Notice2021-28246
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 37 To Incorporate Standards of Conduct for the Exchange's Trading Floor
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
December 29, 2021
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 86 Issue 247 (Wednesday, December 29, 2021)</title>
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[Federal Register Volume 86, Number 247 (Wednesday, December 29, 2021)]
[Notices]
[Pages 74180-74184]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2021-28246]
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SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-93851; File No. SR-NYSE-2021-73]
Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Filing of Proposed Rule Change To Amend Rule 37 To
Incorporate Standards of Conduct for the Exchange's Trading Floor
December 22, 2021.
Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that, on December 13, 2021, New York Stock Exchange LLC (``NYSE''
or the ``Exchange'') filed with the Securities and Exchange Commission
(the ``Commission'') the proposed rule change as described in Items I,
II, and III below, which Items have been prepared by the self-
regulatory organization. The Commission is publishing this notice to
solicit comments on the proposed rule change from interested persons.
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\1\ 15 U.S.C. 78s(b)(1).
\2\ 15 U.S.C. 78a.
\3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change
The Exchange proposes to amend Rule 37 to incorporate standards of
conduct for the Exchange's Trading Floor modeled on rules of the
Exchange's affiliates NYSE American LLC and NYSE Arca, Inc., and to add
amended Rule 37 to the list of minor rule violations in Rule 9217. The
proposed rule change is available on the Exchange's website at
<a href="http://www.nyse.com">www.nyse.com</a>, at the principal office of the Exchange, and at the
Commission's Public Reference Room.
II. Self-Regulatory Organization's 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 those 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 parts of such statements.
A. Self-Regulatory Organization's Statement of the Purpose of, and the
Statutory Basis for, the Proposed Rule Change
1. Purpose
The Exchange proposes to amend Rule 37 (Visitors) to incorporate
standards of conduct for the Exchange's Trading Floor modeled on the
rules of the Exchange's affiliates NYSE American LLC (``NYSE
American'') and NYSE Arca, Inc. (``NYSE Arca''), and to add amended
Rule 37 to the list of minor rule violations in Rule 9217.
Background
Rule 37 currently provides that visitors to the Floor shall not be
admitted to the Floor of the Exchange except by permission of the
Exchange. Historically, the behavior and conduct of members \4\ on the
trading Floor was regulated by Floor Conduct and Safety Guidelines
administered by NYSE Floor Officials. The NYSE eliminated the role and
function of NYSE Floor Officials earlier this year.\5\
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\4\ Rule 2(a) states that the term ``member,'' when referring to
a natural person, means a natural person associated with a member
organization who has been approved by the Exchange and designated by
such member organization to effect transactions on the Floor or any
facility thereof.
\5\ See Securities Exchange Act Release No. 92193 (June 16,
2021), 82 FR 32024 (June 23, 2021) (SR-NYSE-2020-105) (Order).
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NYSE American Rule 902NY (Admission and Conduct on the Options
Trading Floor) and NYSE Arca Rule 6.2-O (Admission to and Conduct on
the Options Trading Floor) specify standards of conduct and dress for
persons to follow while on the NYSE American and NYSE Arca options
trading floors as well requirements for trading floor badges. The rules
are substantially similar.
NYSE American Rule 902NY(b) and NYSE Arca Rule 6.2-O(b) are titled
``Conduct on the Floor'' and provide that a permit holder may be fined
upon the determination of a Trading Official that the permit holder's
conduct on the options trading floor was such as to impair the
maintenance of a fair and orderly market, or to impair public
confidence in the operations of the exchange. The provisions of NYSE
American Rule 902NY(b) and NYSE Arca Rule 6.2-O(b) also apply to a
permit holder's failure to adequately supervise an employee to ensure
his or her compliance with this rule. Permit holders adversely affected
by a determination made under these rules may obtain review thereof
consistent with other NYSE American and NYSE Arca rules, as applicable.
However, fines imposed by a Trading Official under those rules do not
preclude further disciplinary action by the respective exchanges.
Under NYSE American Rule 902NY(c) and NYSE Arca Rule 6.2-O(c)
titled ``Standards of Dress and Conduct,'' all permit holders are
required to act in a manner consistent with a fair and orderly market
and with the maintenance of public confidence in the respective
exchanges. Under the rules, all persons on the options trading floors
must comply with certain standards of dress and conduct, as follows.
