[Federal Register Volume 87, Number 200 (Tuesday, October 18, 2022)]
[Proposed Rules]
[Pages 63016-63017]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-22295]


 ========================================================================
 Proposed Rules
                                                 Federal Register
 ________________________________________________________________________
 
 This section of the FEDERAL REGISTER contains notices to the public of 
 the proposed issuance of rules and regulations. The purpose of these 
 notices is to give interested persons an opportunity to participate in 
 the rule making prior to the adoption of the final rules.
 
 ========================================================================
 

  Federal Register / Vol. 87, No. 200 / Tuesday, October 18, 2022 / 
Proposed Rules  

[[Page 63016]]



SECURITIES AND EXCHANGE COMMISSION

17 CFR Parts 200, 210, 229, 230, 232, 239, 240, 242, 249, 270, 274, 
275, and 279

[Release Nos. 33-11117, 34-96005, IA-6162, IC-34724; File Nos. S7-32-
10, S7-18-21, S7-21-21, S7-22-21, S7-03-22, S7-08-22, S7-09-22, S7-10-
22, S7-13-22, S7-16-22, S7-17-22, S7-18-22]
RINs 3235-AK77, 3235-AM34, 3235-AM72, 3235-AM80, 3235-AM87, 3235-AM89, 
3235-AM90, 3235-AM94, 3235-AM95, 3235-AM96, 3235-AN01, 3235-AN07


Resubmission of Comments and Reopening of Comment Periods for 
Several Rulemaking Releases Due to a Technological Error in Receiving 
Certain Comments

AGENCY: Securities and Exchange Commission.

ACTION: Proposed rules; resubmission of comment letters; reopening of 
comment periods.

-----------------------------------------------------------------------

SUMMARY: Due to a technological error, a number of public comments 
submitted through the Securities and Exchange Commission's 
(``Commission'' or ``SEC'') internet comment form were not received by 
the Commission. The majority of the affected comments were submitted in 
August 2022; however, the technological error is known to have occurred 
as early as June 2021. All commenters who submitted a public comment to 
one of the affected comment files through the internet comment form 
between June 2021 and August 2022 are advised to check the relevant 
comment file posted on SEC.gov to determine whether their comment was 
received and posted. If a comment has not been posted, commenters 
should resubmit that comment by following the instructions provided 
below. To further ensure that interested persons, including any 
affected commenters, have the opportunity to comment on the affected 
releases or to resubmit comments, the Commission is reopening the 
comment periods for certain Commission rulemaking releases listed 
herein (collectively, ``Rulemaking Releases'').

DATES: The comment periods for the Rulemaking Releases, published at 86 
FR 69802 (Dec. 8, 2021) (reopened at 87 FR 11659 (March 2, 2022)), 87 
FR 6652 (Feb. 4, 2022), 87 FR 7248 (Feb. 8, 2022), 87 FR 8443 (Feb. 15, 
2022), 87 FR 14950 (Mar. 16, 2022), 87 FR 16590 (Mar. 23, 2022), 87 FR 
16886 (Mar. 24, 2022) (reopened at 87 FR 29059 (May 12, 2022)), 87 FR 
21334 (Apr. 11, 2022) (reopened at 87 FR 29059 (May 12, 2022)), 87 FR 
29458 (May 13, 2022), 87 FR 36594 (June 17, 2022), 87 FR 36654 (June 
17, 2022), and 87 FR 37254 (June 22, 2022), are reopened until November 
1, 2022.

ADDRESSES: Comments may be submitted by any of the following methods:

Electronic Comments

     Use the Commission's internet comment form (https://www.sec.gov/rules/submitcomments.htm).
     Send an email to [email protected].

Paper Comments

     Send paper comments to Vanessa A. Countryman, Secretary, 
Securities and Exchange Commission, 100 F Street NE, Washington, DC 
20549-1090.

Please include the file number for the specific action being commented 
upon. 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 of submission. The Commission 
will post all comments on the Commission's website (https://www.sec.gov/rules/proposed.shtml). Comments are also 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 a.m. and 3 p.m. Operating conditions may limit access 
to the Commission's Public Reference Room. 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.

