[Federal Register Volume 87, Number 158 (Wednesday, August 17, 2022)]
[Notices]
[Pages 50680-50684]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-17667]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-95477; File No. SR-NYSECHX-2022-19]


Self-Regulatory Organizations; NYSE Chicago, Inc.; Notice of 
Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize 
Rules 10.9261 and 10.9830 With Recent Changes by the Financial Industry 
Regulatory Authority, Inc.

August 11, 2022.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of 
1934 (``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby given 
that on July 29, 2022, the NYSE Chicago, Inc. (``NYSE Chicago'' or the 
``Exchange'') filed with the Securities and Exchange Commission (the 
``Commission'') the proposed rule change as described in Items I and II 
below, which Items have been prepared by the self-regulatory 
organization. The Commission is publishing this notice to solicit 
comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance 
of the Proposed Rule Change

    The Exchange proposes to harmonize Rules 10.9261 and 10.9830 with 
recent changes by the Financial Industry Regulatory Authority, Inc. 
(``FINRA'') that temporarily grants the Chief or Deputy Chief Hearing 
Officer the authority to order that hearings be conducted by video 
conference if warranted by public health risks posed by in-person 
hearings during the ongoing novel coronavirus (``COVID-19'') pandemic. 
As proposed, these temporary amendments would be in effect through 
October 31, 2022. 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 the 
Statutory Basis for, the Proposed Rule Change

1. Purpose
    The Exchange proposes to harmonize Rules 10.9261 (Evidence and 
Procedure in Hearing) and 10.9830 (Hearing) with recent changes by 
FINRA to its Rules 9261 and 9830 that temporarily grants to the Chief 
or Deputy Chief Hearing Officer the authority to order that hearings be 
conducted by video conference if warranted by public health risks posed 
by in-person hearings during the ongoing COVID-19 pandemic. As 
proposed, these temporary amendments would be in effect through October 
31, 2022.\4\
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    \4\ The Exchange may submit a separate rule filing to extend the 
expiration date of the proposed temporary amendments if the Exchange 
requires temporary relief from the rule requirements identified in 
this proposal beyond October 31, 2022. The amended NYSE Chicago 
rules will revert back to their original [current] [sic] state at 
the conclusion of the temporary relief period and any extension 
thereof.
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Background
    In 2022, NYSE Chicago adopted disciplinary rules that are, with 
certain exceptions, substantially the same as the disciplinary rules of 
its affiliate NYSE Arca, Inc., which are in turn substantially similar 
to the FINRA Rule

[[Page 50681]]