NYSE American Rule 902NY(c)(1) and NYSE Arca Rule 6.2-O(c)(1) provide
that all persons on the options trading floor, whether permit holders,
employees of permit holders or visitors, shall at all times, whether
prior to, during or after trading sessions, be dressed in a manner
appropriate for business purposes and in accordance with good taste and
professional standards. The rules provide that the term ``good taste''
shall be interpreted in a conservative manner. In addition, under the
rules, the following requirements and prohibitions shall be observed:
[[Page 74181]]
<bullet> Personal attire must be neat, clean and presentable.
<bullet> All persons must wear trading jackets and/or suit or sport
coats while present on the options trading floors.
<bullet> Each exchange may impose additional standards of dress or
otherwise modify these standards of dress by means of a written policy
that will be distributed to permit holders.
NYSE American Rule 902NY(c)(2)(A) and NYSE Arca Rule 6.2-O(c)(2)(A)
specify that all persons on the trading floors are required to conduct
themselves in accordance with a seemly and professional standard of
behavior. No person while on the options trading floor shall:
<bullet> Engage in any act or practice that may be detrimental to
the interest or welfare of the exchange (NYSE American Rule
902NY(c)(2)(A)(i) and NYSE Arca Rule 6.2-O(c)(2)(A)(i)); or
<bullet> engage in any act or practice that may serve to disrupt or
hinder the ordinary and efficient conduct of business (NYSE American
Rule 902NY(c)(2)(A)(ii) and NYSE Arca Rule 6.2-O(c)(2)(A)(ii)); or
<bullet> engage in any act or practice that may serve to jeopardize
the safety or welfare of any other individual (NYSE American Rule
902NY(c)(2)(A)(iii) and NYSE Arca Rule 6.2-O(c)(2)(A)(iii)); or
<bullet> act in a disorderly manner, which includes, but is not
limited to, the use of abusive or indecorous language (NYSE American
Rule 902NY(c)(2)(A)(iv) and NYSE Arca Rule 6.2-O(c)(2)(A)(iv)).
NYSE American Rule 902NY(c)(2)(B) and NYSE Arca Rule 6.2-O(c)(2)(B)
further provide that food or drink may be permitted at the discretion
of the exchange and that alcoholic beverages may not be consumed on the
trading floor at any time.
Under NYSE American Rule 902NY(c)(2)(C) and NYSE Arca Rule 6.2-
O(c)(2)(C), smoking in any form, any kind of tobacco use, or any
expectorating on the trading floor is prohibited. The prohibitions NYSE
American Rule 902NY(c)(2)(C) and NYSE Arca Rule 6.2-O(c)(2)(C) apply at
all times whether or not the floors are in session.
NYSE American Rule 902NY(c)(2)(D) and NYSE Arca Rule 6.2-O(c)(2)(D)
prohibit running on the floor, which means any movement at a degree of
speed which may disrupt other occupants of the trading floor.
NYSE American Rule 902NY(c)(2)(E) and NYSE Arca Rule 6.2-O(c)(2)(E)
prohibit standing on chairs, furniture, booths, ladders, stools and
similar items.
NYSE American Rule 902NY(c)(2)(F) and NYSE Arca Rule 6.2-O(c)(2)(F)
provides that no object of any kind may be placed in the trading post
areas if it could obstruct the flow of people in or out of the trading
crowd.
Finally, NYSE American Rule 902NY(d)(1) and NYSE Arca Rule 6.2-
O(d)(1) provide that admission to the trading floors is by exchange
issued badge only and that, while on the trading floor, all persons
must at all times display appropriate badges. The rules further provide
that authorized persons seeking admission to the floor without a badge
must show proper identification and obtain a temporary badge from the
Security Office, and that permit holders may be subject to a processing
fee related to the issuance of a temporary access badge. NYSE American
Rule 902NY(d)(2) and NYSE Arca Rule 6.2-O(d)(2) govern withdrawal of
trading floor badges.
