Notice2022-17666
Self-Regulatory Organizations; NYSE National, 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
August 17, 2022
Issuing agencies
Securities and Exchange Commission
Full Text
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<title>Federal Register, Volume 87 Issue 158 (Wednesday, August 17, 2022)</title>
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[Federal Register Volume 87, Number 158 (Wednesday, August 17, 2022)]
[Notices]
[Pages 50668-50672]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-17666]
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SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-95476; File No. SR-NYSENAT-2022-14]
Self-Regulatory Organizations; NYSE National, 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
August 11, 2022.
Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby given
that on July 29, 2022, NYSE National Inc. (``NYSE National'' 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-
NYSENAT-
[[Page 50669]]
2020-31 from July 31, 2022, to October 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 National 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.
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-NYSENAT-2020-31 \4\ to Rules
10.9261 (Evidence and Procedure in Hearing) and 10.9830 (Hearing) from
July 31, 2022, to October 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-NYSENAT-2020-31 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. 90137 (October 8,
2020), 85 FR 65087 (October 14, 2020) (SR-NYSENAT-2020-31) (``SR-
NYSENAT-2020-31'').
\5\ The Exchange may submit a separate rule filing to extend the
expiration date of the proposed extension beyond October 31, 2022 if
the Exchange requires additional temporary relief from the rule
requirements identified in SR-NYSENAT-2020-31. The amended NYSE
National 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 2018, NYSE National adopted disciplinary rules that are, with
certain exceptions, substantially the same as the disciplinary rules of
its affiliate NYSE American LLC, which are in turn substantially
similar to the FINRA Rule 8000 Series and Rule 9000 Series, and which
set forth rules for conducting investigations and enforcement
actions.\6\
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\6\ See Securities Exchange Act Release No. 83289 (May 17,
2018), 83 FR 23968, 23976 (May 23, 2018) (SR-NYSENAT-2018-02)
(``2018 Approval Order'').
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In adopting disciplinary rules modeled on FINRA's rules, NYSE
National 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.\7\
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\7\ See id.
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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.\8\
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\8\ 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 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 29, 2020, the Exchange filed to temporarily amend Rule
10.9261 and Rule 10.9830 to permit FINRA to conduct virtual hearings on
its behalf.\9\ 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.\10\ 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.\11\ 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.\12\ On April 20, 2021, the Exchange filed
to extend the temporary amendments to Rule 10.9261 and Rule 10.9830 to
August 31, 2021.\13\ 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.\14\ On August 27, 2021, the
Exchange filed to extend the temporary amendments to Rule 10.9261 and
Rule 10.9830 to December 31, 2021.\15\ On December 7, 2021, FINRA filed
a proposed rule change, SR-FINRA-2021-031, to extend the expiration
date of the temporary amendments in both SR-FINRA-2020-015 and SR-
FINRA-2020-027 from December 31, 2021, to March 31, 2022.\16\ 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.\17\ On March 7, 2022, FINRA filed to
extend the expiration date of the temporary rule amendments to, among
other rules, FINRA Rule 9261 and 9830 from March 31, 2022, to July 31,
2022.\18\ On March 29, 2022, the Exchange filed to extend the temporary
amendments to Rule 9261 and Rule 9830 to July 31, 2022, after which the
temporary amendments will expire absent another proposed rule change
filing by the Exchange.\19\
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\9\ See note 3, supra.
\10\ See Securities Exchange Act Release No. 90619 (December 9,
2020), 85 FR 81250 (December 15, 2020) (SR-FINRA-2020-042).
\11\ See Securities Exchange Act Release No. 90822 (December 30,
2020), 86 FR 627 (January 6, 2021) (SR-NYSENAT-2020-39).
\12\ See Securities Exchange Act Release No. 91495 (April 7,
2021), 86 FR 19306 (April 13, 2021) (SR-FINRA-2021-006).
\13\ See Securities Exchange Act Release No. 91634 (April 22,
2021), 86 FR 22477 (April 28, 2021) (SR-NYSENAT-2021-11).