8000 Series and Rule 9000 Series, and which set forth rules for 
conducting investigations and enforcement actions.\5\
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    \5\ See Securities Exchange Act Release No. 95020 (June 1, 
2022), 87 FR 35034, (June 8, 2022) (SR-NYSECHX-2022-10) (Notice of 
Filing and Immediate Effectiveness of Proposed Rule Change to Adopt 
Investigation, Disciplinary, Sanction, and Other Procedural Rules 
Modeled on the Rules of the Exchange's Affiliates) (``2022 Notice of 
Disciplinary Rules'').
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    In adopting disciplinary rules modeled on FINRA's rules, NYSE 
Chicago adopted the hearing and evidentiary processes set forth in Rule 
10.9261 and in Rule 10.9830 for hearings in matters involving temporary 
and permanent cease and desist orders under the Rule 9800 Series. As 
adopted, the text of Rule 10.9261 and Rule 10.9830 are substantially 
the same as the FINRA rules with certain modifications.\6\
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    \6\ See id.
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    In 2020, in view of the ongoing spread of COVID-19 and its effect 
on FINRA's adjudicatory functions nationwide, FINRA filed a temporary 
rule change to grant FINRA's Office of Hearing Officers (``OHO'') and 
the National Adjudicatory Council (``NAC'') the authority to conduct 
certain hearings by video conference, if warranted by the current 
COVID-19-related public health risks posed by in-person hearings. Among 
the rules FINRA amended were Rules 9261 and 9830.\7\
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    \7\ See Securities Exchange Act Release Nos. 83289 (September 2, 
2020), 85 FR 55712 (September 9, 2020) (SR-FINRA-2020-027) 
(``Initial FINRA Filing''). FINRA also proposed to temporarily amend 
FINRA Rules 1015 and 9524. FINRA Rule 1015 governs the process by 
which an applicant for new or continuing membership can appeal a 
decision rendered by FINRA's Department of Member Supervision under 
FINRA Rule 1014 or 1017 and request a hearing which would be 
conducted by a subcommittee of the NAC. See id. at 55714. The 
Exchange has not adopted FINRA Rule 1015. FINRA Rule 9524 governs 
the process by which a statutorily disqualified member firm or 
associated person can appeal the Department's recommendation to deny 
a firm or sponsoring firm's application to the NAC. See id. Under 
the Exchange's version of Rule 10.9524, if the CRO rejects the 
application, the ETP Holder or applicant may request a review by the 
Exchange Board of Directors. This differs from FINRA's process, 
which provides for a hearing before the NAC and further 
consideration by the FINRA Board of Directors.
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    FINRA represented in its filing that its protocol for conducting 
hearings by video conference would ensure that such hearings maintain 
fair process for the parties by, among other things, FINRA's use of a 
high quality, secure and user-friendly video conferencing service and 
provide thorough instructions, training and technical support to all 
hearing participants.\8\ According to FINRA, the proposed changes were 
a reasonable interim solution to allow FINRA's critical adjudicatory 
processes to continue to function while protecting the health and 
safety of hearing participants as FINRA works towards resuming in-
person hearings in a manner that is compliant with the current guidance 
of public health authorities.\9\
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    \8\ See Initial FINRA Filing, 85 FR at 55713.
    \9\ See id.
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    Since the Initial FINRA Filing (in 2020), FINRA periodically 
extended the temporary relief as the COVID-19 pandemic and concerns 
surrounding its spread persisted.\10\ According to FINRA, even though 
it has been more than two years since the World Health Organization 
declared COVID-19 a pandemic, uncertainty still remains around this 
disease. The continued presence of COVID-19 variants including the 
quickly emerging Omicron BA.4 and BA.5 subvariants, dissimilar 
vaccination rates throughout the United States, and the current medium 
to high COVID-19 community levels in many states indicate that COVID-19 
remains an active and real public health concern.\11\
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    \10\ See, e.g., Securities Exchange Act Release No. 94430 (March 
16, 2022), 87 FR 16262 (March 22, 2022) (SR-FINRA-2022-004) (most 
recent extension of temporary relief until July 31, 2022).
    \11\ See Securities Exchange Act Release No. 95281 (July 14, 
2022), 87 FR 43335 (July 20, 2022) (SR-FINRA-2022-018) (``SR-FINRA-
2022-018''). FINRA noted that, for example, there has been a notable 
upward trend in the number of daily COVID-19 cases in the United 
States since April 1, 2022. See https://covid.cdc.gov/covid-data-tracker/#trends_dailycases. In addition, on June 9, 2022, the Biden 
Administration announced its operational plan for COVID-19 
vaccinations for children under the age of five. See https://www.whitehouse.gov/briefing-room/statements-releases/2022/06/09/fact-sheetbiden-administration-announces-operational-plan-for-covid-19-vaccinations-for-children-under-5/. See SR-FINRA-2022-018, 87 FR 
at 43335, n. 6.
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    Due to the uncertainty and the lack of a clear timeframe for a 
sustained and widespread abatement of COVID-19-related health concerns 
and corresponding restrictions,\12\ FINRA believes that there is a 
continued need for temporary relief beyond its most recent extension 
until July 31, 2022.\13\ On July 8, 2022, FINRA accordingly filed to 
extend the expiration date of the temporary rule amendments to, among 
other rules, FINRA Rule 9261 and 9830 from July 31, 2022, to October 
31, 2022.\14\
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    \12\ For instance, FINRA noted that the Centers for Disease 
Control and Prevention (``CDC'') recommends that people wear a mask 
in public indoor settings in areas with a high COVID-19 community 
level regardless of vaccination status or individual risk. See 
https://www.cdc.gov/coronavirus/2019-ncov/prevent-getting-sick/about-face-coverings.html. The CDC also recommends that people wear 
a mask in indoor areas of public transportation and transportation 
hubs to protect themselves and those around them and help keep 
travel and public transportation safer for everyone. See https://www.cdc.gov/coronavirus/2019-ncov/travelers/masks-public-transportation.html. Furthermore, numerous states currently have 
mask mandates in certain settings, such as healthcare and 
correctional facilities. See SR-FINRA-2022-018, 87 FR at 43335, n. 
7.
    \13\ See SR-FINRA-2022-018, 87 FR at 43335.
    \14\ See SR-FINRA-2022-018, 87 FR at 43335-36.
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    Pursuant to a regulatory services agreement (``RSA''), FINRA's 
Office of Hearing Officers will administer all aspects of 
adjudications, including assigning hearing officers to serve as NYSE 
Chicago hearing officers. A hearing officer from OHO will, among other 
things, preside over the disciplinary hearing, select and chair the 
hearing panel, and prepare and issue written decisions. The Chief or 
Deputy Hearing Officer for all Exchange disciplinary hearings are 
currently drawn from OHO and are all FINRA employees. The Exchange 
believes that OHO will utilize the same video conference protocol and 
processes for Exchange matters under the RSA as it proposes for FINRA 
matters.
    Given that FINRA and its Office of Hearing Officers administers 
disciplinary hearings on the Exchange's behalf, and given that the 
public health concerns addressed by FINRA's amendments apply equally to 
the Exchange's disciplinary hearings, the Exchange proposes to 
temporarily amend its disciplinary rules to allow FINRA to conduct 
virtual hearings on its behalf.
Proposed Rule Change
    Rule 10.9261(b) states that if a disciplinary hearing is held, a 
party shall be entitled to be heard in-person, by counsel, or by the 
party's representative. Absent an agreement by all parties to proceed 
in another manner, an Exchange disciplinary hearings are in-person. As 
noted, the Chief and Deputy Hearing Officers for all Exchange and 
cross-market matters are supplied by OHO and are FINRA employees. 
Accordingly, absent an agreement by all parties to proceed in another 
manner, under Rule 10.9261(b) the Chief or Deputy Hearing Officer 
conducts disciplinary hearings in-person.
    Similarly, Rule 10.9830 outlines the requirements for hearings for 
temporary and permanent cease and desist orders. Rule 10.9830(a), 
however, does not specify that a party shall be entitled to be heard 
in-person, by counsel, or by the party's representative.
    Consistent with FINRA's temporary amendment to FINRA Rules 9261 and 
9830, the Exchange proposes to temporarily grant the Chief or Deputy 
Chief Hearing Officer temporary authority to order, upon consideration

