Notice2022-08063
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830
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
April 15, 2022
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 87 Issue 73 (Friday, April 15, 2022)</title>
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[Federal Register Volume 87, Number 73 (Friday, April 15, 2022)]
[Notices]
[Pages 22587-22591]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-08063]
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SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-94663; File No. SR-NYSEARCA-2022-18]
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change Extending the
Expiration Date of the Temporary Amendments to Rules 10.9261 and
10.9830
April 11, 2022.
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 March 29, 2022, NYSE Arca, Inc. (``NYSE Arca'' or the
``Exchange'') filed with the Securities and Exchange Commission (the
``Commission'') the proposed rule change as described in Items I and II
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 extending the expiration date of the
temporary amendments to Rules 10.9261 and 10.9830 as set forth in SR-
NYSEArca-2020-85 from March 31, 2022, to July 31, 2022, in conformity
with recent changes by the Financial Industry Regulatory Authority,
Inc. (``FINRA''). The proposed rule change would not make any changes
to the text of NYSE Arca Rules 10.9261 and 10.9830. 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.
[[Page 22588]]
A. Self-Regulatory Organization's Statement of the Purpose of, and the
Statutory Basis for, the Proposed Rule Change
1. Purpose
The Exchange proposes extending the expiration date of the
temporary amendments as set forth in SR-NYSEArca-2020-85 \4\ to Rules
10.9261 (Evidence and Procedure in Hearing) and 10.9830 (Hearing) from
March 31, 2022, to July 31, 2022, to harmonize with recent changes by
FINRA to extend the expiration date of the temporary amendments to its
Rules 9261 and 9830. SR-NYSEArca-2020-85 temporarily granted to the
Chief or Deputy Chief Hearing Officer the authority to order that
hearings be conducted by video conference if warranted by public health
risks posed by in-person hearings during the ongoing COVID-19 pandemic.
The proposed rule change would not make any changes to the text of
Exchange Rules 10.9261 and 10.9830.\5\
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\4\ See Securities Exchange Act Release No. 90088 (October 5,
2020), 85 FR 64186 (October 9, 2020) (SR-NYSEArca-2020-85) (``SR-
NYSEArca-2020-85'').
\5\ The Exchange may submit a separate rule filing to extend the
expiration date of the proposed extension beyond July 31, 2022 if
the Exchange requires additional temporary relief from the rule
requirements identified in SR-NYSEArca-2020-85. The amended NYSE
Arca rules will revert back to their original state at the
conclusion of the temporary relief period and any extension thereof.
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Background
In 2019, NYSE Arca adopted disciplinary rules based on the text of
the Rule 8000 and Rule 9000 Series of its affiliate NYSE American LLC
(``NYSE American''), with certain changes. The NYSE American
disciplinary rules are, in turn, substantially the same as the Rule
8000 Series and Rule 9000 Series of FINRA and the New York Stock
Exchange LLC.\6\ The NYSE Arca disciplinary rules were implemented on
May 27, 2019.\7\
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\6\ See Securities Exchange Act Release No. 85639 (April 12,
2019), 84 FR 16346 (April 18, 2019) (SR-NYSEArca-2019-15) (``2019
Notice'').
\7\ See NYSE Arca Equities RB-19-060 & NYSE Arca Options RB-19-
02 (April 26, 2019).
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In adopting disciplinary rules modeled on FINRA's rules, NYSE Arca
adopted the hearing and evidentiary processes set forth in Rule 10.9261
and in Rule 10.9830 for hearings in matters involving temporary and
permanent cease and desist orders under the Rule 10.9800 Series. As
adopted, the text of Rule 10.9261 and Rule 10.9830 are substantially
the same as the FINRA rules with certain modifications.\8\
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\8\ See 2019 Notice, 84 FR at 16365 & 16373-4.
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In response to the COVID-19 global health crisis and the
corresponding need to restrict in-person activities, on August 31,
2020, FINRA filed with the Commission a proposed rule change for
immediate effectiveness, SR-FINRA-2020-027, which allowed FINRA's
Office of Hearing Officers (``OHO'') to conduct hearings, on a
temporary basis, by video conference, if warranted by the current
COVID-19-related public health risks posed by an in-person hearing.