Proposed Rule Change
Amended Rule 37
The Exchange proposes to revise Rule 37 to add to NYSE Rules the
standards for conduct, dress and trading badges contained in NYSE
American Rule 902NY and NYSE Arca Rule 6.2-O, with certain
modifications as described below, and to amend Rule 9217 to provide for
minor rule fines for violations of those standards. The proposed rule
change would align the Exchange's rules with those of its affiliates as
it relates to both the standards members accessing and working on the
Floor must follow and the application of minor rule fines for
violations of those standards.\6\
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\6\ The term ``Floor'' is defined in NYSE Rule 6 to mean ``the
trading Floor of the Exchange and the premises immediately adjacent
thereto, such as the various entrances and lobbies of the 11 Wall
Street, 18 New Street, 8 Broad Street, 12 Broad Street and 18 Broad
Street Buildings, and also means the telephone facilities available
in these locations.'' The term ``Trading Floor'' is defined in NYSE
Rule 6A to mean ``the restricted-access physical areas designated by
the Exchange for the trading of securities, commonly known as the
`Main Room' and the `Buttonwood Room.''' The NYSE Trading Floor does
not include: ``(i) the areas in the ``Buttonwood Room'' designated
by the Exchange where NYSE American-listed options are traded,
which, for the purposes of the Exchange's Rules, shall be referred
to as the ``NYSE American Options Trading Floor'' or (ii) the
physical area within fully enclosed telephone booths located in 18
Broad Street at the Southeast wall of the Trading Floor.'' The areas
designated by the Exchange where NYSE American-listed options are
traded are subject to NYSE American Rule 902NY, described above.
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To effectuate this change, the Exchange proposes the following
amendments to Rule 37.
First, Rule 37 would be renamed ``Admission and Conduct on the
Trading Floor'' similar to the NYSE American and NYSE Arca options
rules, with a difference to use the term ``Trading Floor.''
Second, the existing text of Rule 37 governing admissions would be
relocated to a new subsection (a) titled ``Admission,'' once again
along the lines of the NYSE American and NYSE Arca options rules.\7\
The existing text would be unchanged.
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\7\ See, e.g., NYSE American Rule 902NY(e).
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Third, the Exchange would adopt a new subsection (b) titled
``Conduct on the Trading Floor'' that would be substantially similar to
NYSE American Rule 902NY(b) and NYSE Arca Rule 6.2-O(b). The proposed
rule would provide that while on the Trading Floor, all members are
required to act in a manner consistent with a fair and orderly market
and with the maintenance of public confidence in the Exchange.\8\ The
proposed rule would further provide that upon the determination that a
member's conduct on the Floor is such as to impair the maintenance of a
fair and orderly market, or to impair public confidence in the
operations of the Exchange, or that a member has otherwise violated the
proposed rule, a member may be disciplined in accordance with the Rule
9000 Series, the Exchange's disciplinary rules. Proposed Rule 37(b)
would also apply to a member's failure to adequately supervise an
employee or guest of the member to ensure compliance with the proposed
rule. Unlike the NYSE American and NYSE Arca rules, the Exchange would
explicitly refer to failure to adequately supervise a guest of the
member in the proposed rule. Because violations of this Rule would be
subject to discipline pursuant to the Rule 9000 Series, the Exchange
proposes to include the phrase ``or that a member has otherwise
violated this rule'' and exclude a statement that that fines imposed
thereunder would not preclude further disciplinary action by the
Exchange. Finally, unlike the NYSE American and NYSE Arca rules, the
proposed rule would omit any reference to Exchange Trading Officials,
who are not regulatory employees, unlike their options market
counterparts. As proposed, Rule 37 would be administered by the
Exchange's regulatory staff.
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\8\ The first sentence of proposed Rule 37(b) would be based on
NYSE American Rule 902NY(c) and NYSE Arca Rule 6.2-O(c).
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Fourth, the Exchange proposes a new subsection (c) titled
``Standards of Dress and Conduct'' that is also substantially similar
to NYSE American Rule 902NY(c) and NYSE Arca Rule 6.2-O(c).
[[Page 74182]]
Proposed Rule 37(c) would provide that all persons on the Floor must
comply with the standards of dress and conduct set forth in proposed
Rule 37(c)(1)(A)-(C), as follows.
