Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Relating to Amendments to Exchange Rule 629-Schedule of Fees, 43553-43554 [E6-12323]
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Federal Register / Vol. 71, No. 147 / Tuesday, August 1, 2006 / Notices
associated with RCMMs’ use of an
Exchange authorized and provided
portable telephone on the Exchange
Floor. Furthermore, in any future
additional filings on the Pilot, the
Commission would expect that the
Exchange submit information
documenting the usage of the Exchange
authorized and portable phones and any
problem that have occurred, including,
among other things, any regulatory
actions or concerns.
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:
rwilkins on PROD1PC63 with NOTICES
Electronic Comments
• Use the Commission’s Internet
comment form (https://www.sec.gov/
rules/sro.shtml); or
• Send an e-mail to rulecomments@sec.gov. Please include File
Number SR–NYSE–2006–51 on the
subject line.
submissions should refer to File number
SR-NYSE–2006–51 and should be
submitted on or before August 22, 2006.
For the Commission, by the Division of
Market Regulation, pursuant to delegated
authority.15
J. Lynn Taylor,
Assistant Secretary.
[FR Doc. E6–12322 Filed 7–31–06; 8:45 am]
BILLING CODE 8010–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–54220; File No. SR–NYSE–
2006–52]
Self-Regulatory Organizations; New
York Stock Exchange LLC; Notice of
Filing and Immediate Effectiveness of
Proposed Rule Change by New York
Stock Exchange LLC Relating to
Amendments to Exchange Rule 629—
Schedule of Fees
July 26, 2006.
Pursuant to Section 19(b)(1) 1 of the
Securities Exchange Act of 1934 (the
Paper Comments
‘‘Act’’) 2 and Rule 19b–4 3 thereunder,
• Send paper comments in triplicate
notice is hereby given that on July 21,
to Nancy M. Morris, Secretary,
2006, New York Stock Exchange LLC
Securities and Exchange Commission,
(‘‘NYSE’’) filed with the Securities and
100 F Street, NE., Washington, DC
Exchange Commission (‘‘Commission’’)
20549–1090.
the proposed rule change as described
All submissions should refer to File
in Items I, II, and III below, which Items
Number SR–NYSE–2006–51. This file
have been prepared by the NYSE. NYSE
number should be included on the
has filed the proposal as a ‘‘nonsubject line if e-mail is used. To help the
controversial’’ proposed rule change
Commission process and review your
pursuant to Section 19(b)(3)(A) 4 of the
comments more efficiently, please use
Act, and Rule 19b–4(f)(6) 5 thereunder,
only one method. The Commission will
which renders the proposal as effective
post all comments on the Commission’s
immediately upon filing. The
Internet Web site (https://www.sec.gov/
Commission is publishing this notice to
rules/sro/shtml). Copies of the
solicit comments on the proposed rule
submission, all subsequent
change from interested persons.
amendments, all written statements
with respect to the proposed rule
I. Self-Regulatory Organization’s
change that are filed with the
Statement of the Terms of Substance of
Commission, and all written
the Proposed Rule Change
communications relating to the
NYSE is proposing an amendment to
proposed rule change between the
Commission and any person, other than Rule 629 to clarify the hearing deposits
required for customer counterclaims,
those that may be withheld from the
public in accordance with the
third party claims, and cross-claims.
provisions of 5 U.S.C. 552, will be
The text of the proposed rule change
available for inspection and copying in
is available on NYSE’s Web site
the Commission’s Public Reference
(https://www.nyse.com), at the NYSE’s
Room. Copies of such filing will also be Office of the Secretary, and at the
available for inspection and copying at
Commission’s Public Reference Room.
the principal office of the NYSE. All
comments received will be posted
15 17 CFR 200.30–3(a)(12).
without change; the Commission does
1 15 U.S.C.78s(b)(1).
not edit personal identifying
2 15 U.S.C. 78a.
information from submissions. You
3 17 CFR 240.19b–4.
4 15 U.S.C. 78s(b)(3)(A).
should submit only information that
5 17 CFR 240.19b–4(f)(6).
you wish to make available publicly. All
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20:04 Jul 31, 2006
Jkt 208001
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Frm 00121
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43553
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
NYSE included statements concerning
the purpose of and basis for the
proposed rule change. The text of these
statements may be examined at the
places specified in Item IV below.