[[Page 50682]]

of the current COVID-19-related public health risks presented by an in-
person hearing, that a hearing under those rules be conducted by video 
conference. The proposed change will permit OHO to make an assessment, 
based on critical COVID-19 data and criteria and the guidance of health 
and security consultants, whether an in-person hearing would compromise 
the health and safety of the hearing participants such that the hearing 
should proceed by video conference. As noted, FINRA has adopted a 
detailed and thorough protocol to ensure that hearings conducted by 
video conference will maintain fair process for the parties.\15\ The 
Exchange believes that this is a reasonable procedure to follow in 
hearings under Rules 10.9261 and 10.9830 chaired by a FINRA 
employee.\16\
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    \15\ See Initial FINRA Filing, 85 FR at 55713.
    \16\ The Exchange notes, as did FINRA, that SEC's Rules of 
Practice pertaining to temporary cease-and-desist orders provide 
that parties and witnesses may participate by telephone or, in the 
Commission's discretion, through the use of alternative technologies 
that allow remote access, such as a video link. See SEC Rule of 
Practice 511(d)(3); Comment (d); see Initial FINRA Filing, 85 FR at 
55714, n. 21.
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    To effectuate these changes, the Exchange proposes to add the 
following sentence to Rule 10.9261(b):

    Upon consideration of the current public health risks presented 
by an in-person hearing, the Chief Hearing Officer or Deputy Chief 
Hearing Officer may, on a temporary basis, determine that the 
hearing shall be conducted, in whole or in part, by video 
conference.

    The proposed text is identical to the language adopted by 
FINRA.\17\
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    \17\ See Initial FINRA Filing, 85 FR at 55712.
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    Similarly, the Exchange proposes to add the following text to Rule 
10.9830(a):

    Upon consideration of the current public health risks presented 
by an in-person hearing, the Chief Hearing Officer or Deputy Chief 
Hearing Officer may, on a temporary basis, determine that the 
hearing shall be conducted, in whole or in part, by video 
conference.