Proposed Rule 37(c)(1) would be titled ``Standards of Dress'' and
would provide that all persons on the Floor, whether members, employees
of member organizations or visitors, must at all times, whether prior
to, during or after trading sessions, be dressed in a manner
appropriate for business purposes and in accordance with good taste and
professional standards. Like the NYSE American and NYSE Arca rules,
proposed Rule 37(c)(1) would provide that the term ``good taste'' will
be interpreted in a conservative manner. In addition, proposed Rule
37(c)(1) would set forth the following requirements and prohibitions:
<bullet> Proposed Rule 37(c)(1)(A) would provide that personal
attire must be neat, clean and presentable.
<bullet> Proposed Rule 37(c)(1)(B) would provide that all members
and employees of member organizations must wear trading jackets and/or
suit or sport coats while present on the Floor.
<bullet> Proposed Rule 37(c)(1)(C) would provide that the Exchange
may impose additional standards of dress or otherwise modify these
standards of dress by means of a written policy that will be
distributed to all members and member organizations.
Proposed Rule 37(c)(2) would be titled ``Standards of Conduct.''
Proposed subsection (A) of Rule 37(c)(2) would provide that all persons
on the Floor are required to conduct themselves in accordance with a
seemly and professional standard of behavior. Specifically, the
proposed Rule would specify that no person while on the Floor shall:
<bullet> Engage in any act or practice that may be detrimental to
the interest or welfare of the Exchange (proposed Rule 37(c)(2)(A)(i));
or
<bullet> engage in any act or practice that may serve to disrupt or
hinder the ordinary and efficient conduct of business (proposed Rule
37(c)(2)(A)(ii)); or
<bullet> engage in any act or practice that may serve to jeopardize
the safety or welfare of any other individual (proposed Rule
37(c)(2)(A)(iii)); or
<bullet> act in a disorderly manner, which includes, but is not
limited to, use of abusive or indecorous language and the display or
circulation of written material or graphic images that are harassing,
inappropriate, offensive, and/or lewd (proposed Rule 37(c)(2)(A)(iv)).
Proposed subsection (B) of Rule 37(c)(2) would provide that entry
and consumption of food or drink on the Trading Floor may be permitted
at the discretion of the Exchange and that food or drink should only be
consumed at the booth or post. Finally, proposed Rule 37(c)(2)(B) would
provide that alcoholic beverages may not be consumed on the Trading
Floor during business hours as defined in Rule 7.1 (Hours of Business).
The proposed Rule differs slightly from the NYSE American and NYSE Arca
rules, which prohibit consumption of alcoholic beverages at any time.
Proposed subsection (C) of Rule 37(c)(2) would prohibit smoking in
any form, any kind of tobacco use, or any expectorating on the Floor
and clarify that this prohibition would apply at all times. The
proposed Rule is identical to the NYSE American and NYSE Arca versions.
Proposed subsection (D) of Rule 37(c)(2) would prohibit running on
the Trading Floor, which the proposed Rule would define as any movement
at a degree of speed which may disrupt other occupants of the Floor.
Once again, the proposed Rule is identical to the NYSE American and
NYSE Arca versions.
Proposed subsection (E) of Rule 37(c)(2) would prohibit standing on
chairs, furniture, booths, ladders, stools and similar items. The
proposed Rule is the same as NYSE American Rule 902NY(c)(2)(E) and NYSE
Arca Rule 6.2-O(c)(2)(E).
Proposed subsection (F) of Rule 37(c)(2) would provide that no
object of any kind may be placed in the trading post areas, including
all chairs, stools or other furniture, if it could obstruct the flow of
people in or out of the Trading Floor. The Exchange determined to
exclude the reference to the trading crowd that appears in the NYSE
American and NYSE Arca rules.
Fifth and finally, the Exchange proposes a new subsection (d) to
Rule 37 titled ``Trading Floor Badges.'' Rule 303 (Limitation on Access
to Floor) currently requires members on the Floor to be provided with a
badge that must be worn while on the Floor.\9\ Proposed Rule 37(d)
would supplement Rule 303 by specifying, similar to NYSE American Rule
902NY(d) and NYSE Arca Rule 6.2-O(d), that admission to the Floor will
be by Exchange-issued badge only and that Exchange-issued badges must
be appropriately displayed, with the photo visible, at all times while
on the Floor. The proposed Rule would also specify that use of an
Exchange-issued badge belonging to another member or Floor employee to
enter or exit the Floor is prohibited. In addition, the proposed Rule
would provide that authorized persons seeking admission to the Floor
without a badge must show proper identification and obtain a temporary
badge from the Security Office. Finally, proposed Rule 37(d) would
provide that visitor's badges are not acceptable identification cards
for Floor employees.