The NYSE has prepared summaries,
set forth in Sections A, B, and C below,
of the most significant aspects of such
statements.
A. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
1. Purpose
NYSE Rule 629 (‘‘Rule 629’’) sets forth
the schedules of fees for hearing
deposits required by the parties when
filing claims, counterclaims, third party
claims and cross-claims. The hearing
deposits differ for customer and
industry claimants.
NYSE proposes to amend Rule 629 to
clarify that the hearing deposits
required of customers who file
counterclaims, third party claims and
cross-claims [in an industry initiated
dispute] are the same as the hearing
deposits for matters in which a
customer is the claimant.
2. Statutory Basis
NYSE believes the proposed changes
are consistent with Section 6(b)(4) 6 of
the Act, which requires that an
exchange have rules that provide for the
equitable allocation of reasonable dues,
fees, and other charges among its
members and other persons using its
facilities.
B. Self-Regulatory Organization’s
Statement on Burden on Competition
The NYSE 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 Act.
C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received From
Members, Participants or Others
The NYSE has neither solicited nor
received written comments on the
proposed rule change.
III. Date of Effectiveness of the
Proposed Rule Change and Timing for
Commission Action
Because the foregoing proposed rule
change does not: (i) Significantly affect
6 15
E:\FR\FM\01AUN1.SGM
U.S.C. 78f(b)(4).
01AUN1
43554
Federal Register / Vol. 71, No. 147 / Tuesday, August 1, 2006 / Notices
the protection of investors or the public
interest; (ii) impose any significant
burden on competition; and (iii) become
operative for 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) 7 of the Act and Rule 19b–
4(f)(6) 8 thereunder.
At any time within 60 days of the
filing of the proposed rule change, the
Commission may summarily abrogate
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.
NYSE has requested that the
Commission waive the 30-day operative
delay contained in Rule 19b–4(f)(6)(iii) 9
under the Act based upon a
representation that the proposed rule
change accurately reflects the fees
imposed pursuant to Rule 629 and will
provide further clarification regarding
hearing deposits required for customers
filing counterclaims, third party claims
and cross-claims in industry initiated
disputes. In light of the foregoing, the
Commission believes such waiver is
consistent with the protection of
investors and the public interest.
Accordingly, the Commission
designates the proposal to be effective
and operative upon filing with the
Commission.10
IV. Solicitation of Comments
Interested persons are invited to
submit written data, views and
arguments concerning the foregoing,
including whether the proposed rule
change, as amended, is consistent with
the Act. Comments may be submitted by
any of the following methods:
Paper Comments
seq.), Delegation of Authority No. 234 of
October 1, 1999, Delegation of Authority
• Send paper comments in triplicate
No. 236 of October 19, 1999, as
to Nancy M. Morris, Secretary,
amended, and Delegation of Authority
Securities and Exchange Commission,
No. 257 of April 15, 2003 [68 FR 19875],
100 F Street, NE., Washington, DC,
I hereby determine that the objects to be
20549–1090.
included in the exhibition ‘‘New
All submissions should refer to File
Ireland; Art of the South Pacific,’’
Number SR–NYSE–2006–52. This file
imported from abroad for temporary
number should be included on the
exhibition within the United States, are
subject line if e-mail is used. To help the of cultural significance. The objects are
Commission process and review your
imported pursuant to loan agreements
comments more efficiently, please use
with the foreign owners or custodians.
only one method. The Commission will I also determine that the exhibition or
post all comments on the Commission’s display of the exhibit objects at the
Internet Web site (https://www.sec.gov/
Saint Louis Art Museum, St. Louis
rules/sro/shtml). Copies of the
Missouri, from on or about October 13,
submission, all subsequent
2006, until on or about January 7, 2007,
amendments, all written statements
and at possible additional venues yet to
with respect to the proposed rule
be determined, is in the national
change that are filed with the
interest. Public Notice of these
Commission, and all written
Determinations is ordered to be
communications relating to the
published in the Federal Register.
proposed rule change between the
FOR FURTHER INFORMATION CONTACT: For
Commission and any person, other than
further information, including a list of
those that may be withheld from the
the exhibit objects, contact Carol B.
