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Federal Register / Vol. 86, No. 172 / Thursday, September 9, 2021 / Notices
p.m. until 9:00 p.m. CT, at the Palo Community Center, located at 2800
Hollenbeck Road, in Palo, Iowa. The virtual public meeting will occur during the week of October 4, 2021, and will be noticed separately with details provided on the NRCs public meeting website at https www.nrc.gov/pmns/
mtg.
The NRC is continuing to closely monitor the Coronavirus Disease 2019
public health emergency and will make changes or cancellations to these meetings as necessary to protect public health and safety. The most current information for both the planned DAEC
PSDAR meetings will be available on the NRCs public meeting website previously referenced, or by contacting the individual listed in the FOR FURTHER
INFORMATION CONTACT section of this document. The NRC requests that comments that are not provided during the meetings be submitted in writing, as noted in section I, Obtaining Information and Submitting Comments, of this document, by December 20, 2021.

Commission is publishing this notice to solicit comments on the proposed rule from interested persons.

Dated: September 2, 2021.
For the Nuclear Regulatory Commission.
Bruce A. Watson, Chief, Reactor Decommissioning Branch, Division of Decommissioning, Uranium Recovery, and Waste Programs, Office of Nuclear Material Safety and Safeguards.

II. Self-Regulatory Organizations Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the self-regulatory organization 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 self-regulatory organization has prepared summaries, set forth in Sections A, B, and C below, of the most significant aspects of such statements.

FR Doc. 202119417 Filed 9821; 8:45 am BILLING CODE 759001P

SECURITIES AND EXCHANGE
COMMISSION
Release No. 3492868; File No. SRIEX
202110

Self-Regulatory Organizations;
Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate IEX Rule 11.420 Order Audit Trail System OATS Requirements To Reflect the September 1, 2021
Retirement of OATS

lotter on DSK11XQN23PROD with NOTICES1

September 2, 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 31, 2021, the Investors Exchange LLC
IEX or the Exchange filed with the Securities and Exchange Commission Commission the proposed rule change as described in Items I and II
below, which Items have been prepared by the self-regulatory organization. The 1 15
2 17

U.S.C. 78sb1.
CFR 240.19b4.

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19:38 Sep 08, 2021

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I. Self-Regulatory Organizations Statement of the Terms of Substance of the Proposed Rule Change Pursuant to the provisions of Section 19b1 of the Act, and Rule 19b4
thereunder, IEX is filing with the Commission a proposed rule change to eliminate IEX Rule 11.420 Order Audit Trail System OATS Requirements to reflect that as of September 1, 2021, the Financial Industry Regulatory Authority, Inc. FINRA will have retired OATS, and Industry Members will be effectively reporting to the consolidated audit trail CAT
adopted pursuant to the National Market System Plan Governing the Consolidated Audit Trail the CAT
NMS Plan or Plan.
The text of the proposed rule change is available at the Exchanges website at www.iextrading.com, at the principal office of the Exchange, and at the Commissions Public Reference Room.

A. Self-Regulatory Organizations Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose IEX is filing with the Commission a proposed rule change to eliminate IEX
Rule 11.420 to reflect that as of September 1, 2021, FINRA will have retired OATS, and Industry Members will be effectively reporting to the CAT
adopted pursuant to the CAT NMS Plan.
I Background IEX, FINRA, and the other national securities exchanges collectively, the Participants 3 filed with the 3 For a complete list of Participants, see Exhibit A to the Limited Liability Company Agreement of Consolidated Audit Trail, LLC, available at www.catnmsplan.com/sites/default/files/2020-07/
LLC-Agreement-of-Consolidated-Audit-Trail-LLCas-of-7.24.20.pdf.

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Commission, pursuant to Section 11A of the Exchange Act 4 and Rule 608 of Regulation NMS thereunder,5 the CAT
NMS Plan.6 The Participants filed the Plan to comply with Rule 613 of Regulation NMS under the Exchange Act.7 The Plan was published for comment in the Federal Register on May 17, 2016,8 and approved by the Commission, as modified, on November 15, 2016.9 On March 15, 2017, the Commission approved the new IEX Rule Series 11.600 10 to implement provisions of the CAT NMS Plan that are applicable to IEX Members.11
The CAT NMS Plan is intended to create, implement, and maintain a consolidated audit trail that will capture in a single consolidated data source customer and order event information for orders in NMS Securities and OTC
Equity Securities, across all markets, from the time of order inception through routing, cancellation, modification, or execution.12 Among other things, the CAT NMS Plan, as modified by the Commission, requires each Participant to file with the SEC the relevant rule change filing to eliminate or modify its duplicative rules within six 6 months of the SECs approval of the CAT NMS
Plan. 13 The Plan notes that the 4 15

U.S.C. 78k1.
CFR 242.608.
6 See Letter from the Participants to Brent J.
Fields, Secretary, Commission, dated September 30, 2014; and Letter from Participants to Brent J. Fields, Secretary, Commission, dated February 27, 2015.
On December 24, 2015, the Participants submitted an amendment to the CAT NMS Plan. See Letter from Participants to Brent J. Fields, Secretary, Commission, dated December 23, 2015.
7 17 CFR 242.613.
8 See Securities Exchange Act Rel. No. 77724
Apr. 27, 2016, 81 FR 30614 May 17, 2016.
9 See Securities Exchange Act Rel. No. 79318
Nov. 15, 2016, 81 FR 84696 Nov. 23, 2016.
10 See Securities Exchange Act Rel. No. 80255
March 15, 2017, 82 FR 14563 March 21, 2017.
11 See IEX Rule 1.160s.
12 See, e.g., Securities Exchange Act Release No.
67457 July 18, 2012, 77 FR 45722, 45723 August 1, 2012.
13 See CAT NMS Plan, Appendix C, Section C.9.
In compliance with this requirement, on May 15, 2017, IEX, alongside the other Participants, filed a proposed rule change to eliminate the OATS Rules and amend IEX Rule 8.220 the Electronic Blue Sheets or EBS rule. See Securities Exchange Act Release No. 80788 May 26, 2017, 82 FR 25400
June 1, 2017 SRIEX201718 original proposal. IEX filed an amendment to the original proposal on August 24, 2017. See Letter from Claudia Crowley to Brent Fields dated August 24, 2017, available at https www.sec.gov/comments/
sr-iex-2017-18/iex201718-2243339-160872.pdf. The original proposal was subsequently withdrawn but provided similar views and mechanisms for eliminating the OATS rule as this proposed rule change does, and, as noted above, also proposed to amend the EBS rules. See Securities Exchange Act Release No. 82524 January 17, 2018, 83 FR 3239
January 23, 2018 Notice of Withdrawal of File No.
SRIEX201718. IEX notes that the current filing addresses only the elimination of the OATS rule.
5 17

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