Self-Regulatory Organizations; Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.); Order Granting Approval of a Proposed Rule Change as Amended by Amendments No. 1, No. 2 and No. 4, to Revise Fees for Equity Securities Issued by Operating Companies Listed on the Archipelago Exchange, 36155 [E6-9933]

Download as PDF Federal Register / Vol. 71, No. 121 / Friday, June 23, 2006 / Notices Internet Web site (https://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 inspection and copying in the Commission’s Public Reference Room. Copies of such filing will also be available for inspection and copying at the principal office of NYSE Arca. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File No. SR–NYSEArca–2006–13 and should be submitted July 14, 2006. For the Commission, by the Division of Market Regulation, pursuant to delegated authority.37 Nancy M. Morris, Secretary. [FR Doc. E6–9930 Filed 6–22–06; 8:45 am] BILLING CODE 8010–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–54007; File No. SR–PCX– 2006–16] Self-Regulatory Organizations; Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.); Order Granting Approval of a Proposed Rule Change as Amended by Amendments No. 1, No. 2 and No. 4, to Revise Fees for Equity Securities Issued by Operating Companies Listed on the Archipelago Exchange by operating companies listed on the Archipelago Exchange. On March 17, 2006, the Exchange filed Amendment No. 1 to the proposed rule change, and on May 5, 2006, the Exchange filed Amendment No. 2 to the proposed rule change. The proposed rule change, as modified by Amendments No. 1 and No. 2, was published for comment in the Federal Register on May 12, 2006.3 On June 16, 2006, the Exchange filed Amendment No. 4 to the proposed rule change.4 The Commission received no comments on the proposal. The proposed rule change, described in the Notice, would amend the Fee Schedule to revise the application, initial, annual and additional shares listing fees for equity securities issued by operating companies listed on the Archipelago Exchange, the equities facility of the Exchange. The Exchange also proposed related modifications to the Fee Schedule. The Commission has reviewed carefully the proposed rule change and finds that it is consistent with the requirements of the Act and the rules and regulations thereunder applicable to a national securities exchange.5 In particular, the Commission finds that the proposed rule change is consistent with section 6(b)(4) of the Act,6 which requires that an exchange have an equitable allocation of reasonable dues, fees and other charges among its members and other persons using its facilities. The Commission believes the fees are reasonably tailored to enable the Exchange to compete effectively for listings, while supporting the costs of issuer services provided by the Exchange. It is therefore ordered, pursuant to section 19(b)(2) of the Act,7 that the proposed rule change as amended be, and hereby is approved. jlentini on PROD1PC65 with NOTICES June 16, 2006. On March 1, 2006, the Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc., ‘‘NYSE Arca’’ or ‘‘Exchange’’), through its wholly owned subsidiary PCX Equities, Inc. (n/k/a NYSE Arca Equities, Inc.), filed with the Securities and Exchange Commission (‘‘Commission’’), pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’),1 and Rule 19b–4 thereunder,2 a proposed rule change to revise its Schedule of Fees and Charges (‘‘Fee Schedule’’) to revise certain listing fees for equity securities issued 37 17 CFR 200.30–3(a)(12). 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. VerDate Aug<31>2005 17:22 Jun 22, 2006 Jkt 208001 3 See Securities Exchange Act Release No. 53764 (May 5, 2006), 71 FR 27764 (‘‘Notice’’). 4 In Amendment No. 4, the Exchange made changes to conform the proposed rule text to its description in the filing to and correct typographical errors. Amendment No. 4 is a technical amendment and is not subject to notice and comment. The Exchange filed Amendment No. 3 to the proposed rule change on June 5, 2006 and withdrew it on June 16, 2006. 5 In approving this proposed rule change, the Commission notes that it has considered the proposed rule’s impact on efficiency, competition and capital formation. See 15 U.S.C. 78c(f). 6 15 U.S.C. 78f(b)(4). 7 15 U.S.C. 78s(b)(2). PO 00000 Frm 00103 Fmt 4703 Sfmt 4703 36155 For the Commission, by the Division of Market Regulation, pursuant to delegated authority.8 Nancy M. Morris, Secretary. [FR Doc. E6–9933 Filed 6–22–06; 8:45 am] BILLING CODE 8010–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–53980; File No. SR–OCC– 2006–04] Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to a Back-Up Communication Channel to Internet Access for Clearing Members June 14, 2006. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’),1 notice is hereby given that on April 27, 2006, The Options Clearing Corporation (‘‘OCC’’) filed with the Securities and Exchange Commission (‘‘Commission’’) the proposed rule change described in Items I, II, and III below, which items have been prepared primarily by OCC. OCC filed the proposed rule change pursuant to Section 19(b)(3)(A)(i) of the Act 2 and Rule 19b–4(f)(1) thereunder 3 so that the proposal was effective upon filing with the Commission. The Commission is publishing this notice to solicit comments on the proposed rule change from interested parties. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The proposed rule change adopts a policy statement that requires each clearing member that uses the Internet as its primary means to access OCC information and data systems through a secure website to maintain a secure backup to Internet access in order to provide for business continuance should there be an Internet outage. II. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, OCC 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 these statements 8 17 CFR 200.30–3(a)(12). U.S.C. 78s(b)(1). 2 15 U.S.C. 78s(b)(3)(A)(i). 3 17 CFR 240.19b–4(f)(1). 1 15 E:\FR\FM\23JNN1.SGM 23JNN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 71, Number 121 (Friday, June 23, 2006)]
[Notices]
[Page 36155]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E6-9933]


