[Federal Register Volume 88, Number 209 (Tuesday, October 31, 2023)]
[Notices]
[Pages 74544-74547]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-23940]



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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-98798; File No. SR-NYSEAMER-2023-49]


Self-Regulatory Organizations; NYSE American LLC; Notice of 
Filing and Immediate Effectiveness of Proposed Change To Delete Legacy 
Disciplinary Rules 475, 476, 476A, and 477 and Make Conforming Changes 
to Rule 41, Rules 8001, 8130(d), 8320(d), 9001, 9216(b)(1), 9810(a), 
and 781 of the Office Rules, Rules 2A, 12E, 3170(a)(3), 902NY and Adopt 
a New Rule 600 and Make Conforming Changes to Rules 3170(C)(3), and 
Adopt a New Rule 601

October 25, 2023.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that 
on October 13, 2023, NYSE American LLC (``NYSE American'' 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 Exchange. 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\ 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 to (1) delete legacy disciplinary Rules 475, 
476, 476A, and 477 of the Office Rules as obsolete and make conforming 
changes to Rule 41 of the General Rules, Rules 8001, 8130(d), 8320(d), 
9001, 9216(b)(1), 9810(a), and 781 of the Office Rules, Rules 2A, 12E, 
and 3170(a)(3) of the Equities Rules, and Rule 902NY of the Options 
Rules; (2) adopt a new Rule 600 of the Office Rules incorporating the 
substantive violations currently in Rule 476(a) without change and make 
conforming changes to Rules 3170(C)(3)--Equities and 9217 of the Office 
Rules; and (3) adopt a new Rule 601 of the Office Rules similar to Cboe 
Exchange, Inc. Rule 13.11, Supplementary Material .01. The proposed 
rule change is available on the Exchange's website at www.nyse.com, 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 
Statutory Basis for, the Proposed Rule Change

1. Purpose
    The Exchange proposes to (1) delete legacy disciplinary Rules 475, 
476, 476A, and 477 of the Office Rules as obsolete and make conforming 
changes to Rule 41 of the General Rules, Rules 8001, 8130(d), 8320(d), 
9001, 9216(b)(1), 9810(a), and 781 of the Office Rules, Rules 2A, 12E, 
and 3170(a)(3) of the Equities Rules, and Rule 902NY of the Options 
Rules; (2) adopt a new Rule 600 of the Office Rules incorporating the 
substantive violations currently in Rule 476(a) without change and make 
conforming changes to Rules 3170(C)(3)--Equities and 9217 of the Office 
Rules; and (3) adopt a new Rule 601 of the Office Rules setting forth 
sanctions guidelines similar to Cboe Exchange, Inc. (``Cboe'') Rule 
13.11 (Judgment and Sanctions), Supplementary Material .01.
Background and Proposed Rule Change
    In 2016, the Exchange adopted rules relating to investigation, 
discipline, and sanctions, and other procedural rules based on the 
rules of its affiliate New York Stock Exchange LLC and the Financial 
Industry Regulatory Authority (``FINRA'').\3\ The Exchange represented 
in that filing that when the transition to the new disciplinary rules 
was complete and there were no longer any member organizations or 
persons subject to Rules 475, 476, 476A, and 477 of the Office Rules, 
the Exchange would submit a proposed rule change that would delete such 
rules (except for the listed offenses under Rule 476(a)).\4\ The 
Exchange represents that the transition to the new disciplinary rules 
is complete and there are no longer any member organizations or persons 
subject to Rules 475, 476, 476A, and 477, and that those rules can 
therefore be deleted as obsolete.
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    \3\ See Securities Exchange Act Release No. 77241 (February 26, 
2016), 81 FR 11311 (March 3, 2016) (SR-NYSEMKT-2016-30) (``Release 
No. 77241'') (Notice of Filing and Immediate Effectiveness of 
Proposed Rule Change Adopting Investigation, Disciplinary, Sanction, 
and Other Procedural Rules Modeled on the Rules of the New York 
Stock Exchange LLC and Certain Conforming and Technical Changes).
    \4\ See id., 81 FR at 11318.
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    The Exchange proposes conforming changes to the following rules 
that contain references to one or more of the rules proposed to be 
deleted:
General Rules
     Rule 41 (Failure to Pay Exchange Fees)
Office Rules
 Rule 9216(b)(1) (Acceptance, Waiver, and Consent; Procedure 
for Imposition of Fines for Minor Violation(s) of Rules)
 Rule 9810(a) (Initiation of Proceeding), and
 Rule 781 (Insolvency)
Equities Rules
 Rules 2A (Jurisdiction)
 Rule 12E (Arbitration), and
 Rule 3170(a)(3) (Tape Recording of Registered Persons by 
Certain Firms)
Options Rules
 Rule 902NY (Admission and Conduct on the Options Trading 
Floor)