\14\ See Securities Exchange Act Release No. 92685 (August 17,
2021), 86 FR 47169 (August 23, 2021) (SR-FINRA-2021-019).
\15\ See Securities Exchange Act Release No. 92908 (September 9,
2021), 86 FR 51424 (September 15, 2021) (SR-NYSENAT-2021-16).
\16\ See Securities Exchange Act Release No. 93758 (December 13,
2021), 86 FR 71695 (December 17, 2021) (SR-FINRA-2021-31).
\17\ See Securities Exchange Act Release No. 93919 (January 6,
2022), 87 FR 1804 (January 12, 2022) (SR-NYSENAT-2021-25).
\18\ See Securities Exchange Act Release No. 94430 (March 16,
2022), 87 FR 16262 (March 22, 2022) (SR-FINRA-2022-004).
\19\ See Securities Exchange Act Release No. 94662 (April 11,
2022), 87 FR 22601 (April 15, 2022) (SR-NYSENAT-2022-03).
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Even though it has been more than two years since the World Health
Organization declared COVID-19 a pandemic, FINRA has determined that
[[Page 50670]]
uncertainty still remains around this disease. The continued presence
of COVID-19 variants including the quickly emerging Omicron BA.4 and
BA.5 subvariants, 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.\20\ 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,\21\ FINRA believes that
there is a continued need for temporary relief beyond July 31,
2022.\22\ On July 8, 2022, FINRA accordingly filed to extend the
expiration date of the temporary rule amendments to, among other rules,
FINRA Rule 9261 and 9830 from July 31, 2022, to October 31, 2022.\23\
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\20\ See Securities Exchange Act Release No. 95281 (July 14,
2022), 87 FR 43335 (July 20, 2022) (SR-FINRA-2022-018) (``SR-FINRA-
2022-018''). FINRA noted that, for example, there has been a notable
upward trend in the number of daily COVID-19 cases in the United
States since April 1, 2022. See <a href="https://covid.cdc.gov/covid-data-tracker/#trends_dailycases">https://covid.cdc.gov/covid-data-tracker/#trends_dailycases</a>. In addition, on June 9, 2022, the Biden
Administration announced its operational plan for COVID-19
vaccinations for children under the age of five. See <a href="https://www.whitehouse.gov/briefing-room/statements-releases/2022/06/09/fact-sheetbiden-administration-announces-operational-plan-for-covid-19-vaccinations-for-children-under-5/">https://www.whitehouse.gov/briefing-room/statements-releases/2022/06/09/fact-sheetbiden-administration-announces-operational-plan-for-covid-19-vaccinations-for-children-under-5/</a>. See SR-FINRA-2022-018, 87 FR
at 43335, n. 6.
\21\ 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>. The CDC also recommends that people wear
a mask in indoor areas of public transportation and transportation
hubs to protect themselves and those around them and help keep
travel and public transportation safer for everyone. See <a href="https://www.cdc.gov/coronavirus/2019-ncov/travelers/masks-public-transportation.html">https://www.cdc.gov/coronavirus/2019-ncov/travelers/masks-public-transportation.html</a>. Furthermore, numerous states currently have
mask mandates in certain settings, such as healthcare and
correctional facilities. See SR-FINRA-2022-018, 87 FR at 43335, n.7.
\22\ See SR-FINRA-2022-018, 87 FR 43336.
\23\ See SR-FINRA-2022-018, 87 FR 43335-36.
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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
National Rules 10.9261 and 10.9830 as set forth in SR-NYSENAT-2020-31
from July 31, 2022, to October 31, 2022.
As set forth in SR-FINRA 2022-018, even though it has been more
than two years since the World Health Organization declared COVID-19 a
pandemic, uncertainty still remains around this disease. The continued
presence of COVID-19 variants including the quickly emerging Omicron
BA.4 and BA.5 subvariants, 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.\24\ 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,\25\ FINRA believes that
there is a continued need for temporary relief beyond July 31,
2022.\26\ FINRA accordingly proposed to extend the expiration date of
the temporary rule amendments from July 31, 2022, to October 31, 2022.