Among the rules FINRA amended were Rules 9261 and 9830.\9\
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\9\ See Securities Exchange Act Release No. 89737 (September 2,
2020), 85 FR 55712 (September 9, 2020) (SR-FINRA-2020-027) (``SR-
FINRA-2020-027'').
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Given that FINRA and OHO administers disciplinary hearings on the
Exchange's behalf, and that the public health concerns addressed by
FINRA's amendments apply equally to Exchange disciplinary hearings, on
September 23, 2020, the Exchange filed to temporarily amend Rule
10.9261 and Rule 10.9830 to permit FINRA to conduct virtual hearings on
its behalf.\10\ In December 2020, FINRA filed a proposed rule change,
SR-FINRA-2020-042, to extend the expiration date of the temporary
amendments in SR-FINRA-2020-027 from December 31, 2020, to April 30,
2021.\11\ On December 22, 2020, the Exchange similarly filed to extend
the temporary amendments to Rule 10.9261 and Rule 10.9830 to April 30,
2021.\12\ On April 1, 2021, FINRA filed a proposed rule change, SR-
FINRA-2021-006, to extend the expiration date of the temporary rule
amendments to, among other rules, FINRA Rule 9261 and 9830 from April
30, 2021, to August 31, 2021.\13\ On April 20, 2021, the Exchange filed
to extend the temporary amendments to Rule 10.9261 and Rule 10.9830 to
August 31, 2021.\14\ On August 13, 2021, FINRA filed a proposed rule
change, SR-FINRA-2021-019, to extend the expiration date of the
temporary amendments to, among other rules, FINRA Rule 9261 and 9830
from August 31, 2021, to December 31, 2021.\15\ On August 27, 2021, the
Exchange filed to extend the temporary amendments to Rule 10.9261 and
Rule 10.9830 to December 31, 2021.\16\ On December 7, 2021, FINRA filed
a proposed rule change, SR-FINRA-2021-031, to extend the expiration
date of the temporary amendments to, among other rules, FINRA Rule 9261
and 9830 from December 31, 2021, to March 31, 2022.\17\ On December 27,
2021, the Exchange filed to extend the temporary amendments to Rule
10.9261 and Rule 10.9830 to March 31, 2022, after which the temporary
amendments will expire absent another proposed rule change filing by
the Exchange.\18\
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\10\ See note 4, supra.
\11\ See Securities Exchange Act Release No. 90619 (December 9,
2020), 85 FR 81250 (December 15, 2020) (SR-FINRA-2020-042).
\12\ See Securities Exchange Act Release No. 90820 (December 30,
2020), 86 FR 647 (January 6, 2021) (SR-NYSEArca-2020-116).
\13\ See Securities Exchange Act Release No. 91495 (April 7,
2021), 86 FR 19306 (April 13, 2021) (SR-FINRA-2021-006).
\14\ See Securities Exchange Act Release No. 91633 (April 22,
2021), 86 FR 22474 (April 28, 2021) (SR-NYSEArca-2021-27).
\15\ See Securities Exchange Act Release No. 92685 (August 17,
2021), 86 FR 47169 (August 23, 2021) (SR-FINRA-2021-019).
\16\ See Securities Exchange Act Release No. 92909 (September 9,
2021), 86 FR 51415 (September 15, 2021) (SR-NYSEArca-2021-76).
\17\ See Securities Exchange Act Release No. 93758 (December 13,
2021), 86 FR 71695 (December 17, 2021) (SR-FINRA-2021-31).
\18\ See Securities Exchange Act Release No. 93918 (January 6,
2022), 87 FR 1810 (January 12, 2022) (SR-NYSEArca-2021-107).