    The following rules in the General Rules reflecting the transition 
from the legacy disciplinary rules to the current rule set would be 
deleted in their entirety:
     Rule 8130(d) (Retention of Jurisdiction);
     Rule 8320(d) (Payment of Fines, Other Monetary Sanctions, 
or Costs; Summary Action for Failure to Pay); Rule 8001 (Effective Date 
of Rule 8000 Series); and
     Rule 9001 (Effective Date of Rule 9000 Series).
    Section 9A of the Office Rules titled ``Legacy Disciplinary Rules'' 
where Rules 475, 476, 476A, and 477 are currently set forth would also 
be deleted.
    Section 9B of the Office Rules where the Rule 8000 and Rule 9000 
Series are currently set forth would become Section 10. The remaining 
headings--current Sections 10 (Advertising), 11 (Wires and Other Means 
of Communication), 12 (Reports), 13 (Secondary Distributions), 14 
(Special Offerings and Special Bids), 15 (Exchange Distributions and 
Exchange Acquisitions), and 16 (Proxies)--would be renumbered.

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    Finally, Rule 478T, currently marked ``Deleted'', would be removed 
as obsolete.
    In connection with the deletion of Rule 476, the Exchange also 
proposes two new Rules that would be located in a new Section 18 titled 
``Offenses and Sanctions Guidelines.''
    First, the Exchange would adopt new Rule 600 titled ``Other 
Offenses'' that would, consistent with its filing adopting its current 
disciplinary rules modeled on the NYSE and FINRA rules, retain the 
listed offenses in Rule 476(a)(1)-(11) without substantive change. 
Proposed Rule 600 would provide that a member, member organization, 
principal executive, approved person, registered or non-registered 
employee of a member or member organization or person otherwise subject 
to the jurisdiction of the Exchange violates the provisions of the Rule 
if it commits any of the enumerated offenses, which would be transposed 
from Rule 476(a) in the same order and without changes except for Rule 
476(a)(8), which is marked ``Reserved.'' The Exchange further proposes 
conforming changes to the following rules to replace references to Rule 
476(a) with references to Rule 600: Rules 3170(C)(3)--Equities (Tape 
Recording of Registered Persons by Certain Firms) and Rule 9217 
(Violations Appropriate for Disposition Under Rule 9216(b)).
    Second, the Exchange would adopt new Rule 601 titled ``Sanction 
Guidelines'' that would incorporate sanctions guidelines similar to 
Cboe Rule 13.11, Supplementary Material .01, in place of the Sanction 
Guidelines in Rule 476, Supplementary Material .10.
    The current Sanction Guidelines in Rule 476.10 were adopted 
pursuant to the provisions of Section IV.B.i of the Commission's 
September 11, 2000 Order Instituting Administrative Proceedings 
Pursuant to Section 19(h)(1) of the Act (the ``2000 Order''), which 
required the Exchange to adopt rules establishing, or modifying 
existing, sanctioning guidelines such that they are reasonably designed 
to effectively enforce compliance with options order handling rules, 
including the duty of best execution with respect to the handling of 
orders after the broker-dealer routes the order to such respondent 
exchange, limit order display, priority, firm quote, and trade 
reporting rules.\5\
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    \5\ See Securities Exchange Act Release Nos. 45412 (February 7, 
2002), 67 FR 6770 (February 13, 2002) (Notice); 45566 (March 15, 
2002), 67 FR 13379 (March 22, 2002) (SR-Amex-2001-68) (Order). See 
generally Securities Exchange Act Release No. 43268 (September 11, 
2000), Administrative Proceeding File No. 3-10282.
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    Unlike other exchanges subject to the 2000 Order,\6\ the Exchange 
incorporated specific fine ranges in its sanctions guidelines for 
violations (other than minor rule violations) setting forth the 
principal considerations to be applied to the resolution of 
disciplinary matters. The specific fine ranges incorporated into the 
guidelines have remained static and, in many instances, set forth 
recommended fine levels for rules that have been superseded and 
deleted.\7\ For the remaining operative rules, such as Rule 16 
(Business Conduct), 995NY (Prohibited Conduct) and 975NY (Nullification 
and Adjustment of Options Transactions including Obvious Errors), the 
fine ranges have largely been eclipsed as the disciplinary landscape 
evolves.\8\ In short, the Exchange believes that, more than two decades 
after they were adopted, the monetary sanctions ranges are no longer 
necessary or useful in determining appropriate sanctions in a given 
case.
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    \6\ See, e.g., Securities Exchange Act Release Nos. 45427 
(February 8, 2002), 67 FR 6958 (February 14, 2002) (Notice); 45571 
