[Federal Register Volume 82, Number 165 (Monday, August 28, 2017)]
[Notices]
[Pages 40770-40771]
[FR Doc No: 2017-18161]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2017-N-0001]

Cellular, Tissue, and Gene Therapies Advisory Committee; Notice
of Meeting

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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SUMMARY: The Food and Drug Administration (FDA) announces a forthcoming
public advisory committee meeting of the Cellular, Tissue, and Gene
Therapies Advisory Committee (CTGTAC). The general function of the
committee is to provide advice and recommendations to the Agency on
FDA's regulatory issues. The meeting will be open to the public.

DATES: The meeting will be held on October 12, 2017, from 8:30 a.m. to
5 p.m.

ADDRESSES: FDA White Oak Campus, 10903 New Hampshire Ave., Bldg. 31
Conference Center, the Great Room (Rm. 1503) Silver Spring, MD 20993-
0002.
    For those unable to attend in person, the meeting will also be
Webcast and will be available at the following link: https://collaboration.fda.gov/ctgtac101217. Answers to commonly asked questions
including information regarding special accommodations due to a
disability, visitor parking, and transportation may be accessed at:
https://www.fda.gov/AdvisoryCommittees/AboutAdvisoryCommittees/ucm408555.htm.

FOR FURTHER INFORMATION CONTACT: Prabhakara L. Atreya or Denise
Royster, Center for Biologics Evaluation and Research, Food and Drug
Administration, 10903 New Hampshire Ave., Bldg. 71, Rm. 6306, Silver
Spring, MD 20993-0002,<PHONE_NUMBER><EMAIL_ADDRESS>and
240-402-8158<EMAIL_ADDRESS>or FDA Advisory Committee
Information Line, 1-800-741-8138<PHONE_NUMBER> in the Washington, DC
area). A notice in the Federal Register about last minute modifications
that impact a previously announced advisory committee meeting cannot
always be published quickly enough to provide timely notice. Therefore,
you should always check the Agency's Web site at https://www.fda.gov/AdvisoryCommittees/default.htm and scroll down to the appropriate
advisory committee meeting link, or call the advisory committee
information line to learn about possible modifications before coming to
the meeting.

SUPPLEMENTARY INFORMATION:
    Agenda: On October 12, 2017, the CTGTAC will meet in an open
session to discuss and make recommendations on the safety and
effectiveness of biologics license application (BLA) for voretigene
neparvovec (BLA 125610), submitted by Spark Therapeutics, Inc. The
proposed indication (use) for this product is for the treatment of
patients with vision loss due to confirmed biallelic RPE65 mutation-
associated retinal dystrophy.
    FDA intends to make background material available to the public no
later than 2 business days before the meeting. If FDA is unable to post
the background material on its Web site prior to the meeting, the
background material will be made publicly available at the location of
the advisory committee meeting, and the background material will be
posted on FDA's Web site after the meeting. Background material is
available at https://www.fda.gov/AdvisoryCommittees/Calendar/default.htm. Scroll down to the appropriate advisory committee meeting
link.
    Procedure: Interested persons may present data, information, or
views, orally or in writing, on issues pending before the committee.
Written submissions may be made to the contact person on or before
October 4, 2017. Oral presentations from the public will be scheduled
between approximately 11:15 a.m. and 12:15 p.m. Those individuals
interested in making formal oral presentations should notify the
contact person and submit a brief statement of the general nature of
the evidence or arguments they wish to present, the names and addresses
of proposed participants, and an indication of the approximate time
requested to make their presentation on or before September 26, 2017.
Time allotted for each presentation may be limited. If the number of
registrants requesting to speak is greater than can be reasonably
accommodated during the scheduled open public hearing session, FDA may
conduct a lottery to determine the speakers for the scheduled open
public hearing session. The contact person will notify interested
persons regarding their request to speak by September 27, 2017.
    Persons attending FDA's advisory committee meetings are advised
that the Agency is not responsible for providing access to electrical
outlets.
    FDA welcomes the attendance of the public at its advisory committee
meetings and will make every effort to accommodate persons with
disabilities. If you require accommodations due to a disability, please
contact Prabhakara Atreya at least 7 days in advance of the meeting.
    FDA is committed to the orderly conduct of its advisory committee
meetings. Please visit our Web site at: https://www.fda.gov/AdvisoryCommittees/AboutAdvisoryCommittees/ucm111462.htm for procedures
on public conduct during advisory committee meetings.
    Notice of this meeting is given under the Federal Advisory
Committee Act (5 U.S.C. app. 2).

    Dated: August 23, 2017.
Anna K. Abram,
Deputy Commissioner for Policy, Planning, Legislation, and Analysis.
[FR Doc. 2017-18161 Filed 8-25-17; 8:45 am]
 BILLING CODE 4164-01-P


[Federal Register: March 26, 2008 (Volume 73, Number 59)]
[Notices]
[Page 16004-16006]
[DOCID:fr26mr08-59]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OAR-2007-1183; FRL-8546-5]

Agency Information Collection Activities; Submission to OMB for
Review and Approval; Comment Request; Emissions Certification and
Compliance Requirements for Nonroad Spark-ignition (SI) Engines
(Renewal); EPA ICR No. 1695.09, OMB Control No. 2060-0338

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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SUMMARY: In compliance with the Paperwork Reduction Act (PRA) (44
U.S.C. 3501 et seq.), this document announces that an Information
Collection Request (ICR) has been forwarded to the Office of Management
and Budget (OMB) for review and approval. This is a request to renew an
existing approved collection. The ICR, which is abstracted below,
describes the nature of the information collection and its estimated
burden and cost.

DATES: Additional comments may be submitted on or before April 25,
2008.

ADDRESSES: Submit your comments, referencing Docket ID No. EPA-HQ-OAR-
2007-1183, to (1) EPA online using http://www.regulations.gov (our
preferred method), by e-mail to<EMAIL_ADDRESS>or by mail to:
EPA Docket Center, Environmental Protection Agency, Air and Radiation
Docket and Information Center (Mailcode 2822T), 1200 Pennsylvania Ave.,
NW., Washington, DC 20460, and (2) OMB by mail to: Office of
Information and Regulatory Affairs, Office of Management and Budget
(OMB), Attention: Desk Officer for EPA, 725 17th Street, NW.,
Washington, DC 20503.