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While there are material signs of improvement, FINRA has determined
that uncertainty still remains for the coming months. The continued
presence of COVID-19 variants, dissimilar vaccination rates throughout
the United States, and the current medium to high COVID-19 community
levels in many states indicate that COVID-19 remains an active and real
public health concern.\19\ Due to the uncertainty and the lack of a
clear timeframe for a sustained and widespread abatement of COVID-19-
related health concerns and corresponding restrictions,\20\ FINRA
believes that there is a continued need for temporary relief beyond
March 31, 2022.\21\ On March 7, 2022, FINRA accordingly filed to extend
the expiration date of the temporary rule amendments to, among other
rules,
[[Page 22589]]
FINRA Rule 9261 and 9830 from March 31, 2022, to July 31, 2022.\22\
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\19\ See Securities Exchange Act Release No. 94430 (March 16,
2022), 87 FR 16262 (March 22, 2022) (SR-FINRA-2022-004) (``SR-FINRA-
2022-004''). FINRA noted that, for example, on February 18, 2022,
President Joe Biden continued the national emergency concerning
COVID-19 beyond March 1, 2022, because COVID-19 ``continues to cause
significant risk to the public health and safety'' of the United
States. See Continuation of the National Emergency Concerning the
Coronavirus Disease 2019 (COVID-19) Pandemic, 87 FR 10289 (February
23, 2022). See SR-FINRA-2022-004, 87 FR at 16262, n. 6.
\20\ For instance, FINRA noted that the Centers for Disease
Control and Prevention (``CDC'') recommends that people wear a mask
in public indoor settings in areas with a high COVID-19 community
level regardless of vaccination status or individual risk. See
<a href="https://www.cdc.gov/coronavirus/2019-ncov/prevent-getting-sick/about-face-coverings.html">https://www.cdc.gov/coronavirus/2019-ncov/prevent-getting-sick/about-face-coverings.html</a>. Furthermore, numerous states currently
have COVID-19 restrictions in place. Hawaii requires most people to
wear masks in indoor public places regardless of vaccination status
and several other states have mask mandates in certain settings,
such as healthcare and correctional facilities. See SR-FINRA-2022-
004, 87 FR at 16262, n. 7.
\21\ See SR-FINRA-2022-004, 87 FR at 16263.
\22\ See SR-FINRA-2022-004, 87 FR at 16263-4. As a further basis
for extending the expiration date to July 31, 2022, FINRA noted that
its Board has approved the submission of a rule proposal to the
Commission to make permanent the temporary service and filing rules
originally set forth in SR-FINRA-2020-015. See <a href="https://www.finra.org/about/governance/finra-board-governors/meetings/update-finra-board-governors-meeting-december-2021">https://www.finra.org/about/governance/finra-board-governors/meetings/update-finra-board-governors-meeting-december-2021</a>. FINRA
represented that it is contemplating filing the rule proposal with
the Commission in the near future and the extension of the temporary
rule amendments would help to avoid the rules reverting to their
original form before the permanent rules, if approved by the
Commission, become effective. FINRA further noted that the proposal
approved by its Board does not include the temporary rule amendments
pertaining to video conference hearings originally set forth in SR-
FINRA-2020-027.
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Proposed Rule Change
Consistent with FINRA's recent proposal, the Exchange proposes to
extend the expiration date of the temporary rule amendments to NYSE
Arca Rules 10.9261 and 10.9830 as set forth in SR-NYSEArca-2020-85 from
March 31, 2022, to July 31, 2022.
As set forth in SR-FINRA-2022-004, while there are material signs
of improvement, uncertainty still remains for the coming months. The
continued presence of COVID-19 variants, dissimilar vaccination rates
throughout the United States, and the current medium to high COVID-19
community levels in many states indicate that COVID-19 remains an
active and real public health concern.\23\ Due to the uncertainty and
the lack of a clear timeframe for a sustained and widespread abatement
of COVID-19-related health concerns and corresponding restrictions,\24\
FINRA believes that there is a continued need for temporary relief
beyond March 31, 2022.\25\ FINRA accordingly proposed to extend the
expiration date of the temporary rule amendments from March 31, 2022,
to July 31, 2022.
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\23\ See note 19, supra.
\24\ See note 20, supra.
\25\ See SR-FINRA-2022-004, 87 FR at 16263.
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The Exchange proposes to similarly extend the expiration date of
the temporary rule amendments to NYSE Arca Rules 10.9261 and 10.9830 as
set forth in SR-NYSEArca-2020-85 from March 31, 2022, to July 31, 2022.