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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-54007; File No. SR-PCX-2006-16]


Self-Regulatory Organizations; Pacific Exchange, Inc. (n/k/a NYSE 
Arca, Inc.); Order Granting Approval of a Proposed Rule Change as 
Amended by Amendments No. 1, No. 2 and No. 4, to Revise Fees for Equity 
Securities Issued by Operating Companies Listed on the Archipelago 
Exchange

June 16, 2006.
    On March 1, 2006, the Pacific Exchange, Inc. (n/k/a NYSE Arca, 
Inc., ``NYSE Arca'' or ``Exchange''), through its wholly owned 
subsidiary PCX Equities, Inc. (n/k/a NYSE Arca Equities, Inc.), filed 
with the Securities and Exchange Commission (``Commission''), pursuant 
to section 19(b)(1) of the Securities Exchange Act of 1934 
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ a proposed rule change to 
revise its Schedule of Fees and Charges (``Fee Schedule'') to revise 
certain listing fees for equity securities issued by operating 
companies listed on the Archipelago Exchange. On March 17, 2006, the 
Exchange filed Amendment No. 1 to the proposed rule change, and on May 
5, 2006, the Exchange filed Amendment No. 2 to the proposed rule 
change. The proposed rule change, as modified by Amendments No. 1 and 
No. 2, was published for comment in the Federal Register on May 12, 
2006.\3\ On June 16, 2006, the Exchange filed Amendment No. 4 to the 
proposed rule change.\4\ The Commission received no comments on the 
proposal.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 53764 (May 5, 2006), 
71 FR 27764 (``Notice'').
    \4\ In Amendment No. 4, the Exchange made changes to conform the 
proposed rule text to its description in the filing to and correct 
typographical errors. Amendment No. 4 is a technical amendment and 
is not subject to notice and comment. The Exchange filed Amendment 
No. 3 to the proposed rule change on June 5, 2006 and withdrew it on 
June 16, 2006.
---------------------------------------------------------------------------

    The proposed rule change, described in the Notice, would amend the 
Fee Schedule to revise the application, initial, annual and additional 
shares listing fees for equity securities issued by operating companies 
listed on the Archipelago Exchange, the equities facility of the 
Exchange. The Exchange also proposed related modifications to the Fee 
Schedule.
    The Commission has reviewed carefully the proposed rule change and 
finds that it is consistent with the requirements of the Act and the 
rules and regulations thereunder applicable to a national securities 
exchange.\5\ In particular, the Commission finds that the proposed rule 
change is consistent with section 6(b)(4) of the Act,\6\ which requires 
that an exchange have an equitable allocation of reasonable dues, fees 
and other charges among its members and other persons using its 
facilities. The Commission believes the fees are reasonably tailored to 
enable the Exchange to compete effectively for listings, while 
supporting the costs of issuer services provided by the Exchange.
---------------------------------------------------------------------------

    \5\ In approving this proposed rule change, the Commission notes 
that it has considered the proposed rule's impact on efficiency, 
competition and capital formation. See 15 U.S.C. 78c(f).
    \6\ 15 U.S.C. 78f(b)(4).
---------------------------------------------------------------------------

    It is therefore ordered, pursuant to section 19(b)(2) of the 
Act,\7\ that the proposed rule change as amended be, and hereby is 
approved.
---------------------------------------------------------------------------

    \7\ 15 U.S.C. 78s(b)(2).

    For the Commission, by the Division of Market Regulation, 
pursuant to delegated authority.\8\
---------------------------------------------------------------------------

    \8\ 17 CFR 200.30-3(a)(12).

Nancy M. Morris,
Secretary.
 [FR Doc. E6-9933 Filed 6-22-06; 8:45 am]
BILLING CODE 8010-01-P

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