FOR FURTHER INFORMATION CONTACT: Nydia Yanira Reyes-Morales,
Environmental Protection Agency, 1200 Pennsylvania Avenue NW., Mail
Code 6403J, Washington, DC 20460; telephone number:<PHONE_NUMBER>; fax
number:<PHONE_NUMBER>; e-mail address<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: EPA has submitted the following ICR to OMB
for review and approval according to the procedures prescribed in 5 CFR
1320.12. On January 15, 2008 (73 FR 2489), EPA sought comments on this
ICR pursuant to 5 CFR 1320.8(d). EPA received no comments during the
comment period. Any additional comments on this ICR should be submitted
to EPA and OMB within 30 days of this notice.
    EPA has established a public docket for this ICR under Docket ID
No. EPA-HQ-OAR-2007-1183, which is available for online viewing at
http://www.regulations.gov, or in person viewing at the Air Docket in
the EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution
Ave., NW., Washington, DC. The EPA/DC Public Reading Room is open from
8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal
holidays. The telephone number for the Reading Room is<PHONE_NUMBER>,
and the telephone number for the Air Docket is<PHONE_NUMBER>.
    Use EPA's electronic docket and comment system at http://
www.regulations.gov, to submit or view public comments, access the
index listing of the contents of the docket, and to access those
documents in the docket that are available electronically. Once in the
system, select ``docket search,'' then key in the docket ID number
identified above. Please note that EPA's policy is that public
comments, whether submitted electronically or in paper, will be made
available for public viewing at http://www.regulations.gov as EPA
receives them and without change, unless the comment contains
copyrighted material, confidential business information (CBI), or other
information whose public disclosure is restricted by statute. For
further information about the electronic docket, go to http://
www.regulations.gov.
    Title: Emissions Certification and Compliance Requirements for
Nonroad Spark-ignition (SI) Engines (Renewal).
    ICR Numbers: EPA ICR No. 1695.09, OMB Control No. 2060-0338.
    ICR Status: This ICR is scheduled to expire on March 31, 2008.
Under OMB regulations, the Agency may continue to conduct or sponsor
the collection of information while this submission is pending at OMB.
An Agency may not conduct or sponsor, and a person is not required to
respond to, a collection of information, unless it displays a currently
valid OMB control number. The OMB control numbers for EPA's regulations
in title 40 of the CFR, after appearing in the Federal Register when
approved, are listed in 40 CFR part 9, are displayed either by
publication in the Federal Register or by other appropriate means, such
as on the related collection instrument or form, if applicable. The
display of OMB control numbers in certain EPA regulations is
consolidated in 40 CFR part 9.
    Abstract: Under Title II of the Clean Air Act (42 U.S.C. 7521 et
seq.; CAA), EPA is charged with issuing certificates of conformity for
engine prototypes that comply with applicable emission standards. Such
a certificate must be issued before engines produced after these
prototypes may be legally introduced into commerce. EPA regulations
pertaining to spark-ignition engines rated at or below 19 kilowatts
(small SI engines) are found at 40 CFR part 90. Regulations pertaining
to spark-ignition engines rated above 19 kilowatts (`large SI engines')
are found at 40 CFR part 1048; recreational vehicle regulations are
found at 40 CFR part 1051; testing requirements and compliance
regulations that apply to multiple engine types are found at parts 1065
and 1068. Manufacturers electing to participate in an Averaging,
Banking and Trading (ABT) Program are also required to submit
information regarding the calculation, actual generation, and usage of
credits in an initial report, end-of-the-year report, and final report.
    These reports are used for certification and enforcement purposes.
Manufacturers will also maintain records for eight years on the engine
families included in the program. The CAA also mandates that EPA verify
that manufacturers have successfully translated their certified
prototypes into mass produced engines, and that these engines comply
with emission standards throughout their useful lives. Under the
Production-line Testing (PLT) Program, manufacturers are required to
test a sample of engines as they leave the assembly line. This self-
audit program (referred to as the ``PLT Program'') allows manufacturers
to monitor compliance with statistical certainty and minimize the cost
of correcting errors through early detection. Through Selective
Enforcement Audits (SEAs), EPA verifies that test data submitted by
engine manufacturers is reliable and testing is performed according to
EPA regulations. Compliance with emission regulations throughout the
useful life of an engine is verified through the In-use Testing (In-
use) Programs under which manufacturers test SI engines after a number
of years of use. Participation in the PLT program is mandatory. The In-
use Programs are voluntary for small SI engines, but mandatory for
large SI engines. All manufacturers are subject to SEAs.
    This information is collected by the Heavy-Duty and Nonroad Engines
Group (HDNEG), Compliance and Innovative Strategies Division (CISD),
Office of Transportation and Air Quality (OTAQ), Office of Air and
Radiation (OAR), U.S. Environmental Protection Agency (EPA). Besides
CISD, this information could be used by the Office of Enforcement and
Compliance Assurance (OECA) and the Department of Justice for
enforcement purposes. Non-confidential portions of the information
submitted to EPA could be disclosed in a public database and over the
Internet. This information is used by trade associations, environmental
groups, and the public. Respondents usually submit this information in
an electronic format and HDNEG stores it in a database.
    Burden Statement: The annual public reporting and recordkeeping
burden for this collection of information is estimated to average 1,158
hours per respondent. Burden means the total time, effort, or financial
resources expended by persons to generate, maintain, retain, or
disclose or provide information to or for a Federal agency. This
includes the time needed to review instructions; develop, acquire,
install, and utilize technology and systems for the purposes of
collecting, validating, and verifying information, processing and
maintaining information, and disclosing and providing information;
adjust the existing ways to comply with any previously applicable
instructions and requirements which have subsequently changed; train
personnel to be able to respond to a collection of

information; search data sources; complete and review the collection of
information; and transmit or otherwise disclose the information.
    Respondents/Affected Entities: Entities potentially affected by
these actions are manufacturers of marine spark-ignition engines.
    Estimated Number of Respondents: 241.
    Frequency of Response: Annual, quarterly and on occasion.
    Estimated Total Annual Hour Burden: 279,182.
    Estimated Total Annual Cost: $26,167,036, includes $7,004,857
annualized capital or O&M costs.
    Changes in the Estimates: Overall burden hours are higher due to an
agency adjustment; an increased number of respondents are anticipated
for this collection.

    Dated: March 20, 2008.
Sarah Hisel-McCoy,
Director, Collection Strategies Division.
 [FR Doc. E8-6172 Filed 3-25-08; 8:45 am]

BILLING CODE 6560-50-P


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Go Fish Georgia Initiative

Go Fish Georgia Initiative - Additional Information

Go Fish Georgia is a $30 million initiative that will leverage $19 million in state funds with private donations and financial support from local communities. This program will boost economic development in many small towns and establish Georgia as a national fishing destination.

Overview of the Go Fish Georgia Program

Program Brochure

Go Fish Georgia Facility Site Map

What is the Go Fish Georgia Initiative?