(March 15, 2002), 67 FR 13382 (March 22, 2002) (SR-CBOE-2001-71) 
(Order Granting Accelerated Approval of Proposed Rule Change and 
Notice of Filing and Order Granting Accelerated Approval of 
Amendment No. 1 Thereto by the Chicago Board Options Exchange, Inc. 
To Incorporate Certain Principal Considerations in Determining 
Sanctions and To Incorporate in the Exchange's Minor Rule Violation 
Plan Violations of the Exchange's Order Handling Rules).
    \7\ These rules include former Rules 958A, 111, 126, 155, 950, 
and 958. For instance, Rule 958A governing application of the firm 
quote rule was superseded by Rule 970NY in 2008 and deleted in 2009. 
Similarly, Section 900NY replaced former Rules 950 (Rules of General 
Applicability) and 958 (Options Transactions of Registered Traders) 
in 2008 and were also deleted in 2009. See generally Securities 
Exchange Act Release No. 59472 (February 27, 2009), 74 FR 9843 
(March 6, 2009) (SR-NYSEALTR-2008-14) (Notice of Filing of Amendment 
No. 1 and Order Granting Accelerated Approval of the Proposed Rule 
Change, as Modified by Amendment No. 1 Thereto, To Establish Rules 
for the Trading of Listed Options); Securities Exchange Act Release 
No. 59454 (February 25, 2009), 74 FR 9461 (March 9, 2009) (SR-
NYSEALTR-2009-17) (Notice of Filing and Immediate Effectiveness of 
Proposed Rule Change by NYSE Alternext U.S. LLC To Delete Certain 
Rules Governing the Trading of Listed Options).
    \8\ For example, the guideline for Rule 16 violations is $1,000 
to $5,000. In 2013, a respondent consented to a $50,000 fine for a 
violation of Rule 16. See SG Americas Securities (NYSE American 
Matter No. 13-NYSEMKT-4). In 2020, the fine for a similar violation 
was $95,000--nearly 20 times the top of the guideline range. See 
Citigroup Global Markets Inc. (NYSE American Matter No. 2017-11-
00111).
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    The Exchange accordingly believes that adopting a new rule that 
continues to reflect a principles-based approach to sanctions 
guidelines applicable to all options rules that does not contain 
specific recommended fine ranges for a subset of rules would modernize 
and update the rule in important respects while continuing to provide 
flexible guidelines for determining appropriate remedial sanctions 
consistent with the intention of the original rule.\9\ The principles-
based guidelines contained in Cboe Rule 13.11 that the Exchange 
proposes to adopt are similar to those set forth in the current 
guidelines. However, because Cboe Rule 13.11 takes a more streamlined 
approach, the Exchange believes the proposed rule more clearly and 
succinctly sets forth current relevant considerations regarding the 
adjudication of disciplinary actions. Further, the Exchange believes 
that the proposed rule would be consistent with the 2000 Order because 
the proposal would closely track approved Cboe Rule 13.11 that was also 
adopted to satisfy the Commission's order. Indeed, by modernizing and 
updating the Exchange's sanctions guidelines, proposed Rule 601 would 
further enhance its disciplinary processes consistent with the 2000 
Order. Finally, the proposed rule would promote regulatory consistency 
across options exchanges in determining appropriate remedial sanctions 
for violations of options rules.
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    \9\ See 67 FR at 6771.
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    Like current Rule 476.10, proposed Rule 601 would not apply to the 
equities market.\10\ As such, Rule 601 would carry forward the current 
practice under Rule 476.10 whereby the various bodies with 
responsibility for the adjudication of disciplinary actions, including 
Hearing Panels, Hearing Officers, the Committee for Review (``CFR''), 
and the Board of Directors (``Board''), defined in the proposed Rule 
collectively as ``Adjudicatory Bodies,'' \11\ would consider relevant 
Exchange precedent or such other precedent as they deem appropriate in 
determining sanctions imposed against ATP Holders or ATP Firms and 
their covered persons.
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    \10\ See note 6, supra.
    \11\ The Exchange proposes to add two terms to the definition of 
``Adjudicatory Bodies'': ``Extended Hearing Panels,'' which are 
provided for in the Exchange's disciplinary rules, and Chief 
Regulatory Officer (``CRO''), given the CRO's role in the 
disciplinary and settlement processes.
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    The remainder of the proposed Rule, with the following exceptions, 
would be substantially the same as Cboe Rule 13.11.01:
     First, the second paragraph in the proposed Rule would 
transpose the updated definition of ``Adjudicatory Bodies'' \12\ from 
the second paragraph of