FOR FURTHER INFORMATION CONTACT: J. Matthew DeLesDernier, Deputy 
Secretary, Office of the Secretary, at (202) 551-5400, Securities and 
Exchange Commission, 100 F Street NE, Washington, DC 20549-1090, or by 
email at [email protected].

SUPPLEMENTARY INFORMATION: Due to a technological error, a number of 
public comments submitted through the Commission's internet form for 
the submission of comment letters \1\ were not received by the 
Commission and therefore were not posted in the relevant comment file. 
The majority of the affected comments were submitted in August 2022; 
however, a relatively small number of affected comments date from 
earlier months, and the technological error is known to have occurred 
as early as June 2021. The vast majority of the affected comments have 
now been received by the Commission and posted. To date, the staff's 
review of the available information indicates that the error only 
affected the comment files for the Rulemaking Releases and self-
regulatory organization (``SRO'') matters identified in the tables 
below.\2\ Commenters who submitted a public comment to any of these 
files through the internet comment form between June 2021 and August 
2022 are advised to check the relevant comment file posted on SEC.gov 
to determine whether their comment was received and posted. If a 
comment has not been posted, commenters should resubmit that comment. 
Any resubmitted comment will be treated as if it were received on its 
original submission date. Comments already received and posted on the 
Commission website need not be resubmitted. If commenters have 
questions or concerns about whether their comment was received by the 
Commission, they should contact the SEC staff at the address, telephone 
number, or email address listed above.
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    \1\ https://www.sec.gov/rules/submitcomments.htm.
    \2\ In the event the SEC staff determines that any other comment 
files were affected, the Commission will consider whether additional 
action is warranted.
---------------------------------------------------------------------------

    To further ensure that interested persons, including any affected 
commenters, have the opportunity to comment on the releases or to 
resubmit comments, the Commission is reopening the comment periods for 
the following Rulemaking Releases, which SEC staff

[[Page 63017]]

have identified as having comment files that were potentially affected 
by the technological error, until November 1, 2022:

------------------------------------------------------------------------
    Release title and identifying
    information (including Federal        Date comment period closed *
      Register publication date)
------------------------------------------------------------------------
Reporting of Securities Loans          April 1, 2022.
 (Release No. 34-93613; File No. S7-
 18-21), 86 FR 69802 (Dec. 8, 2021).
Prohibition Against Fraud,             March 21, 2022.
 Manipulation, or Deception in
 Connection with Security-Based
 Swaps; Prohibition against Undue
 Influence over Chief Compliance
 Officers; Position Reporting of
 Large Security-Based Swap Positions
 (Release No. 34-93784; File No. S7-
 32-10), 87 FR 6652 (Feb. 4, 2022).
Money Market Fund Reforms (Release     April 11, 2022.
 No. IC-34441; File No. S7-22-21), 87
 FR 7248 (Feb. 8, 2022).
Share Repurchase Disclosure            April 1, 2022.
 Modernization (Release Nos. 34-
 93783, IC-34440; File No. S7-21-21),
 87 FR 8443 (Feb. 15, 2022).
Short Position and Short Activity      April 26, 2022.
 Reporting by Institutional
 Investment Managers (Release No. 34-
 94313; File No. S7-08-22), 87 FR
 14950 (Mar. 16, 2022); see also
 Notice of the Text of the Proposed
 Amendments to the National Market
 System Plan Governing the
 Consolidated Audit Trail for
 Purposes of Short Sale-Related Data
 Collection (Release No. 34-94314;
 File No. S7-08-22), 87 FR 15022
 (Mar. 16, 2022).
Cybersecurity Risk Management,         May 9, 2022.
 Strategy, Governance, and Incident
 Disclosure (Release Nos. 33-11038,
 34-94382, IC-34529; File No. S7-09-
 22), 87 FR 16590 (Mar. 23, 2022).
Private Fund Advisers; Documentation   June 13, 2022.
 of Registered Investment Adviser
 Compliance Reviews (Release No. IA-
 5955; File No. S7-03-22), 87 FR
 16886 (Mar. 24, 2022).
The Enhancement and Standardization    June 17, 2022.
 of Climate-Related Disclosures for
 Investors (Release Nos. 33-11042, 34-
 94478; File No. S7-10-22), 87 FR
 21334 (Apr. 11, 2022).
Special Purpose Acquisition            June 13, 2022.
 Companies, Shell Companies, and
 Projections (Release Nos. 33-11048,
 34-94546, IC-34549; File No. S7-13-
 22), 87 FR 29458 (May 13, 2022).
Investment Company Names (Release      August 16, 2022.
 Nos. 33-11067, 34-94981, IC-34593;
 File No. S7-16-22), 87 FR 36594
 (June 17, 2022).
Enhanced Disclosures by Certain        August 16, 2022.
 Investment Advisers and Investment
 Companies About Environmental,
 Social, and Governance Investment
 Practices (Release Nos. 33-11068, 34-
 94985, IA-6034, IC-34594; File No.
 S7-17-22), 87 FR 36654 (June 17,
 2022).
Request for Comment on Certain         August 16, 2022.
 Information Providers Acting as
 Investment Advisers (Release Nos. IA-
 6050, IC-34618; File No. S7-18-22),
 87 FR 37254 (June 22, 2022).
------------------------------------------------------------------------
* With respect to releases that were previously reopened for public
  comment, the date in this column reflects the close of the most recent
  comment period.