The purpose of the Go Fish Georgia Initiative is to promote and enhance boating and fishing tourism and to boost economic development in communities across the state. This initiative will result in a quality fisheries resource statewide, including family friendly fishing and recreation access points that will increase fishing participation in Georgia.

Fishing tournaments are a growing economic force in the nation. A single large tournament can contribute several million dollars to a local economy. Currently, all neighboring states attract more large bass fishing tournaments than Georgia. Georgia is the sixth highest among states in sending resident anglers to other states and 21st in attracting non-resident anglers. A better quality fishery would encourage those anglers to spend their dollars here. Georgia is also home to the world record largemouth bass (22 lbs., 4 oz. caught by George W. Perry on June 2, 1932). This catch presents a significant attraction for bass anglers.

Go Fish Georgia Goals

Goal 1: Improve Access to Georgia Waters

Bass Trail
The Go Fish Georgia Initiative will improve access to Georgia’s waters by the development of the Georgia Bass Trail. This 15-stop trail will provide a statewide system of large boating access areas capable of supporting large tournament events, and normal boating and fishing activities on major water bodies. Each site will provide its own unique bass fishing experience. Development of this trail will not require land acquisition in most cases. Sites and facilities will vary in size depending on the size of the water body. The economic impact of individual tournaments ranges from hundreds of thousands of dollars for a single-day event and up to $27 million for a championship multiple day event.
Fishing Tournaments

Family Friendly Access
The Go Fish Georgia Initiative will promote family friendly fishing opportunities by developing new boating access to water bodies in Georgia where access currently limits fishing and other uses. It will also improve access to currently under-utilized smaller reservoirs that have untapped fishing potential as well as add amenities and improve maintenance at existing access sites.

Virtual Access Guide
The development of fishing guides, maps and other products useful to anglers and boaters that are Web-accessible will improve the use of Georgia waters.

Goal 2: Increase Fishing Participation by Promoting Georgia Resources

Go Fish Education Center
The centerpiece of the efforts to promote fishing and increase participation is the new Go Fish Education Center. Centrally located in Perry, Ga., at the Georgia National Fairgrounds and Agricenter, the center features aquaria and other exhibits, a hatchery, a stocked fishing pond, interpretive trails and classrooms. The facility opened Oct. 8, 2010.

Partnerships
The Go Fish Georgia program will encourage sportfishing and conservation ethics through regular interaction with organized angler groups.

GOAL 3: Improve Quality of Fishing in Georgia

Improve Fish Stocks
The Go Fish Georgia Initiative will improve the quality of fishing in Georgia waters by managing and/or stocking additional forage species in Georgia reservoirs and rivers. This will increase sport fish growth rates and production. Existing warm water hatchery facilities are at maximum capacity to support current programs. The research and fish production necessary to improve the quality of fishing in Georgia will require additional production ponds and the construction of a new, state-of-the-art hatchery and research facility. The construction of a new, state-of-the-art hatchery/research facility will be required.

Improve Habitat
The Go Fish Georgia Initiative will increase productivity in state-owned lakes through a fertilization program - a current major factor in sustaining high quality angling on state-owned public fishing area lakes. It will also improve habitat in publicly owned small impoundments through fertilization, structure and other improvements to increase growth rates of fish. The program will also improve fish habitat in reservoirs and rivers through the introduction of native aquatic vegetation, other natural habitat components or artificial structures.

Dollars & Cents

Resident and non-resident anglers currently spend about $569 million each year on fishing in Georgia.

The economic effect of angler spending is about $1.5 billion.

There are 10,649 jobs related to sport fishing in Georgia, which generates $15 million in state income taxes, and $19 million in state sales taxes.

A major bass fishing tournament can have a $4-5 million economic impact on the local community. A championship event can have a $27 million economic impact.

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[Federal Register: January 13, 2006 (Volume 71, Number 9)]
[Notices]
[Page 2199-2200]
[DOCID:fr13ja06-43]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. EL06-24-000]

City of Anaheim, CA; Notice of Filing

January 6, 2006.
    Take notice that on December 29, 2005, the City of Anaheim,
California (Anaheim) submitted its third annual revision of its
Transmission Revenue Balancing Account Adjustment filed on December 7,
2005. Anaheim stated the corrections are reflected in Exhibit ANA-1 and
Exhibit ANA-2 as well as in the revised Appendix I.
    Any person desiring to intervene or to protest this filing must
file in accordance with Rules 211 and 214 of the Commission's Rules of
Practice and Procedure (18 CFR 385.211, 385.214). Protests will be
considered by the Commission in determining the appropriate action to
be taken, but will not serve to make protestants parties to the
proceeding. Any person wishing to become a party must file a notice of
intervention or motion to intervene, as appropriate. Such notices,
motions, or protests must be filed on or before the comment date.
Anyone filing a motion to intervene or protest must serve a copy of
that document on the Applicant and all the parties in this proceeding.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper using the ``eFiling'' link at http://www.ferc.gov.
 Persons unable to file electronically should submit an

original and 14 copies of the protest or intervention to the Federal
Energy Regulatory Commission, 888 First Street, NE., Washington, DC
20426.
    This filing is accessible on-line at http://www.ferc.gov, using the

``eLibrary'' link and is available for review in the Commission's
Public

Reference Room in Washington, DC. There is an ``eSubscription'' link on
the Web site that enables subscribers to receive e-mail notification
when a document is added to a subscribed docket(s). For assistance with
any FERC Online service, please e-mail<EMAIL_ADDRESS>or
call<PHONE_NUMBER> (toll free). For TTY, call<PHONE_NUMBER>.
    Comment Date: 5 p.m. Eastern Time on January 12, 2006.

Magalie R. Salas,
Secretary.
 [FR Doc. E6-279 Filed 1-12-06; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 85, Number 102 (Wednesday, May 27, 2020)]
[Notices]
[Pages 31838-31843]
[FR Doc No: 2020-11283]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-88918; File No. 4-762]

Program for Allocation of Regulatory Responsibilities Pursuant to
Rule 17d-2; Notice of Filing of Proposed Plan for the Allocation of
Regulatory Responsibilities Between the Financial Industry Regulatory
Authority, Inc. and MEMX LLC

May 20, 2020.
    Pursuant to Section 17(d) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 17d-2 thereunder,\2\ notice is hereby given that
on April 16, 2020, the Financial Industry Regulatory Authority, Inc.
(``FINRA'') and MEMX LLC (``MEMX'') (together with FINRA, the
``Parties'') filed with the Securities and Exchange Commission
(``Commission'' or ``SEC'') a plan for the allocation of regulatory
responsibilities, dated April 16, 2020 (``17d-2 Plan'' or the
``Plan''). The Commission is publishing this notice to solicit comments
on the 17d-2 Plan from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78q(d).
    \2\ 17 CFR 240.17d-2.
---------------------------------------------------------------------------