public in accordance with the
Epstein, Attorney-Adviser, Office of the
provisions of 5 U.S.C. 552, will be
Legal Adviser, U.S. Department of State
available for inspection and copying in
(telephone: 202–453–8050). The address
the Commission’s Public Reference
is U.S. Department of State, SA–44, 301
Room. Copies of such filing will also be
4th Street, SW., Room 700, Washington,
available for inspection and copying at
DC 20547–0001.
the principal office of the NYSE. All
Dated: July 25, 2006.
comments received will be posted
C. Miller Crouch,
without change; the Commission does
not edit personal identifying
Principal Deputy Assistant Secretary for
Educational and Cultural Affairs, Department
information from submissions. You
of State.
should submit only information that
you wish to make available publicly. All [FR Doc. E6–12367 Filed 7–31–06; 8:45 am]
submissions should refer to File number BILLING CODE 4710–05–P
SR–NYSE–2006–52 and should be
submitted on or before August 22, 2006.
DEPARTMENT OF STATE
For the Commission, by the Division of
Market Regulation, pursuant to delegated
authority.11
J. Lynn Taylor,
Assistant Secretary.
[FR Doc. E6–12323 Filed 7–31–06; 8:45 am]
BILLING CODE 8010–01–P
Electronic Comments
DEPARTMENT OF STATE
• Use the Commission’s Internet
comment form (https://www.sec.gov/
rules/sro.shtml); or
• Send e-mail to rulecomments@sec.gov. Please include File
Number SR–NYSE–2006–52 on the
subject line.
[Public Notice 5481]
rwilkins on PROD1PC63 with NOTICES
7 15
U.S.C. 78s(b)(3)(A).
CFR 240.19b–4(f)(6).
9 17 CFR 240.19b–4(f)(6)(iii).
10 For purposes only of waiving the 30-day
operative delay of this proposal, the Commission
has considered the proposed rule’s impact on
efficiency, competition, and capital formation. 15
U.S.C. 78c(f).
8 17
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20:04 Jul 31, 2006
Jkt 208001
Culturally Significant Objects Imported
for Exhibition Determinations: ‘‘New
Ireland: Art of the South Pacific’’
SUMMARY: Notice is hereby given of the
following determinations: Pursuant to
the authority vested in me by the Act of
October 19, 1965 (79 Stat. 985; 22 U.S.C.
2459), Executive Order 12047 of March
27, 1978, the Foreign Affairs Reform and
Restructuring Act of 1998 (112 Stat.
2681, et seq.; 22 U.S.C. 6501 note, et
PO 00000
11 17
CFR 200.30–3(a)(12).
Frm 00122
Fmt 4703
Sfmt 4703
[Public Notice 5480]
Culturally Significant Objects Imported
for Exhibition Determinations: ‘‘Set in
Stone: The Face in Medieval
Sculpture’’
SUMMARY: Notice is hereby given of the
following determinations: Pursuant to
the authority vested in me by the Act of
October 19, 1965 (79 Stat. 985; 22 U.S.C.
2459), Executive Order 12047 of March
27, 1978, the Foreign Affairs Reform and
Restructuring Act of 1998 (112 Stat.
2681, et seq.; 22 U.S.C. 6501 note, et
seq.), Delegation of Authority No. 234 of
October 1, 1999, Delegation of Authority
No. 236 of October 19, 1999, as
amended, and Delegation of Authority
No. 257 of April 15, 2003 [68 FR 19875],
I hereby determine that the objects to be
included in the exhibition ‘‘Set in
Stone: The Face in Medieval
Sculpture,’’ imported from abroad for
temporary exhibition within the United
States, are of cultural significance. The
E:\FR\FM\01AUN1.SGM
01AUN1
]]>Agencies
[Federal Register Volume 71, Number 147 (Tuesday, August 1, 2006)]
[Notices]
[Pages 43553-43554]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E6-12323]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-54220; File No. SR-NYSE-2006-52]
Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change by
New York Stock Exchange LLC Relating to Amendments to Exchange Rule
629--Schedule of Fees
July 26, 2006.
Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 \3\ thereunder, notice is hereby
given that on July 21, 2006, New York Stock Exchange LLC (``NYSE'')
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 the NYSE. NYSE has filed the proposal as a
``non-controversial'' proposed rule change pursuant to Section
19(b)(3)(A) \4\ of the Act, and Rule 19b-4(f)(6) \5\ thereunder, which
renders the proposal as effective immediately upon filing. The
Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
---------------------------------------------------------------------------
\1\ 15 U.S.C.78s(b)(1).