    Once again, the proposed language is identical to the language 
adopted by FINRA.\18\
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    \18\ Id.
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    Consistent with FINRA's most recent filing, the Exchange proposes 
that these temporary amendments would be in effect through October 31, 
2022.\19\
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    \19\ See SR-FINRA-2022-018, 87 FR at 43337. See supra note 4.
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    As noted below, the Exchange has filed the proposed rule change for 
immediate effectiveness and has requested that the SEC waive the 
requirement that the proposed rule change not become operative for 30 
days after the date of the filing, so the Exchange can implement the 
proposed rule change immediately.
2. Statutory Basis
    The proposed rule change is consistent with Section 6(b) of the 
Act,\20\ in general, and furthers the objectives of Section 
6(b)(5),\21\ in particular, because it is designed to prevent 
fraudulent and manipulative acts and practices, to promote just and 
equitable principles of trade, to foster cooperation and coordination 
with persons engaged in facilitating transactions in securities, to 
remove impediments to, and perfect the mechanism of, a free and open 
market and a national market system and, in general, to protect 
investors and the public interest. Additionally, the Exchange believes 
the proposed rule change is designed to provide a fair procedure for 
the disciplining of members and persons associated with members, 
consistent with Sections 6(b)(7) and 6(d) of the Act.\22\
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    \20\ 15 U.S.C. 78f(b).
    \21\ 15 U.S.C. 78f(b)(5).
    \22\ 15 U.S.C. 78f(b)(7) and 78f(d).
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    The Exchange believes that the proposed rule change support the 
objectives of the Act by providing greater harmonization between 
Exchange rules and FINRA rules of similar purpose, resulting in less 
burdensome and more efficient regulatory compliance. As previously 
noted, the text of Rule 10.9261 and Rule 10.9830 is substantially the 
same as FINRA's rule. As such, the proposed rule change will foster 
cooperation and coordination with persons engaged in facilitating 
transactions in securities and will remove impediments to and perfect 
the mechanism of a free and open market and a national market system.
    The Exchange believes that the proposed temporary rule change will 
permit the Exchange to effectively conduct hearings during the COVID-19 
pandemic in situations where in-person hearings present likely public 
health risks. Given the current and frequently changing COVID-19 
conditions and the uncertainty around when those conditions will see 
meaningful, widespread and sustained improvement, without this relief 
allowing OHO to proceed by video conference, some or all hearings may 
have to be postponed.
    The ability to conduct hearings by video conference will thereby 
permit the adjudicatory functions of the Exchange's disciplinary rules 
to continue unabated, thereby avoiding protracted delays. The Exchange 
believes that this is especially important in matters where temporary 
and permanent cease and desist orders are sought because the proposed 
rule change would enable those hearings to proceed without delay, 
thereby enabling the Exchange to take immediate action to stop 
significant, ongoing customer harm, to the benefit of the investing 
public.
    Conducting hearings via video conference will give the parties and 
adjudicators simultaneous visual and oral communication without the 
risks inherent in physical proximity during a pandemic. Temporarily 
permitting hearings for disciplinary matters to proceed by video 
conference maintains fair process by providing respondents a timely 
opportunity to address and potentially resolve any allegations of 
misconduct.
    As noted, FINRA will use a high quality, secure video conferencing 
technology with features that will allow the parties to reasonably 
approximate those tasks that are typically performed at an in-person 
hearing, such as sharing documents, marking documents, and utilizing 
breakout rooms. FINRA will also provide training for participants on 
how to use the video conferencing platform and detailed guidance on the 
procedures that will govern such hearings. Moreover, the Chief or 
Deputy Chief Hearing Officer may take into consideration, among other 
things, a hearing participant's access to connectivity and technology 
in scheduling a video conference hearing and can also, at their 
discretion, allow a party or witness to participate by telephone, if 
necessary, to address such access issues.\23\
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    \23\ See text accompanying note 8, supra.
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    The Exchange believes that the temporary relief to permit hearings 
to be conducted via video conference maintains fair process and will 
continue to provide fair process consistent with Sections 6(b)(7) and 
6(d) of the Act \24\ while striking an appropriate balance between 
providing fair process and enabling the Exchange to fulfill its 
statutory obligations to protect investors and maintain fair and 
orderly markets while avoiding the COVID-19-related public health risks 
for hearing participants. The Exchange notes that this proposal 
provides only temporary relief, which would be in place through October 
31, 2022. As noted in herein (see supra note 4), the amended rules will 
revert back to their original state at the conclusion of the temporary 
relief

[[Page 50683]]

period and, if applicable, any extension thereof.
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    \24\ 15 U.S.C. 78f(b)(7) & 78f(d).
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    Accordingly, the proposed rule change extending this temporary 
relief is in the public interest and consistent with the Act's purpose.