I. Introduction

    Section 19(g)(1) of the Act,\3\ among other things, requires every
self-regulatory organization (``SRO'') registered as either a national
securities exchange or national securities association to examine for,
and enforce compliance by, its members and persons associated with its
members with the Act, the rules and regulations thereunder, and the
SRO's own rules, unless the SRO is relieved of this responsibility
pursuant to Section 17(d) or Section 19(g)(2) of the Act.\4\ Without
this relief, the statutory obligation of each individual SRO could
result in a pattern of multiple examinations of broker-dealers that
maintain memberships in more than one SRO (``common members''). Such
regulatory duplication would add unnecessary expenses for common
members and their SROs.
---------------------------------------------------------------------------

    \3\ 15 U.S.C. 78s(g)(1).
    \4\ 15 U.S.C. 78q(d) and 15 U.S.C. 78s(g)(2), respectively.
---------------------------------------------------------------------------

    Section 17(d)(1) of the Act \5\ was intended, in part, to eliminate
unnecessary multiple examinations and regulatory duplication.\6\ With
respect to a common member, Section 17(d)(1) authorizes the Commission,
by rule or

order, to relieve an SRO of the responsibility to receive regulatory
reports, to examine for and enforce compliance with applicable
statutes, rules, and regulations, or to perform other specified
regulatory functions.
---------------------------------------------------------------------------

    \5\ 15 U.S.C. 78q(d)(1).
    \6\ See Securities Act Amendments of 1975, Report of the Senate
Committee on Banking, Housing, and Urban Affairs to Accompany S.
249, S. Rep. No. 94-75, 94th Cong., 1st Session 32 (1975).
---------------------------------------------------------------------------

    To implement Section 17(d)(1), the Commission adopted two rules:
Rule 17d-1 and Rule 17d-2 under the Act.\7\ Rule 17d-1 authorizes the
Commission to name a single SRO as the designated examining authority
(``DEA'') to examine common members for compliance with the financial
responsibility requirements imposed by the Act, or by Commission or SRO
rules.\8\ When an SRO has been named as a common member's DEA, all
other SROs to which the common member belongs are relieved of the
responsibility to examine the firm for compliance with the applicable
financial responsibility rules. On its face, Rule 17d-1 deals only with
an SRO's obligations to enforce member compliance with financial
responsibility requirements. Rule 17d-1 does not relieve an SRO from
its obligation to examine a common member for compliance with its own
rules and provisions of the federal securities laws governing matters
other than financial responsibility, including sales practices and
trading activities and practices.
---------------------------------------------------------------------------

    \7\ 17 CFR 240.17d-1 and 17 CFR 240.17d-2, respectively.
    \8\ See Securities Exchange Act Release No. 12352 (April 20,
1976), 41 FR 18808 (May 7, 1976).
---------------------------------------------------------------------------

    To address regulatory duplication in these and other areas, the
Commission adopted Rule 17d-2 under the Act.\9\ Rule 17d-2 permits SROs
to propose joint plans for the allocation of regulatory
responsibilities with respect to their common members. Under paragraph
(c) of Rule 17d-2, the Commission may declare such a plan effective if,
after providing for appropriate notice and comment, it determines that
the plan is necessary or appropriate in the public interest and for the
protection of investors; to foster cooperation and coordination among
the SROs; to remove impediments to, and foster the development of, a
national market system and a national clearance and settlement system;
and is in conformity with the factors set forth in Section 17(d) of the
Act. Commission approval of a plan filed pursuant to Rule 17d-2
relieves an SRO of those regulatory responsibilities allocated by the
plan to another SRO.
---------------------------------------------------------------------------

    \9\ See Securities Exchange Act Release No. 12935 (October 28,
1976), 41 FR 49091 (November 8, 1976).
---------------------------------------------------------------------------

II. Proposed Plan

    The proposed 17d-2 Plan is intended to reduce regulatory
duplication for firms that are common members of both MEMX and
FINRA.\10\ Pursuant to the proposed 17d-2 Plan, FINRA would assume
certain examination and enforcement responsibilities for common members
with respect to certain applicable laws, rules, and regulations.
---------------------------------------------------------------------------

    \10\ The proposed 17d-2 Plan refers to these common members as
``Dual Members.'' See Paragraph 1(c) of the proposed 17d-2 Plan.
---------------------------------------------------------------------------

    The text of the Plan delineates the proposed regulatory
responsibilities with respect to the Parties. Included in the proposed
Plan is an exhibit (the ``MEMX Certification of Common Rules,''
referred to herein as the ``Certification'') that lists every MEMX
rule, and select federal securities laws, rules, and regulations, for
which FINRA would bear responsibility under the Plan for overseeing and
enforcing with respect to MEMX members that are also members of FINRA
and the associated persons therewith (``Dual Members'').
    Specifically, under the 17d-2 Plan, FINRA would assume examination
and enforcement responsibility relating to compliance by Dual Members
with the rules of MEMX that are substantially similar to the applicable
rules of FINRA,\11\ as well as any provisions of the federal securities
laws and the rules and regulations thereunder delineated in the
Certification (``Common Rules''). In the event that a Dual Member is
the subject of an investigation relating to a transaction on MEMX, the
plan acknowledges that MEMX may, in its discretion, exercise concurrent
jurisdiction and responsibility for such matter.\12\
---------------------------------------------------------------------------

    \11\ See paragraph 1(b) of the proposed 17d-2 Plan (defining
Common Rules). See also paragraph 1(f) of the proposed 17d-2 Plan
(defining Regulatory Responsibilities). Paragraph 2 of the Plan
provides that annually, or more frequently as required by changes in
either MEMX rules or FINRA rules, the parties shall review and
update, if necessary, the list of Common Rules. Further, paragraph 3
of the Plan provides that MEMX shall furnish FINRA with a list of
Dual Members, and shall update the list no less frequently than once
each calendar quarter.
    \12\ See paragraph 6 of the proposed 17d-2 Plan.
---------------------------------------------------------------------------

    Under the Plan, MEMX would retain full responsibility for
surveillance, examination, investigation and enforcement with respect
to trading activities or practices involving MEMX's own marketplace,
including, without limitation, registration pursuant to its applicable
rules of associated persons (i.e., registration rules that are not
Common Rules); its duties as a DEA pursuant to Rule 17d-1 under the
Act; and any MEMX rules that are not Common Rules.\13\
---------------------------------------------------------------------------

    \13\ See paragraph 2 of the proposed 17d-2 Plan.
---------------------------------------------------------------------------