[[Page 74546]]

current Rule 476.10(A) and the last two sentences of the third 
paragraph of current Rule 476.10(A).
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    \12\ See note 10, supra.
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     Second, references to ``Cboe Options Trading Permit 
Holders'' in Cboe Rule 13.11.01 would be replaced with ``ATP Holders or 
ATP Firms'' to reflect the Exchange's membership.
     Third, in proposed Rule 601(d), the Exchange would omit 
the second sentence in Cboe Rule 13.11.01(d), which is duplicative of 
the first sentence that the Exchange would retain.
     Fourth, in proposed Rule 601(e), the Exchange would omit 
the first sentence of Cboe Rule 13.11.01(e), which provides that 
``Aggregation of violations may be appropriate in certain instances for 
purposes of determining sanctions,'' as redundant of the second 
sentence of Cboe Rule 13.11.01(e), which the Exchange would retain.
     Fifth, in proposed Rule 601(f), the Exchange would omit 
the first sentence of Cboe Rule 13.11.01(f), which provides that ``The 
Hearing Panel or the CRO, as applicable, should evaluate 
appropriateness of disgorgement and/or restitution,'' as redundant of 
the sentence of Cboe Rule 13.11.01(f), which the Exchange would retain.
    Finally, consistent with the Exchange's desire to adopt 
streamlined, principles-based sanctions guidelines along the lines set 
forth in Cboe Rule 13.11.01, the Exchange would not carry forward the 
specific recommended monetary and non-monetary sanctions applicable to 
certain specific rule violations found in current Rule 476.10.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent 
with Section 6(b)(5) of the Act,\13\ in that 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. In addition, the Exchange believes 
that the proposed rule change furthers the objectives of Section 
6(b)(7) of the Act,\14\ in particular, in that it provides fair 
procedures for the disciplining of members and persons associated with 
members,\15\ the denial of membership to any person seeking membership 
therein, the barring of any person from becoming associated with a 
member thereof, and the prohibition or limitation by the Exchange of 
any person with respect to access to services offered by the Exchange 
or a member thereof.
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    \13\ 15 U.S.C. 78f(b)(5).
    \14\ 15 U.S.C. 78f(b)(7).
    \15\ Under the Exchange's equities rules, the equivalent to the 
term ``member'' in this context is ``member organization.'' 
References to ``member'' and ``member organization'' as those terms 
are used in the rules of the Exchange include ATP Holders. See Rules 
18, 24 & 900.2NY(5). See Release No. 77241, 81 FR 11318, notes 25-
26, & 11334, n. 75.
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    Specifically, the Exchange believes that deletion of the obsolete 
legacy disciplinary rules now that there are no longer any member 
organizations or persons subject to those rules, and making conforming 
changes to the rules referencing those legacy disciplinary rules, would 
increase the clarity and transparency of the Exchange's rules and 
remove impediments to and perfect the mechanism of a free and open 
market by ensuring that persons subject to the Exchange's jurisdiction, 
regulators, and the investing public could more easily navigate and 
understand the Exchange Bylaws and rules. The Exchange further believes 
that the proposed amendments would not be inconsistent with the public 
interest and the protection of investors because investors will not be 
harmed and in fact would benefit from increased transparency and 
clarity, thereby reducing potential confusion.
    The Exchange further believes that retaining the substantive 
offenses in Rule 476(a) without change is designed to prevent 
fraudulent and manipulative acts and practices by permitting the 
Exchange to continue to carry out its oversight and enforcement 
responsibilities with respect to the substantive provisions currently 
enumerated in Rule 476(a). For the same reasons, retention of those 
provisions would not be inconsistent with the public interest and the 
protection of investors.
    Finally, the Exchange believes that adopting sanction guidelines 
similar to Cboe Rule 13.11.01 with only non-substantive, conforming 
changes that do not contain specific recommended fine ranges for a 
subset of rules would continue to permit the Exchange to impose 
sanctions consistently and fairly by reference to a streamlined rule, 
thereby continuing to provide fair procedures for the disciplining of 
members and persons associated with members, the denial of membership 
to any person seeking Exchange membership, the barring of any person 
from becoming associated with a member, and the prohibition or 
limitation by the Exchange of any person with respect to access to 
services offered by the Exchange or a member thereof pursuant to 
Section 6(b)(7) \16\ of the Act.
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    \16\ 15 U.S.C. 78f(b)(7).
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    The proposed rule would provide flexible and appropriate 
principles-based guidelines applicable to all options rules for 
determining remedial sanctions consistent with the intention of the 
Exchange's current sanctions guidelines rule.\17\ However, the Exchange 
believes that dispensing with recommended fine ranges would modernize 
and update the rule in important respects. As noted, there are 
currently fine ranges for numerous rules that have been superseded or 
deleted, and the fine ranges for the remaining operative rules do not 
reflect more recent regulatory considerations and fine levels. 
Moreover, by adopting Cboe Rule 13.11's more streamlined approach to 
sanctions guidelines, the Exchange believes the proposed rule would 
more clearly and succinctly set forth the current relevant 
considerations regarding the adjudication of disciplinary actions. 
Further, the Exchange believes that the proposed rule would also be 
consistent with the 2000 Order because the proposal would closely track 
approved Cboe Rule 13.11 that was adopted to satisfy the same 
Commission order. Indeed, the Exchange believes that by modernizing and 
updating its sanctions guidelines, proposed Rule 601 would further 
enhance its disciplinary processes consistent with the 2000 Order and 
further ensure that the Exchange implements the most appropriate 
disciplinary mechanisms for violations and a fair process in 
determining same. Finally, the proposed rule would promote regulatory 
consistency and uniformity across options exchanges in determining 
appropriate remedial sanctions and the imposition of penalties.
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    \17\ See 67 FR at 6771.
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B. Self-Regulatory Organization's Statement on Burden on Competition

