rulebook Into Its New Rulebook Shell renumbering BX Rule 1050 as General 9, Section 51. The SEC approved the adoption of NASD Rule 1120 Continuing Education Requirements as new FINRA Rule 1250
Continuing Education Requirements subject to certain amendments, effective on October 17, 2011.
See Securities Exchange Act Release No. 64687
June 16, 2011; 76 FR 36586 June 22, 2011 SR
FINRA2011013 Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Establishing a Registration Category, Qualification Examination and Continuing Education Requirements for Certain Operations Personnel, and Adopt FINRA Rule 1250
Continuing Education Requirements in the Consolidated FINRA Rulebook. See also note 5
below.
4 FINRA Rule 1250 was renumbered as FINRA
Rule 1240. See note 5 below.
5 See Securities Exchange Act Release No. 81098
July 7, 2017, 82 FR 32419 July 13, 2017 SR
FINRA2017007 Order Approving Proposed Rule Change To Adopt Consolidated Registration Rules, Restructure the Representative-Level Qualification Examination Program, Allow Permissive Registration, Establish Exam Waiver Process for Persons Working for Financial Services Affiliate of Member, and Amend the Continuing Education Requirements.
6 Id.
7 See Securities Exchange Act Release No. 84353
October 3, 2018, 84 FR 50999 October 10, 2018
SRBX2018047 Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend, Reorganize and Enhance Membership, Registration and Qualification Rules, and To Make Conforming Changes to Certain Other Rules.
8 See note 5 above.

E:FRFM30AUN1.SGM

30AUN1