    The text of the proposed 17d-2 Plan is as follows:

AGREEMENT BETWEEN FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. AND
MEMX LLC PURSUANT TO RULE 17d-2 UNDER THE SECURITIES EXCHANGE ACT OF
1934

    This Agreement, by and between the Financial Industry Regulatory
Authority, Inc. (``FINRA'') and MEMX LLC (``MEMX''), is made this 16th
day of April, 2020 (the ``Agreement''), pursuant to Section 17(d) of
the Securities Exchange Act of 1934 (the ``Exchange Act'') and Rule
17d-2 thereunder, which permits agreements between self-regulatory
organizations to allocate regulatory responsibility to eliminate
regulatory duplication. FINRA and MEMX may be referred to individually
as a ``party'' and together as the ``parties.''
    Whereas, FINRA and MEMX desire to reduce duplication in the
examination and surveillance of their Dual Members (as defined herein)
and in the filing and processing of certain registration and membership
records; and
    Whereas, FINRA and MEMX desire to execute an agreement covering
such subjects pursuant to the provisions of Rule 17d-2 under the
Exchange Act and to file such agreement with the Securities and
Exchange Commission (the ``SEC'' or ``Commission'') for its approval.
    Now, therefore, in consideration of the mutual covenants contained
hereinafter, FINRA and MEMX hereby agree as follows:
    1. Definitions. Unless otherwise defined in this Agreement or the
context otherwise requires, the terms used in this Agreement shall have
the same meaning as they have under the Exchange Act and the rules and
regulations thereunder. As used in this Agreement, the following terms
shall have the following meanings:
    (a) ``MEMX Rules'' or ``FINRA Rules'' shall mean: (i) The rules of
MEMX, or (ii) the rules of FINRA, respectively, as the rules of an
exchange or association are defined in Exchange Act Section 3(a)(27).
    (b) ``Common Rules'' shall mean MEMX Rules that are substantially
similar to the applicable FINRA Rules and certain provisions of the
Exchange Act and SEC rules set forth on Exhibit 1 in that examination
or surveillance for compliance with such provisions and rules would not
require FINRA to

develop one or more new examination or surveillance standards, modules,
procedures, or criteria in order to analyze the application of the
provision or rule, or a Dual Member's activity, conduct, or output in
relation to such provision or rule; provided, however, Common Rules
shall not include the application of the SEC, MEMX or FINRA rules as
they pertain to violations of insider trading activities, which is
covered by a separate 17d-2 Agreement by and among Cboe BZX Exchange,
Inc., Cboe BYX Exchange, Inc., Chicago Stock Exchange, Inc., Cboe EDGA
Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory
Authority, Inc., Nasdaq BX, Inc., Nasdaq PHLX LLC, The Nasdaq Stock
Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE
American LLC, NYSE Arca Inc., Investors' Exchange LLC and Long-Term
Stock Exchange, Inc. effective August 1, 2019, as may be amended from
time to time. Common Rules shall not include any provisions regarding
(i) notice, reporting or any other filings made directly to or from
MEMX, (ii) incorporation by reference of MEMX Rules that are not Common
Rules, (iii) exercise of discretion in a manner that differs from
FINRA's exercise of discretion including, but not limited to exercise
of exemptive authority, by MEMX, (iv) prior written approval of MEMX
and (v) payment of fees or fines to MEMX.
    (c) ``Dual Members'' shall mean those MEMX members that are also
members of FINRA and the associated persons therewith.
    (d) ``Effective Date'' shall be the date this Agreement is approved
by the Commission.
    (e) ``Enforcement Responsibilities'' shall mean the conduct of
appropriate proceedings, in accordance with FINRA's Code of Procedure
(the Rule 9000 Series) and other applicable FINRA procedural rules, to
determine whether violations of Common Rules have occurred, and if such
violations are deemed to have occurred, the imposition of appropriate
sanctions as specified under FINRA's Code of Procedure and sanctions
guidelines.
    (f) ``Regulatory Responsibilities'' shall mean the examination
responsibilities, surveillance responsibilities and Enforcement
Responsibilities relating to compliance by the Dual Members with the
Common Rules and the provisions of the Exchange Act and the rules and
regulations thereunder, and other applicable laws, rules and
regulations, each as set forth on Exhibit 1 attached hereto.
    2. Regulatory and Enforcement Responsibilities. FINRA shall assume
Regulatory Responsibilities and Enforcement Responsibilities for Dual
Members. Attached as Exhibit 1 to this Agreement and made part hereof,
MEMX furnished FINRA with a current list of Common Rules and certified
to FINRA that such rules that are MEMX Rules are substantially similar
to the corresponding FINRA Rules (the ``Certification''). FINRA hereby
agrees that the rules listed in the Certification are Common Rules as
defined in this Agreement. Each year following the Effective Date of
this Agreement, or more frequently if required by changes in either the
rules of MEMX or FINRA, MEMX shall submit an updated list of Common
Rules to FINRA for review which shall add MEMX Rules not included in
the current list of Common Rules that qualify as Common Rules as
defined in this Agreement; delete MEMX Rules included in the current
list of Common Rules that no longer qualify as Common Rules as defined
in this Agreement; and confirm that the remaining rules on the current
list of Common Rules continue to be MEMX Rules that qualify as Common
Rules as defined in this Agreement. Within 30 days of receipt of such
updated list, FINRA shall confirm in writing whether the rules listed
in any updated list are Common Rules as defined in this Agreement.
Notwithstanding anything herein to the contrary, it is explicitly
understood that the term ``Regulatory Responsibilities'' does not
include, and MEMX shall retain full responsibility for (unless
otherwise addressed by separate agreement or rule) (collectively, the
``Retained Responsibilities'') the following:
    (a) Surveillance, examination, investigation and enforcement with
respect to trading activities or practices involving MEMX's own
marketplace for rules that are not Common Rules;
    (b) registration pursuant to its applicable rules of associated
persons (i.e., registration rules that are not Common Rules);
    (c) discharge of its duties and obligations as a Designated
Examining Authority pursuant to Rule 17d-1 under the Exchange Act; and
    (d) any MEMX Rules that are not Common Rules, except for MEMX Rules
for any MEMX member that operates as a facility (as defined in Section
3(a)(2) of the Exchange Act), acts as an outbound router for the MEMX
and is a member of FINRA (``Router Member'') as provided in paragraph
6. As of the date of this Agreement, MEMX Execution Services LLC is the
only Router Member.
    3. Dual Members. Prior to the Effective Date, MEMX shall furnish
FINRA with a current list of Dual Members, which shall be updated no
less frequently than once each quarter.
    4. No Charge. There shall be no charge to MEMX by FINRA for
performing the Regulatory Responsibilities and Enforcement
Responsibilities under this Agreement except as otherwise agreed by the
parties, either herein or in a separate agreement.
    5. Applicability of Certain Laws, Rules, Regulations or Orders.
Notwithstanding any provision hereof, this Agreement shall be subject
to any statute, or any rule or order of the Commission. To the extent
such statute, rule or order is inconsistent with this Agreement, the
statute, rule or order shall supersede the provision(s) hereof to the
extent necessary for them to be properly effectuated and the
provision(s) hereof in that respect shall be null and void.
    6. Notification of Violations.
    (a) In the event that FINRA becomes aware of apparent violations of
any MEMX Rules, which are not listed as Common Rules, discovered
pursuant to the performance of the Regulatory Responsibilities assumed
hereunder, FINRA shall notify MEMX of those apparent violations for
such response as MEMX deems appropriate. With respect to apparent
violations of any MEMX Rules by any Router Member, FINRA shall not make
referrals to MEMX pursuant to this paragraph 6. Such apparent
violations shall be processed by, and enforcement proceedings in
respect thereto will be conducted by, FINRA as provided in this
Agreement.
    (b) In the event that MEMX becomes aware of apparent violations of
any Common Rules, discovered pursuant to the performance of the
Retained Responsibilities, MEMX shall notify FINRA of those apparent
violations and such matters shall be handled by FINRA as provided in
this Agreement.
    (c) Apparent violations of Common Rules shall be processed by, and
enforcement proceedings in respect thereto shall be conducted by FINRA
as provided hereinbefore; provided, however, that in the event a Dual
Member is the subject of an investigation relating to a transaction on
MEMX, MEMX may in its discretion assume concurrent jurisdiction and
responsibility.
    (d) Each party agrees to make available promptly all files, records
and witnesses necessary to assist the other in its investigation or
proceedings.
    7. Continued Assistance.

