for internal use only and9 sec file no. 9- c expires ... · pffr infracap reit preferred etf if you...
TRANSCRIPT
For Internal Use Only submit i original OMB APPROVALand 9 Copies OMB Number: 3235-0504
Sec File No. 9- \ c a Expires: August 31, 2013- L UNITED STATES Estimated average burden
SECURITIES AND EXCHANGE COMMISSION hours perresponse. .....3.60200FEBl5 PMl2:34 Washington, D.C.20549
SEC/ TM FoRM 1sb-4(e)
Information Required of a Self-Regulatory Organization Listing and Trading a NewDerivative Securities Product Pursuant to Rule 19b-4(e) Under the Securities Exchange Act of 1934
READ ALL INSTRUCTIONS PRIOR TO COMPLETING FORQad c
Part I Initial Listing Report
1. Name of Self-Regulatory Organization Listing New Derivative Securities Product:
Chicago Stock Exchange, Inc. _2. Type of Issuer of New Derivative Securities Product (e.g.,clearinghouse, broker-dealer, corpo t n, tc.):
|Trust3. Class of New Derivative Securities Product;
Ownership of the Trust
4. Name of Underlying Instrument:
InfraCap REIT Preferred ETF 17002318
Narrow-Based L(, intrar Cumanitei afkTaur narivative Caesiettime DenÅiset.
PFFR
7. Market or Markets Unon Which Securities Comorising Underlying Instrument Trades:|Various
8. Settlement Methodology of New Derivative Securities Product:
See Prospectus9. Position Limits of New Derivative Securities Product (if applicable):
See Prospectus
Part II Execution
The undersigned represents that the governing body of the above-referenced Self-Regulatory Organization has dulyapproved, or has duly delegated its approval to the undersigned for, the listing and trading of the above-referenced newderivative securities product according to its relevant trading rules, procedures, surveillance programs and listingstandards.
Name of Official Responsible for Form:Michael J.Cardin
Title: Director
Member RegulationDepartmentTeleph ne Number:
39-663-2204Manual Sign Official R sponsible f :
Date: F uary 09, 2017 ' Au au seact of 19.44
SEC 2449 (6-01)
CHICAGO
2OllFEB15 PM12:3ti SECMail Processing
SEC/ TM Section
February 09, 2017 FEB15 2017Washington DC
By UPS 412
Claudette Ransom
Division of Trading and MarketsSecurities and Exchange Commission100F Street NE - Stop 7010Washington, DC 20549
Re: Form 19b-4(e) for exchange traded product
Dear Ms. Ransom:
Pursuant to Rule 19b-4(e) of the Securities Exchange Act of 1934,I enclose for filing an originaland four copies of the Form 19b-4(e) relating to the following exchange traded product:
PFFR InfraCap REIT Preferred ETF
If you have any questions about this filing, please contact the undersigned at (312) 663-2204 orKevin Curtin at (312) 663-2252.
incerely,
Michael e Act of 193 .Director
Member Regulation Department
Enclosures
Chicago stuck Exchange, Inc. OneFinancial Place440 SIssalle Street, Suite 800Chicago, Illinois 60605-1070 312-663-2222