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\9\ Rule 303(a) provides that members who execute orders on the
Floor must be provided with an identification badge and must wear
the same while on the Floor, and that every member's badge must
contain his or her name and a number and the name of his or her
member organization.
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Minor Rule Fines
Rule 9217 sets forth the list of rules under which a member
organization or covered person may be subject to a fine under Rule
9216(b). Rule 9217 permits the Exchange to impose a fine of up to
$5,000 on any member or covered person for a minor violation of an
eligible rule.
The Exchange proposes to amend Rule 9217 to add the proposed Rule
37 provisions governing floor decorum, disruptive actions involving
physical contact while on the Floor, use of abusive language, rules on
visitors, abuse of Exchange property, and misuse of Exchange-issued
badge or identification to the list of rules in Rule 9217 eligible for
disposition pursuant to a minor fine under Rule 9216(b). Each of these
violations of NYSE American Rule 902NY and NYSE Arca Rule 6.2-O are
eligible for minor rule fines under those markets' respective versions
of Rule 9217.\10\
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\10\ See NYSE American Rule 9217(i)(14) (violation of rules
related to floor decorum); (i)(15) (disruptive action involving
physical contact while on the Trading Floor); (i)(16) (ATP Holder
used abusive language on the trading floor); (i)(20) (violation of
rules on visitors to the options floor); (i)(21) (misuse of ATP
Holder badge or identification); and (i)(25) (abusing exchange
property); NYSE Arca Rule 10.9217(e)(16) (violation of rules related
to floor decorum); (e)(17) (disruptive action involving physical
contact while on the trading floor); (e)(19) (OTP Holder used
abusive language on the trading floor); (e)(31) (violation of rules
on visitors to the options floor); (e)(32) (misuse of OTP Holder
badge or OTP Firm identification); and (e)(36) (abusing exchange
property).
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The Exchange believes that the proposed changes would have the
immediate effect of aligning the Exchange's rules regarding Floor
conduct and decorum with the rules of its affiliates that also have
trading floors. Moreover, the Exchange believes that the proposed rule
change will strengthen the Exchange's ability to carry out its
oversight and enforcement responsibilities in cases where full
disciplinary proceedings are unwarranted in view of the minor nature of
the particular violation.
[[Page 74183]]
2. Statutory Basis
The Exchange believes that the proposed rule change is consistent
with Section 6(b) of the Act,\11\ in general, and furthers the
objectives of Section 6(b)(5) of the Act,\12\ in particular, in that it
is designed to prevent fraudulent and manipulative acts and practices,
to promote just and equitable principles of trade, to foster
cooperation and coordination with persons engaged in facilitating
transactions in securities, and to remove impediments to and perfect
the mechanism of a free and open market and a national market system.
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\11\ 15 U.S.C. 78f(b).
\12\ 15 U.S.C. 78f(b)(5).
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The Exchange believes that the proposed rule change would remove
impediments to and perfect the mechanism of a free and open market and
a national market system by adopting the same standards as its
affiliates that members accessing and working on a trading floor must
follow. By providing greater harmonization between Exchange rules and
those of its affiliates that also have trading floors regarding access,
conduct and decorum, the proposed rule change will foster cooperation
and coordination with persons engaged in facilitating transactions in
securities and will remove impediments to and perfect the mechanism of
a free and open market and a national market system.
Moreover, by adopting the same applicable minor rule fines for
violations of those standards as its affiliates, the Exchange would
promote regulatory consistency. Minor rule fines provide a meaningful
sanction for minor or technical violations of rules when the conduct at
issue does not warrant stronger, immediately reportable disciplinary
sanctions. The inclusion of a rule in the Rule 9217 does not minimize
the importance of compliance with the rule, nor does it preclude the
Exchange from choosing to pursue violations of eligible rules through
formal disciplinary action if the nature of the violations or prior
disciplinary history warrants more significant sanctions. Rather, the
Exchange believes that the proposed rule change will strengthen the
Exchange's ability to carry out its oversight and enforcement
responsibilities in cases where full disciplinary proceedings are
unwarranted in view of the minor nature of the particular violation.