    (a) FINRA shall make available to MEMX all information obtained by
FINRA in the performance by it of the Regulatory Responsibilities
hereunder with respect to the Dual Members subject to this Agreement.
In particular, and not in limitation of the foregoing, FINRA shall
furnish MEMX any information it obtains about Dual Members which
reflects adversely on their financial condition. MEMX shall make
available to FINRA any information coming to its attention that
reflects adversely on the financial condition of Dual Members or
indicates possible violations of applicable laws, rules or regulations
by such firms.
    (b) The parties agree that documents or information shared shall be
held in confidence, and used only for the purposes of carrying out
their respective regulatory obligations. Neither party shall assert
regulatory or other privileges as against the other with respect to
documents or information that is required to be shared pursuant to this
Agreement.
    (c) The sharing of documents or information between the parties
pursuant to this Agreement shall not be deemed a waiver as against
third parties of regulatory or other privileges relating to the
discovery of documents or information.
    8. Statutory Disqualifications. When FINRA becomes aware of a
statutory disqualification as defined in the Exchange Act with respect
to a Dual Member, FINRA shall determine pursuant to Sections 15A(g)
and/or Section 6(c) of the Exchange Act the acceptability or continued
applicability of the person to whom such disqualification applies and
keep MEMX advised of its actions in this regard for such subsequent
proceedings as MEMX may initiate.
    9. Customer Complaints. MEMX shall forward to FINRA copies of all
customer complaints involving Dual Members received by MEMX relating to
FINRA's Regulatory Responsibilities under this Agreement. It shall be
FINRA's responsibility to review and take appropriate action in respect
to such complaints.
    10. Advertising. FINRA shall assume responsibility to review the
advertising of Dual Members subject to the Agreement, provided that
such material is filed with FINRA in accordance with FINRA's filing
procedures and is accompanied with any applicable filing fees set forth
in FINRA Rules.
    11. No Restrictions on Regulatory Action. Nothing contained in this
Agreement shall restrict or in any way encumber the right of either
party to conduct its own independent or concurrent investigation,
examination or enforcement proceeding of or against Dual Members, as
either party, in its sole discretion, shall deem appropriate or
necessary.
    12. Termination. This Agreement may be terminated by MEMX or FINRA
at any time upon the approval of the Commission after six (6) month's
written notice to the other party.
    13. Arbitration. In the event of a dispute between the parties as
to the operation of this Agreement, MEMX and FINRA hereby agree that
any such dispute shall be settled by arbitration in Washington, DC in
accordance with the rules of the American Arbitration Association then
in effect, or such other procedures as the parties may mutually agree
upon. Judgment on the award rendered by the arbitrator(s) may be
entered in any court having jurisdiction. Each party acknowledges that
the timely and complete performance of its obligations pursuant to this
Agreement is critical to the business and operations of the other
party. In the event of a dispute between the parties, the parties shall
continue to perform their respective obligations under this Agreement
in good faith during the resolution of such dispute unless and until
this Agreement is terminated in accordance with its provisions. Nothing
in this Section 13 shall interfere with a party's right to terminate
this Agreement as set forth herein.
    14. Notification of Members. MEMX and FINRA shall notify Dual
Members of this Agreement after the Effective Date by means of a
uniform joint notice.
    15. Amendment. This Agreement may be amended in writing duly
approved by each party. All such amendments must be filed with and
approved by the Commission before they become effective.
    16. Limitation of Liability. Neither FINRA nor MEMX nor any of
their respective directors, governors, officers or employees shall be
liable to the other party to this Agreement for any liability, loss or
damage resulting from or claimed to have resulted from any delays,
inaccuracies, errors or omissions with respect to the provision of
Regulatory Responsibilities as provided hereby or for the failure to
provide any such responsibility, except with respect to such liability,
loss or damages as shall have been suffered by one or the other of
FINRA or MEMX and caused by the willful misconduct of the other party
or their respective directors, governors, officers or employees. No
warranties, express or implied, are made by FINRA or MEMX with respect
to any of the responsibilities to be performed by each of them
hereunder.
    17. Relief from Responsibility. Pursuant to Sections 17(d)(1)(A)
and 19(g) of the Exchange Act and Rule 17d-2 thereunder, FINRA and MEMX
join in requesting the Commission, upon its approval of this Agreement
or any part thereof, to relieve MEMX of any and all responsibilities
with respect to matters allocated to FINRA pursuant to this Agreement;
provided, however, that this Agreement shall not be effective until the
Effective Date.
    18. Severability. Any term or provision of this Agreement that is
invalid or unenforceable in any jurisdiction shall, as to such
jurisdiction, be ineffective to the extent of such invalidity or
unenforceability without rendering invalid or unenforceable the
remaining terms and provisions of this Agreement or affecting the
validity or enforceability of any of the terms or provisions of this
Agreement in any other jurisdiction.
    19. Counterparts. This Agreement may be executed in one or more
counterparts, each of which shall be deemed an original, and such
counterparts together shall constitute one and the same instrument.
* * * * *

Exhibit 1

MEMX Certification of Common Rules

    MEMX hereby certifies that the requirements contained in the rules
listed below for MEMX are identical to, or substantially similar to,
the comparable FINRA (NASD) Rules, Exchange Act provision or SEC rule
identified (``Common Rules'').
    # Common Rules shall not include any provisions
regarding (i) notice, reporting or any other filings made directly to
or from MEMX, (ii) incorporation by reference of MEMX Rules that are
not Common Rules, (iii) exercise of discretion in a manner that differs
from FINRA's exercise of discretion including, but not limited to
exercise of exemptive authority, by MEMX, (iv) prior written approval
of MEMX and (v) payment of fees or fines to MEMX.

