Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Allow Members To Report Certain Trades in Exchange-Listed Securities Through the Execution Services of the Nasdaq Market Center, 54096 [E5-4979]

Download as PDF 54096 Federal Register / Vol. 70, No. 176 / Tuesday, September 13, 2005 / Notices be submitted to OMB within 30 days of this notice. Dated: September 6, 2005. Jonathan G. Katz, Secretary. [FR Doc. E5–4977 Filed 9–12–05; 8:45 am] Exchange Commission, 100 F Street, NE., Washington, DC 20549. Comments must be submitted to OMB within 30 days of this notice. Dated: September 6, 2005. Jonathan G. Katz, Secretary. [FR Doc. E5–4978 Filed 9–12–05; 8:45 am] BILLING CODE 8010–01–P SECURITIES AND EXCHANGE COMMISSION BILLING CODE 8010–01–P Submission for OMB Review; Comment Request SECURITIES AND EXCHANGE COMMISSION Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Filings and Information Services, Washington, DC 20549. Extension: Rule 17a–19; SEC File No. 270– 148; OMB Control No. 3235–0133 Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (‘‘Commission’’) has submitted to the Office of Management and Budget a request for approval of extension on the following rule: 17 CFR 240.17a–19 and Form X–17A–19 of the Securities Exchange Act of 1934. Rule 17a–19 requires National Securities Exchanges and Registered National Securities Associations to file a Form X–17A–19 with the Commission within 5 days of the initiation, suspension or termination of a member in order to notify the Commission that a change in designated examining authority may be necessary. It is anticipated that approximately eight National Securities Exchanges and Registered National Securities Associations collectively will make 1,800 total annual filings pursuant to Rule 17a–19 and that each filing will take approximately 15 minutes. The total burden is estimated to be approximately 450 total annual hours. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid control number. Written comments regarding the above information should be directed to the following persons: (i) Desk Officer for the Securities and Exchange Commission, Office of Information and Regulatory Affairs, Office of Management and Budget, Room 10102, New Executive Office Building, Washington, DC 20503 or by sending an e-mail to David_Rostker@omb.eop.gov; and (ii) R. Corey Booth, Director/Chief Information Officer, Office of Information Technology, Securities and VerDate Aug<18>2005 16:06 Sep 12, 2005 Jkt 205001 [Release No. 34–52376A; File No. SR– NASD–2005–102] Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto To Allow Members To Report Certain Trades in Exchange-Listed Securities Through the Execution Services of the Nasdaq Market Center September 7, 2005. Correction On September 1, 2005, the Commission issued notice on a proposed rule change by the National Association of Securities Dealers, Inc. (‘‘NASD’’), through its subsidiary, The Nasdaq Stock Market, Inc. (‘‘Nasdaq’’).1 The proposed rule text in the first paragraph of NASD Rule 4720 should state as follows below. Proposed new language is in italics; proposed deletions are in brackets. Subject to the conditions set forth below, members may utilize the Nasdaq Market Center to report trades in Nasdaq Market Center eligible securities required or eligible to be reported to Nasdaq pursuant to the Rule 4630, 4640, 4650, [and] 6100 and 6400 Series.’’ For the Commission, by the Division of Market Regulation, pursuant to delegated authority.2 Jonathan G. Katz, Secretary. [FR Doc. E5–4979 Filed 9–12–05; 8:45 am] BILLING CODE 8010–01–P 1 See Exchange Act Release No. 52376 (September 1, 2005). 2 17 CFR 200.30–3(a)(12). PO 00000 Frm 00092 Fmt 4703 Sfmt 4703 SECURITIES AND EXCHANGE COMMISSION [Release No. 34–52385; File No. SR–NASD– 2005–082] Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto To Clarify the Listing Standards Applicable to Companies in Bankruptcy Proceedings September 7, 2005. 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 June 22, 2005, the National Association of Securities Dealers, Inc. (‘‘NASD’’), through its subsidiary, The Nasdaq Stock Market, Inc. (‘‘Nasdaq’’), filed with the Securities and Exchange Commission (‘‘Commission’’) the proposed rule change as described in Items I, II, and III below, which Items have been prepared by Nasdaq. On August 23, 2005, Nasdaq filed Amendment No. 1 to the proposed rule change.3 The Commission is publishing this notice to solicit comments on the proposed rule change, as amended, from interested persons. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change Nasdaq proposes to clarify the listing standards applicable to companies in bankruptcy proceedings. Nasdaq will implement the proposed rule immediately upon approval. The text of the proposed rule change is set forth below. Proposed new language is italicized.4 4340. Application for Re-inclusion by Listed Issuers (a) Reverse Mergers. An issuer must apply for initial inclusion following a transaction whereby the issuer combines with a non-Nasdaq entity, resulting in a change of control of the 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 In Amendment No. 1, Nasdaq made a nonsubstantive correction to the text of the proposed rule and a correction to the stated purpose of the proposed rule change. 4 Changes to NASD Rule 4340 are marked to the rule text, which the Commission recently approved in Securities Exchange Act Release No. 52342 (August 26, 2005), 70 FR 52456 (September 2, 2005) (SR–NASD–2004–125). Changes to NASD Rule 4350 are marked to the current version of the rule text. No other pending rule filings would affect the text of these rules. Telephone conversation of September 7, 2005, between Arnold Golub, Associate Vice President, Nasdaq and David Michehl, Attorney, Division of Market Regulation, Commission. 2 17 E:\FR\FM\13SEN1.SGM 13SEN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 70, Number 176 (Tuesday, September 13, 2005)]
[Notices]
[Page 54096]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E5-4979]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-52376A; File No. SR-NASD-2005-102]


Self-Regulatory Organizations; National Association of Securities 
Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed 
Rule Change and Amendment No. 1 Thereto To Allow Members To Report 
Certain Trades in Exchange-Listed Securities Through the Execution 
Services of the Nasdaq Market Center

September 7, 2005.

Correction

    On September 1, 2005, the Commission issued notice on a proposed 
rule change by the National Association of Securities Dealers, Inc. 
(``NASD''), through its subsidiary, The Nasdaq Stock Market, Inc. 
(``Nasdaq'').\1\ The proposed rule text in the first paragraph of NASD 
Rule 4720 should state as follows below. Proposed new language is in 
italics; proposed deletions are in brackets.
---------------------------------------------------------------------------

    \1\ See Exchange Act Release No. 52376 (September 1, 2005).
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    Subject to the conditions set forth below, members may utilize the 
Nasdaq Market Center to report trades in Nasdaq Market Center eligible 
securities required or eligible to be reported to Nasdaq pursuant to 
the Rule 4630, 4640, 4650, [and] 6100 and 6400 Series.''

    For the Commission, by the Division of Market Regulation, 
pursuant to delegated authority.\2\
---------------------------------------------------------------------------

    \2\ 17 CFR 200.30-3(a)(12).
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Jonathan G. Katz,
Secretary.
[FR Doc. E5-4979 Filed 9-12-05; 8:45 am]
BILLING CODE 8010-01-P

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