The option to impose a minor rule sanction gives the Exchange
additional flexibility to administer its enforcement program in the
most effective and efficient manner while still fully meeting the
Exchange's remedial objectives in addressing violative conduct. The
proposed rule change is thus designed to prevent fraudulent and
manipulative acts and practices because it will provide the Exchange
the ability to issue a minor rule fine for violations of the dress,
conduct and decorum requirements set forth in proposed Rule 37 where a
more formal disciplinary action may not be warranted or appropriate.
The Exchange further believes that the proposed amendments to Rule
9217 are consistent with Section 6(b)(6) of the Act,\13\ which provides
that members and persons associated with members shall be appropriately
disciplined for violation of the provisions of the rules of the
exchange, by expulsion, suspension, limitation of activities,
functions, and operations, fine, censure, being suspended or barred
from being associated with a member, or any other fitting sanction. As
noted, the proposed rule change would provide the Exchange ability to
sanction minor or technical violations of proposed Rule 37 pursuant to
the Exchange's rules.
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\13\ 15 U.S.C. 78f(b)(6).
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Finally, the Exchange also believes that the proposed changes are
designed to provide a fair procedure for the disciplining of members
and persons associated with members, consistent with Sections 6(b)(7)
and 6(d) of the Act.\14\ Rule 9217 does not preclude a member
organization or covered person from contesting an alleged violation and
receiving a hearing on the matter with the same procedural rights
through a litigated disciplinary proceeding.
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\14\ 15 U.S.C. 78f(b)(7) and 78f(d).
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B. Self-Regulatory Organization's Statement on Burden on Competition
In accordance with Section 6(b)(8) of the Act,\15\ the Exchange
believes that the proposed rule change would not impose any burden on
competition that is not necessary or appropriate in furtherance of the
purposes of the Act. The proposed rule change is not designed to
address any competitive issues but rather relates to the adoption of
rules regarding access, conduct and decorum on the Exchange's trading
floor that are consistent with those of the Exchange's affiliates that
also have trading floors, and providing applicable minor rule fines for
violations of those standards, thereby strengthening the Exchange's
ability to carry out its oversight and enforcement functions and deter
potential violative conduct.
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\15\ 15 U.S.C. 78f(b)(8).
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C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others
No written comments were solicited or received with respect to the
proposed rule change.
III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action
Within 45 days of the date of publication of this notice in the
Federal Register or up to 90 days (i) as the Commission may designate
if it finds such longer period to be appropriate and publishes its
reasons for so finding or (ii) as to which the self-regulatory
organization consents, the Commission will:
(A) By order approve or disapprove the proposed rule change, or
(B) institute proceedings to determine whether the proposed rule
change should be 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:
Electronic Comments
<bullet> Use the Commission's internet comment form (<a href="http://www.sec.gov/rules/sro.shtml">http://www.sec.gov/rules/sro.shtml</a>); or
<bullet> Send an email to <a href="/cdn-cgi/l/email-protection#e597908980c8868a8888808b9196a5968086cb828a93"><span class="__cf_email__" data-cfemail="057770696028666a6868606b7176457660662b626a73">[email protected]</span></a>. Please include
File Number SR- NYSE-2021-73 on the subject line.
Paper Comments
<bullet> Send paper comments in triplicate to: Secretary,
Securities and Exchange Commission, 100 F Street NE, Washington, DC
20549-1090.
All submissions should refer to File Number SR-NYSE-2021-73. 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 Commission's internet website (<a href="http://www.sec.gov/rules/sro.shtml">http://www.sec.gov/rules/sro.shtml</a>).
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
[[Page 74184]]
provisions of 5 U.S.C. 552, will be available for website viewing and
printing in the Commission's 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 SR-NYSE-2021-73 and should be
submitted on or before January 19, 2022.
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\16\
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\16\ 17 CFR 200.30-3(a)(12).
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J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-28246 Filed 12-28-21; 8:45 am]
BILLING CODE 8011-01-P
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