------------------------------------------------------------------------
                                       FINRA (NASD) Rule, Exchange Act
             MEMX Rule                       Provision, SEC Rule
------------------------------------------------------------------------
Rule 2.5 Restrictions,               FINRA Rule 1240(a)(1)-(4)
 Interpretation and Policy .02        Continuing Education Requirements
 Continuing Education Requirements     ;.
 .
Rule 2.5 Restrictions,               FINRA By-Laws of the Corporation,
 Interpretation and Policy .04        Article V, Section 3 Notification
 Termination of Employment.           by Member to the Corporation and
                                      Associated Person of Termination;
                                      Amendments to Notification; FINRA
                                      Rule 1010(e) Electronic Filing
                                      Requirements for Uniform Forms.
Rule 2.6(g) Application Procedures   FINRA By-Laws of the Corporation,
 for Membership or to become an       Article IV, Section 1(c)
 Associated Person of a Member .     Application for Membership and
                                      Article V, Sec. 2(c); FINRA Rule
                                      1010(c) Electronic Filing
                                      Requirements for Uniform Forms.
Rule 3.1 Business Conduct of         FINRA Rule 2010 Standards of
 Members [supcaret].                  Commercial Honor and Principles of
                                      Trade [supcaret].
Rule 3.2 Violations Prohibited       FINRA Rule 2010 Standards of
 [supcaret] .                        Commercial Honor and Principles of
                                      Trade and FINRA Rule 3110
                                      Supervision [supcaret].
Rule 3.3 Use of Fraudulent Devices   FINRA Rule 2020 Use of
 [supcaret].                          Manipulative, Deceptive or Other
                                      Fraudulent Devices [supcaret].
Rule 3.5 Communications with the     FINRA Rule 2210 Communications with
 Public.                              the Public.
Rule 3.6 Fair Dealing with           FINRA Rule 2020 Use of
 Customers.                           Manipulative, Deceptive or Other
                                      Fraudulent Devices,[supcaret] \1\
                                      FINRA Rule 2111 Suitability.
Rule 3.7(a) Recommendations to       FINRA Rule 2111(a) and SM .03
 Customers.                           Suitability.
Rule 3.8(a) The Prompt Receipt and   FINRA Rule 11860 COD Orders.
 Delivery of Securities.
Rule 3.8(b) The Prompt Receipt and   SEC Regulation SHO.
 Delivery of Securities.
Rule 3.9 Charges for Services        FINRA Rule 2122 Charges for
 Performed.                           Services Performed.
Rule 3.10 Use of Information.......  FINRA Rule 2060 Use of Information
                                      Obtained in Fiduciary Capacity.
Rule 3.11 Publication of             FINRA Rule 5210 Publication of
 Transactions and Quotations .       Transactions and Quotations.
Rule 3.12 Offers at Stated Prices..  FINRA Rule 5220 Offers at Stated
                                      Prices.
Rule 3.13 Payments Involving         FINRA Rule 5230 Payments Involving
 Publications that Influence the      Publications that Influence the
 Market Price of a Security.          Market Price of a Security.
Rule 3.14 Disclosure on              FINRA Rule 2232(a) Customer
 Confirmations.                       Confirmations and SEC Rule 10b-10
                                      Confirmation of Transactions.
Rule 3.15 Disclosure of Control....  FINRA Rule 2262 Disclosure of
                                      Control Relationship With Issuer.
Rule 3.16 Discretionary Accounts...  FINRA Rule 3260 Discretionary
                                      Accounts.
Rule 3.17 Customer's Securities or   FINRA Rule 2150(a) Improper Use of
 Funds.                               Customers' Securities or Funds;
                                      Prohibition Against Guarantees and
                                      Sharing in Accounts--Improper Use.
Rule 3.21 Communications with        FINRA Rule 2210 Communications with
 Customers.                           the Public.
Rule 3.18 Prohibition Against        FINRA Rule 2150(b) Improper Use of
 Guarantees.                          Customers' Securities or Funds;
                                      Prohibition Against Guarantees and
                                      Sharing in Accounts--Prohibition
                                      Against Guarantees.
Rule 3.19 Sharing in Accounts;       FINRA Rule 2150(c)(1) Improper Use
 Extent Permissible.                  of Customers' Securities or Funds;
                                      Prohibition Against Guarantees and
                                      Sharing in Accounts--Sharing in
                                      Accounts; Extent Permissible.
Rule 3.21 Customer Disclosures.....  FINRA Rule 2265 Extended Hours
                                      Trading Risk Disclosure.
Rule 3.20 Influencing or Rewarding   FINRA Rule 3220 Influencing or
 Employees of Others; Gratuities.     Rewarding Employees of Others.
Rule 3.26 Telemarketing and          FINRA Rule 3230 Telemarketing.
 Interpretations and Policies .01.
Rule 4.1 Requirements ............  Section 17 of the Exchange Act and
                                      rules thereunder and FINRA Rule
                                      4511(a) and (c) General
                                      Requirements \2\.
Rule 4.3 Record of Written           FINRA Rule 4513 Records of Written
 Complaints.                          Customer Complaints.
Rule 5.1 Written Procedures ......  FINRA Rule 3110(b)(1) Supervision-
                                      Written Procedures [supcaret].
Rule 5.2 Responsibility of Members.  FINRA Rule 3110 (a)(4), (b)(4) and
                                      (b)(7) Supervision--Supervisory
                                      System/Written Procedures--Review
                                      of Correspondence and Internal
                                      Communications [supcaret].
Rule 5.3 Records...................  FINRA Rule 3110 Supervision
                                      [supcaret].
Rule 5.4 Review of Activities......  FINRA Rule 3110(c) and (d)
                                      Supervision--Internal Inspections/
                                      Transaction Review and
                                      Investigation [supcaret].
Rule 5.6 Anti-Money Laundering       FINRA Rule 3310 Anti-Money
 Compliance Program .                Laundering Compliance Program.
Rule 9.3 Predispute Arbitration      FINRA Rule 2268 Requirements When
 Agreements.                          Using Predispute Arbitration
                                      Agreements for Customer Accounts.
Rule 11.16(e)(3) & (4) Trading       FINRA Rule 6190(a) & (b) Compliance
 Halts Due to Extraordinary Market    with Regulation NMS Plan to
 Volatility.                          Address Extraordinary Market
                                      Volatility.
Rule 11.10(a)(5) Order Execution-    FINRA Rule 6182 Trade Reporting of
 Short Sales  [supcaret][supcaret].  Short Sales [supcaret] [supcaret].
Rule 12.2 Fictitious Transactions..  FINRA Rule 6140 Other Trading
                                      Practices and FINRA Rule 5210
                                      Supplementary Material .02 Self-
                                      Trades.
Rule 12.3 Excessive Sales By A       FINRA Rule 6140(c) Other Trading
 Member.                              Practices.
Rule 12.4 Manipulative Transactions  FINRA Rule 6140 Other Trading
                                      Practices.
Rule 12.5 Dissemination of False     FINRA Rule 6140(e) Other Trading
 Information.                         Practices.
Rule 12.6 Prohibition Against        FINRA Rule 5320 Prohibition Against
 Trading Ahead of Customer Orders     Trading Ahead of Customer Orders
 **.                                 **.
Rule 12.9 Trade Shredding..........  FINRA Rule 5290 Order Entry and
                                      Execution Practices.
Rule 12.11 Best Execution and        FINRA Rule 5310 Best Execution and
 Interpositioning **.                 Interpositioning **.
Rule 12.13 Trading Ahead of          FINRA Rule 5280 Trading Ahead of
 Research Reports **.                 Research Reports **.
Rule 12.14 Front Running of Block    FINRA Rule 5270 Front Running of
 Transactions **.                     Block Transactions **.