\2\ 15 U.S.C. 78a.
\3\ 17 CFR 240.19b-4.
\4\ 15 U.S.C. 78s(b)(3)(A).
\5\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------
I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change
NYSE is proposing an amendment to Rule 629 to clarify the hearing
deposits required for customer counterclaims, third party claims, and
cross-claims.
The text of the proposed rule change is available on NYSE's Web
site (https://www.nyse.com), at the NYSE's Office of the Secretary, 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 NYSE included statements
concerning the purpose of and basis for the proposed rule change. The
text of these statements may be examined at the places specified in
Item IV below.
The NYSE has prepared summaries, set forth in Sections A, B, and C
below, of the most significant aspects of such statements.
A. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change
1. Purpose
NYSE Rule 629 (``Rule 629'') sets forth the schedules of fees for
hearing deposits required by the parties when filing claims,
counterclaims, third party claims and cross-claims. The hearing
deposits differ for customer and industry claimants.
NYSE proposes to amend Rule 629 to clarify that the hearing
deposits required of customers who file counterclaims, third party
claims and cross-claims [in an industry initiated dispute] are the same
as the hearing deposits for matters in which a customer is the
claimant.
2. Statutory Basis
NYSE believes the proposed changes are consistent with Section
6(b)(4) \6\ of the Act, which requires that an exchange have rules that
provide for the equitable allocation of reasonable dues, fees, and
other charges among its members and other persons using its facilities.
---------------------------------------------------------------------------
\6\ 15 U.S.C. 78f(b)(4).
---------------------------------------------------------------------------
B. Self-Regulatory Organization's Statement on Burden on Competition
The NYSE 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 Act.
C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants or Others
The NYSE has neither solicited nor received written comments on the
proposed rule change.
III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action
Because the foregoing proposed rule change does not: (i)
Significantly affect
[[Page 43554]]
the protection of investors or the public interest; (ii) impose any
significant burden on competition; and (iii) become operative for 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) \7\ of the Act and Rule 19b-4(f)(6) \8\
thereunder.
---------------------------------------------------------------------------
\7\ 15 U.S.C. 78s(b)(3)(A).
\8\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------
At any time within 60 days of the filing of the proposed rule
change, the Commission may summarily abrogate 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.
NYSE has requested that the Commission waive the 30-day operative
delay contained in Rule 19b-4(f)(6)(iii) \9\ under the Act based upon a
representation that the proposed rule change accurately reflects the
fees imposed pursuant to Rule 629 and will provide further
clarification regarding hearing deposits required for customers filing
counterclaims, third party claims and cross-claims in industry
initiated disputes. In light of the foregoing, the Commission believes
such waiver is consistent with the protection of investors and the
public interest. Accordingly, the Commission designates the proposal to
be effective and operative upon filing with the Commission.\10\
---------------------------------------------------------------------------
\9\ 17 CFR 240.19b-4(f)(6)(iii).
\10\ For purposes only of waiving the 30-day operative delay of
this proposal, the Commission has considered the proposed rule's
impact on efficiency, competition, and capital formation. 15 U.S.C.
78c(f).
---------------------------------------------------------------------------
IV. Solicitation of Comments
Interested persons are invited to submit written data, views and
arguments concerning the foregoing, including whether the proposed rule
change, as amended, is consistent with the Act. Comments may be
submitted by any of the following methods:
Electronic Comments
Use the Commission's Internet comment form (https://
www.sec.gov/rules/sro.shtml); or
Send e-mail to rule-comments@sec.gov. Please include File
Number SR-NYSE-2006-52 on the subject line.
Paper Comments
Send paper comments in triplicate to Nancy M. Morris,
Secretary, Securities and Exchange Commission, 100 F Street, NE.,
Washington, DC, 20549-1090.
All submissions should refer to File Number SR-NYSE-2006-52. This file
number should be included on the subject line if e-mail 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 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 the NYSE. 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 number SR-NYSE-2006-52 and should be submitted on or before August
22, 2006.
For the Commission, by the Division of Market Regulation,
pursuant to delegated authority.\11\
---------------------------------------------------------------------------
\11\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------
J. Lynn Taylor,
Assistant Secretary.
[FR Doc. E6-12323 Filed 7-31-06; 8:45 am]
BILLING CODE 8010-01-P