The Exchange agrees with FINRA that, while there are material signs of
improvement, uncertainty still remains for the coming months. The
Exchange also agrees that, due to the uncertainty and the lack of a
clear timeframe for a sustained and widespread abatement of COVID-19-
related health concerns and corresponding restrictions, for the reasons
set forth in SR-FINRA-2022-004, there is a continued need for this
temporary relief beyond March 31, 2022. The proposed change would
permit OHO to continue to assess, based on critical COVID-19 data and
criteria and the guidance of health and security consultants, whether
an in-person hearing would compromise the health and safety of the
hearing participants such that the hearing should proceed by video
conference. As noted in SR-FINRA-2022-004, in deciding whether to
schedule a hearing by video conference, OHO may consider a variety of
other factors in addition to COVID-19 trends. Similarly, as noted in
SR-FINRA-2022-004, in SR-FINRA-2020-027, FINRA provided a non-
exhaustive list of other factors OHO may take into consideration,
including a hearing participant's individual health concerns and access
to the connectivity and technology necessary to participate in a video
conference hearing.\26\ The Exchange believes that this is a reasonable
procedure to continue to follow for hearings under Rules 10.9261 and
10.9830 chaired by a FINRA employee.
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\26\ See SR-FINRA-2022-004, 87 FR at 16263, n. 15.
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As noted below, the Exchange has filed the proposed rule change for
immediate effectiveness and has requested that the SEC waive the
requirement that the proposed rule change not become operative for 30
days after the date of the filing, so the Exchange can implement the
proposed rule change immediately.
2. Statutory Basis
The proposed rule change is consistent with Section 6(b) of the
Act,\27\ in general, and furthers the objectives of Section
6(b)(5),\28\ in particular, because 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, to
remove impediments to, and perfect the mechanism of, a free and open
market and a national market system and, in general, to protect
investors and the public interest. Additionally, the Exchange believes
the proposed rule change is 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.\29\
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\27\ 15 U.S.C. 78f(b).
\28\ 15 U.S.C. 78f(b)(5).
\29\ 15 U.S.C. 78f(b)(7) & 78f(d).
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The Exchange believes that the proposed rule change supports the
objectives of the Act by providing greater harmonization between
Exchange rules and FINRA rules of similar purpose, resulting in less
burdensome and more efficient regulatory compliance. As such, 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.
The proposed rule change, which extends the expiration date of the
temporary amendments to Exchange rules consistent with FINRA's
extension to its Rules 9261 and 9830 as set forth in SR-FINRA-2022-004,
will permit the Exchange to continue to effectively conduct hearings
during the COVID-19 pandemic. Given the current and frequently changing
COVID-19 conditions and the uncertainty around when those conditions
will see meaningful, widespread and sustained improvement, without this
relief allowing OHO to proceed by video conference, some or all
hearings may have to be postponed. The ability to conduct hearings by
video conference will permit the adjudicatory functions of the
Exchange's disciplinary rules to continue unabated, thereby avoiding
protracted delays. The Exchange believes that this is especially
important in matters where temporary and permanent cease and desist
orders are sought because the proposed rule change would enable those
hearings to continue to proceed without delay, thereby enabling the
Exchange to continue to take immediate action to stop significant,
ongoing customer harm, to the benefit of the investing public.
As set forth in detail in the SR-NYSEArca-2020-85, the temporary
relief to permit hearings to be conducted via video conference
maintains fair process and will continue to provide fair process
consistent with Sections 6(b)(7) and 6(d) of the Act \30\ while
striking an appropriate balance between providing fair process and
enabling the Exchange to fulfill its statutory obligations to protect
investors and maintain fair and orderly markets while avoiding the
COVID-19-related public health risks for hearing participants. The
Exchange notes that this proposal, like SR-NYSEArca-2020-85, provides
only temporary relief. As proposed, the changes would be in place
through July 31, 2022. As noted in SR-NYSEArca-
[[Page 22590]]
2020-85 and above, the amended rules will revert back to their original
state at the conclusion of the temporary relief period and, if
applicable, any extension thereof.
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\30\ 15 U.S.C. 78f(b)(7) & 78f(d).
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Accordingly, the proposed rule change extending this temporary
relief is in the public interest and consistent with the Act's purpose.
