1 month ago
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Pursuant to Section 11A of the Securities Exchange Act of 1934 (“Act”),[1] and Rule 608 thereunder,[2] notice is hereby given that on May 4, 2025, the Participants [3] in the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis (the “UTP Plan”) filed with the Securities and Exchange Commission (“Commission”) a proposal to amend the UTP Plan. The amendment represents the Fifty-Third Amendment to the UTP Plan (“Amendment”). Under the Amendment, the Participants propose to amend the UTP Plan to reflect that NYSE Chicago, Inc. has changed its name to NYSE Texas, Inc. and to make changes to certain names and address of other exchanges.[4]
The proposed Amendment has been filed by the Participants pursuant to Rule 608(b)(3)(ii) under Regulation NMS [5] as concerned solely with the administration of the UTP Plan and as a “Ministerial Amendment” under Section XVI of the UTP Plan. As a result, the Amendment can be submitted by the Chair of the UTP Plan's Operating Committee and becomes effective upon filing. The Commission is publishing this notice to solicit comments on the Amendment from interested persons. Set forth in Sections I and II is the statement of the purpose and summary of the Amendment, along with the information required by Rules 608(a) and 601(a) under the Act, as prepared and submitted by the Participants.
I. Rule 608(a)
1. Purpose of the Amendment
The above-captioned amendment effectuates a change to reflect the new name of NYSE Chicago, Inc.: NYSE Texas, Inc. The amendment also makes some changes to certain names of other exchanges.
2. Governing or Constituent Documents
Not applicable.
3. Implementation of Amendment
Because the amendment constitutes a “Ministerial Amendment” under Section XVI of the UTP Plan, the Chair of the UTP Plan's Operating Committee may submit the amendment to the Commission on behalf of the Participants in the UTP Plan. Because the Participants designate the amendment as concerned solely with the administration of the UTP Plan, the amendment becomes effective upon filing with the Commission.
4. Development and Implementation Phases
Not applicable.
5. Analysis of Impact on Competition
The amendments do not impose any burden on competition because it simply effectuates changes in the names of a Participants to the UTP Plan.
6. Written Understanding or Agreements Relating to Interpretation of, or Participation in, Plan
Not applicable.
7. Approval by Sponsors in Accordance With Plan
See Item 3 above.
8. Description of Operation of Facility Contemplated by the Proposed Amendment
Not applicable.
9. Terms and Conditions of Access
Not applicable.
10. Method of Determination and Imposition, and Amount of, Fees and Charges
Not applicable. ( printed page 22141)
11. Method and Frequency of Processor Evaluation
Not applicable.
12. Dispute Resolution
Not applicable.
II. Regulation NMS Rule 601(a)
1. Equity Securities for Which Transaction Reports Shall Be Required by the Plan
Not applicable.
2. Reporting Requirements
Not applicable.
3. Manner of Collecting, Processing, Sequencing, Making Available and Disseminating Last Sale Information
Not applicable.
4. Manner of Consolidation
Not applicable.
5. Standards and Methods Ensuring Promptness, Accuracy and Completeness of Transaction Reports
Not applicable.
6. Rules and Procedures Addressed to Fraudulent or Manipulative Dissemination
Not applicable.
7. Terms of Access to Transaction Reports
Not applicable.
8. Identification of Marketplace of Execution
Not applicable.
III. Solicitation of Comments
Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed Amendment is consistent with the Act. Comments may be submitted by any of the following methods:
Electronic Comments
- Use the Commission's internet comment form (https://www.sec.gov/rules/sro.shtml); or
- Send an email to[email protected]. Please include file number S7-24-89 on the subject line.
Paper Comments
- Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street NE, Washington, DC 20549-1090.
May 19, 2025.
All submissions should refer to file number S7-24-89. 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 ( https://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, and all written statements with respect to the proposed Amendment that are filed with the Commission, and all written communications relating to the proposed Amendment 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 offices of the Participants. Do not include personal identifiable information in submissions; you should submit only information that you wish to make available publicly. We may redact in part or withhold entirely from publication submitted material that is obscene or subject to copyright protection. All submissions should refer to file number S7-24-89 and should be submitted on or before June 13, 2025.
For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.[6]
Sherry R. Haywood,
Assistant Secretary.
English (US) ·