B. Self-Regulatory Organization's Statement on Burden on Competition

    The Exchange does not believe that the proposed temporary rule 
change will impose any burden on competition that is not necessary or 
appropriate in furtherance of the purposes of the Act. The proposed 
rule change is not intended to address competitive issues but is rather 
intended solely to provide temporary relief given the impacts of the 
COVID-19 pandemic and the related health and safety risks of conducting 
in-person activities. In the Initial FINRA Filing, FINRA provides an 
abbreviated economic impact assessment maintaining that the changes are 
necessary to temporarily rebalance the attendant benefits and costs of 
the obligations under FINRA Rules 1015, 9261, 9524 and 9830 in response 
to the impacts of the COVID-19 pandemic that is equally applicable to 
the changes the Exchange proposes.\25\ The Exchange accordingly 
incorporates FINRA's abbreviated economic impact assessment by 
reference. The Exchange believes that the proposed rule change will 
prevent unnecessary impediments to critical adjudicatory processes and 
its ability to fulfill its statutory obligations to protect investors 
and maintain fair and orderly markets that would otherwise result if 
the temporary amendments were not in place.
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    \25\ See Initial FINRA Filing, 85 FR at 55716.
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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 \26\ and Rule 19b-4(f)(6) thereunder.\27\ 
Because the proposed rule change does not: (i) significantly affect the 
protection of investors or the public interest; (ii) impose any 
significant burden on competition; and (iii) become operative prior to 
30 days from the date on which it was filed, or such shorter time as 
the Commission may designate, if consistent with the protection of 
investors and the public interest, the proposed rule change has become 
effective pursuant to Section 19(b)(3)(A) of the Act and Rule 19b-
4(f)(6)(iii) thereunder.
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    \26\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \27\ 17 CFR 240.19b-4(f)(6).
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    A proposed rule change filed under Rule 19b-4(f)(6) \28\ normally 
does not become operative prior to 30 days after the date of the 
filing. However, pursuant to Rule 19b4(f)(6)(iii),\29\ the Commission 
may designate a shorter time if such action is consistent with the 
protection of investors and the public interest. The Exchange has asked 
the Commission to waive the 30-day operative delay so that the proposal 
may become operative immediately upon filing. The Exchange has 
indicated that the proposal would provide greater harmonization between 
Exchange rules and FINRA rules of similar purpose, resulting in less 
burdensome and more efficient regulatory compliance at a time when the 
health risks of in-person hearings are significant. The Exchange also 
states that the temporary relief provided in this proposal immediately 
upon filing and without a 30-day operative delay will allow the 
Exchange to continue critical adjudicatory and review processes so that 
the Exchange may continue to operate effectively and meet its critical 
investor protection goals, while also protecting the health and safety 
of hearing participants.\30\ As proposed, the temporary changes would 
be in place through October 31, 2022 and the amended rules will revert 
back to their original state at the conclusion of the temporary relief 
period and, if applicable, any extension thereof.\31\ For these 
reasons, the Commission believes that waiver of the 30-day operative 
delay for this proposal is consistent with the protection of investors 
and the public interest. Accordingly, the Commission hereby waives the 
30-day operative delay and designates the proposal operative upon 
filing.\32\
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    \28\ 17 CFR 240.19b-4(f)(6).
    \29\ 17 CFR 240.19b-4(f)(6)(iii).
    \30\ See 87 FR 43335, at 43337-38 (noting the same in granting 
FINRA's request to waive the 30-day operative delay so that SR-
FINRA-2022-018 would become operative immediately upon filing).
    \31\ See supra note 4. As noted above, the Exchange states that 
if it requires temporary relief from the rule requirements 
identified in this proposal beyond October 31, 2022, it may submit a 
separate rule filing to extend the effectiveness of the temporary 
relief under these rules.
    \32\ For purposes only of waiving the 30-day operative delay, 
the Commission has considered the proposed rule change's impact on 
efficiency, competition, and capital formation. See 15 U.S.C. 
78c(f).
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    At any time within 60 days of the filing of such proposed rule 
change, the Commission summarily may temporarily suspend such rule 
change if it appears to the Commission that such action is necessary or 
appropriate in the public interest, for the protection of investors, or 
otherwise in furtherance of the purposes of the Act. If the Commission 
takes such action, the Commission shall institute proceedings under 
Section 19(b)(2)(B) \33\ of the Act to determine whether the proposed 
rule change should be approved or disapproved.
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    \33\ 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-NYSECHX-2022-19 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-NYSECHX-2022-19. 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 10:00 a.m. and 
3:00 p.m. Copies of the filing also will be available for inspection 
and copying at the principal office of the Exchange. All comments 
received will be posted without change. Persons submitting comments are

[[Page 50684]]

cautioned that we do not redact or edit personal identifying 
information from comment submissions. You should submit only 
information that you wish to make available publicly. All submissions 
should refer to File Number SR-NYSECHX-2022-19 and should be submitted 
on or before September 7, 2022.

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\34\
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    \34\ 17 CFR 200.30-3(a)(12).
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J. Matthew DeLesDernier,
Deputy Secretary.
[FR Doc. 2022-17667 Filed 8-16-22; 8:45 am]
BILLING CODE 8011-01-P


