Notice2021-16550
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to Members' Filing Requirements Under FINRA Rule 6432 (Compliance With the Information Requirements of SEA Rule 15c2-11)
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
August 4, 2021
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 86 Issue 147 (Wednesday, August 4, 2021)</title>
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[Federal Register Volume 86, Number 147 (Wednesday, August 4, 2021)]
[Notices]
[Page 42005]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2021-16550]
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SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-92524; File No. SR-FINRA-2021-014]
Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Notice of Designation of a Longer Period for
Commission Action on a Proposed Rule Change Relating to Members' Filing
Requirements Under FINRA Rule 6432 (Compliance With the Information
Requirements of SEA Rule 15c2-11)
July 29, 2021.
On May 28, 2021, the Financial Industry Regulatory Authority, Inc.
(``FINRA'') filed with the Securities and Exchange Commission
(``Commission''), pursuant to Section 19(b)(1) of the Securities
Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4 thereunder,\2\ a
proposed rule change to amend members' filing requirements under FINRA
Rule 6432 (Compliance with the Information Requirements of Securities
Exchange Act Rule 15c2-11). The proposed rule change was published for
comment in the Federal Register on June 15, 2021.\3\
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\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b-4.
\3\ See Exchange Act Release No. 92139 (June 9, 2021), 86 FR
31774 (June 15, 2021). Comments on the proposed rule change can be
found at: <a href="https://www.sec.gov/comments/sr-finra-2021-014/srfinra2021014.htm">https://www.sec.gov/comments/sr-finra-2021-014/srfinra2021014.htm</a>.
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Section 19(b)(2) of the Act \4\ provides that, within 45 days of
the publication of notice of the filing of a proposed rule change, or
within such longer period up to 90 days as the Commission may designate
if it finds such longer period to be appropriate and publishes its
reasons for so finding, or as to which the self-regulatory organization
consents, the Commission shall either approve the proposed rule change,
disapprove the proposed rule change, or institute proceedings to
determine whether the proposed rule change should be disapproved. The
45th day after publication of the notice for this proposed rule change
is July 30, 2021. The Commission is extending this 45-day period.
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\4\ 15 U.S.C. 78s(b)(2).
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The Commission finds it appropriate to designate a longer period
within which to take action on the proposed rule change so that it has
sufficient time to consider the proposed rule change and the comment
received. Accordingly, the Commission, pursuant to Section 19(b)(2) of
the Act,\5\ designates September 13, 2021 as the date by which the
Commission shall either approve or disapprove, or institute proceedings
to determine whether to disapprove, the proposed rule change (File No.
SR-FINRA-2021-014).
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\5\ Id.
\6\ 17 CFR 200.30-3(a)(31).
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\6\
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-16550 Filed 8-3-21; 8:45 am]
BILLING CODE 8011-01-P
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</html>Indexed from Federal Register on August 4, 2021.
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