    The technological error also may have affected certain comments 
with respect to the following SRO matters. The Commission will evaluate 
any comments resubmitted with respect to these matters and consider 
whether further action is warranted.

------------------------------------------------------------------------
             File No.                         File description
------------------------------------------------------------------------
SR-BOX-2022-08....................  BOX Exchange LLC; Proposed Rule
                                     Change, as Modified by Amendment
                                     No. 1, to Amend Rule 12140
                                     (Imposition of Fines for Minor Rule
                                     Violations), to Expand the List of
                                     Violations Eligible for Disposition
                                     under the Exchange's Minor Rule
                                     Violation Plan and to Update the
                                     Fine Schedule Applicable to Minor
                                     Violations of Certain Rules.
SR-CboeBZX-2021-083...............  Cboe BZX Exchange, Inc.; Proposed
                                     Rule Change, as Modified by
                                     Amendment No. 2, to Amend Rule
                                     25.3, Which Governs the Exchange's
                                     Minor Rule Violation Plan, in
                                     Connection with Certain Minor Rule
                                     Violations and Applicable Fines.
SR-FINRA-2022-017.................  Financial Industry Regulatory
                                     Authority, Inc.; Proposed Rule
                                     Change to Amend FINRA Rule 6750
                                     Regarding the Publication of
                                     Aggregated Transaction Information
                                     on U.S. Treasury Securities.
SR-FINRA-2022-024.................  Financial Industry Regulatory
                                     Authority, Inc.; Proposed Rule
                                     Change To Amend the Codes of
                                     Arbitration Procedure to Modify the
                                     Current Process Relating to the
                                     Expungement of Customer Dispute
                                     Information.
SR-MEMX-2021-10...................  MEMX LLC; Proposed Rule Change to
                                     Establish a Retail Midpoint
                                     Liquidity Program.
SR-NYSEARCA-2022-52...............  NYSE Arca, Inc.; Proposed Rule
                                     Change to Amend Rule 6.64P-O.
SR-NYSENAT-2021-19................  NYSE National, Inc.; Proposed Rule
                                     Change to Extend the Pilot Related
                                     to the Market-Wide Circuit Breaker
                                     in Rule 7.12.
SR-OCC-2022-802...................  The Options Clearing Corporation;
                                     Advance Notice Related to a Master
                                     Repurchase Agreement as Part of The
                                     Options Clearing Corporation's
                                     Overall Liquidity Plan.
------------------------------------------------------------------------


    By the Commission.
    Dated: October 7, 2022.
Vanessa A. Countryman,
Secretary.
[FR Doc. 2022-22295 Filed 10-17-22; 8:45 am]
BILLING CODE 8011-01-P