Rule 13.3(a), (b)(i), (d) and        FINRA Rule 2251 Processing and
 Interpretation and Policy .01        Forwarding of Proxy and Other
 Forwarding of Proxy and Other        Issuer-Related Materials.
 Issuer-Related Materials.
------------------------------------------------------------------------
\1\ FINRA shall not have Regulatory Responsibilities regarding .01 of
  MEMX Rule 3.6.
\2\ FINRA shall not have Regulatory Responsibilities regarding
  requirements to keep records ``in conformity with . . . Exchange
  Rules;'' responsibility for such requirement remains with MEMX.
In addition, the following provisions shall be part of this 17d-2
  Agreement:
SEA Rules:
 SEA Rule 200 of Regulation SHO--Definition of Short Sales and
  Marking Requirements **
 SEA Rule 201 of Regulation SHO--Circuit Breaker **
 SEA Rule 203 of Regulation SHO--Borrowing and Delivery
  Requirements **
 SEA Rule 204 of Regulation SHO--Close-Out Requirement **
 SEA Rule 101 of Regulation M--Activities by Distribution
  Participants **
 SEA Rule 102 of Regulation M--Activities by Issuers and Selling
  Security Holders During a Distribution **
 SEA Rule 103 of Regulation M--Nasdaq Passive Market Making **
 SEA Rule 104 of Regulation M--Stabilizing and Other Activities
  in Connection with an Offering **
 SEA Rule 105 of Regulation M--Short Selling in Connection With
  a Public Offering **
 SEA Rule 604 of Regulation NMS--Display of Customer Limit
  Orders **
 SEA Rule 606 of Regulation NMS--Disclosure of Routing
  Information **
 SEA Rule 610(d) of Regulation NMS--Locking or Crossing
  Quotations **
 SEA Rule 611 of Regulation NMS--Order Protection Rule **
 SEA Rule 10b-5 Employment of Manipulative and Deceptive Devices
  [supcaret]
 SEA Rule 17a-3/17a-4--Records to Be Made by Certain Exchange
  Members, Brokers, and Dealers/Records to Be Preserved by Certain
  Exchange Members, Brokers, and Dealers [supcaret]
[supcaret] FINRA shall not have any Regulatory Responsibilities for
  these rules as they pertain to violations of insider trading
  activities, which is covered by a separate 17d-2 Agreement by and
  among Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Chicago Stock
  Exchange, Inc., Cboe EDGA Exchange Inc., Cboe EDGX Exchange Inc.,
  Financial Industry Regulatory Authority, Inc., Nasdaq BX, Inc., Nasdaq
  PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York
  Stock Exchange, LLC, NYSE American LLC, NYSE Arca Inc., and Investors'
  Exchange LLC and the Long-Term Stock Exchange, Inc. effective August
  1, 2019, as may be amended from time to time.
** FINRA shall perform the surveillance responsibilities for the double
  star rules. These rules may be cited by FINRA in both the context of
  this Agreement and the Regulatory Services Agreement.

III. Date of Effectiveness of the Proposed Plan and Timing for
Commission Action

    Pursuant to Section 17(d)(1) of the Act \14\ and Rule 17d-2
thereunder,\15\ after June 11, 2020, the Commission may, by written
notice, declare the plan submitted by MEMX and FINRA, File No. 4-762,
to be effective if the Commission finds that the plan is necessary or
appropriate in the public interest and for the protection of investors,
to foster cooperation and coordination among self-regulatory
organizations, or to remove impediments to and foster the development
of the national market system and a national system for the clearance
and settlement of securities transactions and in conformity with the
factors set forth in Section 17(d) of the Act.
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    \14\ 15 U.S.C. 78q(d)(1).
    \15\ 17 CFR 240.17d-2.
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IV. Solicitation of Comments

    In order to assist the Commission in determining whether to approve
the proposed 17d-2 Plan and to relieve MEMX of the responsibilities
which would be assigned to FINRA, interested persons are invited to
submit written data, views, and arguments concerning the foregoing.
Comments may be submitted by any of the following methods:

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/other.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number 4-762 on the subject line.

Paper Comments

     Send paper comments in triplicate to Secretary, Securities
and Exchange Commission, Station Place, 100 F Street NE, Washington, DC
20549-1090.

All submissions should refer to File Number 4-762. 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 (http://www.sec.gov/rules/other.shtml).
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 plan also will be available for inspection and
copying at the principal offices of MEMX and FINRA. 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 4-762 and should be submitted on or before
June 11, 2020.
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    \16\ 17 CFR 200.30-3(a)(34).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\16\
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-11283 Filed 5-26-20; 8:45 am]
BILLING CODE 8011-01-P