    The Exchange does not believe that the proposed rule change will 
impose any burden on competition that is not necessary or appropriate 
in furtherance of the purposes of the Exchange Act. The proposed rule 
change is not intended to address competitive issues but rather is 
concerned solely with deleting obsolete rules and making related and 
conforming changes.

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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 \18\ and Rule 19b-4(f)(6) thereunder.\19\ 
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.\20\
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    \18\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \19\ 17 CFR 240.19b-4(f)(6).
    \20\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii) 
requires a self-regulatory organization to give the Commission 
written notice of its intent to file the proposed rule change, along 
with a brief description and text of the proposed rule change, at 
least five business days prior to the date of filing of the proposed 
rule change, or such shorter time as designated by the Commission. 
The Exchange has satisfied this requirement.
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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) \21\ of the Act to determine whether the proposed 
rule change should be approved or disapproved.
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    \21\ 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

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to [email protected]. Please include 
file number SR-NYSEAMER-2023-49 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.

All submissions should refer to file number SR-NYSEAMER-2023-49. 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/sro.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 a.m. and 3 p.m. 
Copies of the filing also will be available for inspection and copying 
at the principal office of the Exchange. 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 SR-NYSEAMER-2023-49 and should be submitted on or 
before November 21, 2023.

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\22\
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    \22\ 17 CFR 200.30-3(a)(12).
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Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-23940 Filed 10-30-23; 8:45 am]
BILLING CODE 8011-01-P