B. Self-Regulatory Organization's Statement on Burden on Competition
The Exchange does not believe that the proposed temporary rule
change will 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 intended to address competitive issues but is rather
intended solely to provide continued temporary relief given the impacts
of the COVID-19 pandemic and the related health and safety risks of
conducting in-person activities. The Exchange believes that the
proposed rule change will prevent unnecessary impediments to critical
adjudicatory processes and its ability to fulfill its statutory
obligations to protect investors and maintain fair and orderly markets
that would otherwise result if the temporary amendments were to expire
on March 31, 2022.
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
The Exchange has filed the proposed rule change pursuant to Section
19(b)(3)(A)(iii) of the Act \31\ and Rule 19b-4(f)(6) thereunder.\32\
Because the proposed rule change does not: (i) Significantly affect the
protection of investors or the public interest; (ii) impose any
significant burden on competition; and (iii) become operative prior to
30 days from the date on which it was filed, or such shorter time as
the Commission may designate, if consistent with the protection of
investors and the public interest, the proposed rule change has become
effective pursuant to Section 19(b)(3)(A) of the Act and Rule 19b-
4(f)(6)(iii) thereunder.
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\31\ 15 U.S.C. 78s(b)(3)(A)(iii).
\32\ 17 CFR 240.19b-4(f)(6).
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A proposed rule change filed under Rule 19b-4(f)(6) \33\ normally
does not become operative prior to 30 days after the date of the
filing. However, pursuant to Rule 19b4(f)(6)(iii),\34\ the Commission
may designate a shorter time if such action is consistent with the
protection of investors and the public interest. The Exchange has asked
the Commission to waive the 30-day operative delay so that the proposal
may become operative immediately upon filing. The Exchange has
indicated that the proposed rule change to extend the expiration date
will continue to prevent unnecessary impediments to its critical
adjudicatory processes, and its ability to fulfill its statutory
obligations to protect investors and maintain fair and orderly markets,
that would otherwise result if the temporary amendments were to expire
on March 31, 2022.\35\ Importantly, the Exchange has also stated that
further extending the relief provided initially in SR-NYSEArca-2020-85
immediately upon filing and without a 30-day operative delay will allow
the Exchange to continue critical adjudicatory and review processes in
a reasonable and fair manner and meet its critical investor protection
goals, while also following best practices with respect to the health
and safety of hearing participants.\36\ The Commission also notes that
this proposal extends without change the temporary relief previously
provided by SR-NYSEArca-2020-85.\37\ As proposed, the changes would be
in place through July 31, 2022 and the amended rules will revert back
to their original state at the conclusion of the temporary relief
period and, if applicable, any extension thereof.\38\ For these
reasons, the Commission believes that waiver of the 30-day operative
delay for this proposal is consistent with the protection of investors
and the public interest. Accordingly, the Commission hereby waives the
30-day operative delay and designates the proposal operative upon
filing.\39\
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\33\ 17 CFR 240.19b-4(f)(6).
\34\ 17 CFR 240.19b-4(f)(6)(iii).
\35\ See supra Item II.
\36\ See SR-FINRA-2022-004, 87 FR at 16264 (noting the same with
respect to FINRA employees in granting FINRA's request to waive the
30-day operative delay so that SR-FINRA-2022-004 would become
operative immediately upon filing).
\37\ See supra note 4.
\38\ See supra note 5. As noted above, the Exchange states that
if it requires temporary relief from the rule requirements
identified in this proposal beyond July 31, 2022 it may submit a
separate rule filing to extend the effectiveness of the temporary
relief under these rules.
\39\ For purposes only of waiving the 30-day operative delay,
the Commission has considered the proposed rule change's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
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At any time within 60 days of the filing of such proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings under
Section 19(b)(2)(B) \40\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
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\40\ 15 U.S.C. 78s(b)(2)(B).
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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#f88a8d949dd59b9795959d968c8bb88b9d9bd69f978e"><span class="__cf_email__" data-cfemail="bfcdcad3da92dcd0d2d2dad1cbccffccdadc91d8d0c9">[email protected]</span></a>. Please include
File Number SR-NYSEARCA-2022-18 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-NYSEARCA-2022-18. 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 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.
[[Page 22591]]
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-NYSEARCA-2022-18 and should
be submitted on or before May 6, 2022.
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\41\
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\41\ 17 CFR 200.30-3(a)(12).
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J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2022-08063 Filed 4-14-22; 8:45 am]
BILLING CODE 8011-01-P
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