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\24\ See note 20, supra.
\25\ See note 21, supra.
\26\ See SR-FINRA-2022-018, 87 FR at 43337.
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The Exchange proposes to similarly extend the expiration date of
the temporary rule amendments to NYSE National Rules 10.9261 and
10.9830 as set forth in SR-NYSENAT-2020-31 from July 31, 2022, to
October 31, 2022. The Exchange agrees with FINRA that, even though it
has been more than two years since the World Health Organization
declared COVID-19 a pandemic, uncertainty still remains around this
disease. 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-2022-018, there is a continued need
for this temporary relief beyond July 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-2022-018, 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-2022-018, 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.\27\ 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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\27\ See SR-FINRA-2022-018, 87 FR at 43337, n. 16.
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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,\28\ in general, and furthers the objectives of Section
6(b)(5),\29\ 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.\30\
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\28\ 15 U.S.C. 78f(b).
\29\ 15 U.S.C. 78f(b)(5).
\30\ 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-2022-018,
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
[[Page 50671]]
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 SR-NYSENAT-2020-31, 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 \31\ 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-NYSENAT-2020-31, provides only temporary relief. As
proposed, the changes would be in place through October 31, 2022. As
noted in SR-NYSENAT-2020-31 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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\31\ 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 extend temporary relief necessitated by the
continued 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 July 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 \32\ and Rule 19b-4(f)(6) thereunder.\33\
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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\32\ 15 U.S.C. 78s(b)(3)(A)(iii).
\33\ 17 CFR 240.19b-4(f)(6).
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A proposed rule change filed under Rule 19b-4(f)(6) \34\ normally
does not become operative prior to 30 days after the date of the
filing. However, pursuant to Rule 19b4(f)(6)(iii),\35\ 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 there is a continued need to extend the temporary relief
because the Exchange agrees with FINRA that the COVID-19 related health
concerns necessitating this relief will not meaningfully subside by
July 31, 2022.\36\ The Exchange also states that extending the
temporary relief provided in SR-NYSENAT-2020-31 immediately upon filing
and without a 30-day operative delay will allow the Exchange to
continue critical adjudicatory and review processes so that the
Exchange may continue to operate effectively and meet its critical
investor protection goals, while also protecting the health and safety
of hearing participants.\37\ The Commission also notes that this
proposal extends without change the temporary relief previously
provided by SR-NYSENAT-2020-31.\38\ As proposed, the temporary changes
would be in place through October 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.\39\ 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.\40\
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\34\ 17 CFR 240.19b-4(f)(6).
\35\ 17 CFR 240.19b-4(f)(6)(iii).
\36\ See supra Item II; see also SR-FINRA-2022-018, 87 FR 43335,
at 43336.
\37\ See 87 FR 43335, at 43337-38 (noting the same in granting
FINRA's request to waive the 30-day operative delay so that SR-
FINRA-2022-018 would become operative immediately upon filing).
\38\ See supra note 4.
\39\ 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 October 31, 2022, it may submit a
separate rule filing to extend the effectiveness of the temporary
relief under these rules.
\40\ 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) \41\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
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\41\ 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#1c6e697079317f7371717972686f5c6f797f327b736a"><span class="__cf_email__" data-cfemail="4b393e272e66282426262e253f380b382e28652c243d">[email protected]</span></a>. Please include
File Number SR-NYSENAT-2022-14 on the subject line.
[[Page 50672]]
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-NYSENAT-2022-14. 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. 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-NYSENAT-2022-14 and should be submitted
on or before September 7, 2022.
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\42\ 17 CFR 200.30-3(a)(12).
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\42\
J. Matthew DeLesDernier,
Deputy Secretary.
[FR Doc. 2022-17666 Filed 8-16-22; 8:45 am]
BILLING CODE 8011-01-P
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