Self-Regulatory Organizations; Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.), Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Requiring OTP Holders and OTP Firms To Participate in the Federal Trade Commission's National Do-Not-Call Registry, 46534-46535 [E6-13270]

Download as PDF 46534 Federal Register / Vol. 71, No. 156 / Monday, August 14, 2006 / Notices It Is Therefore Ordered, pursuant to Section 19(b)(2) of the Act,9 that the proposed rule change (SR–NASD–2006– 070), be, and it hereby is, approved. For the Commission, by the Division of Market Regulation, pursuant to delegated authority.10 Nancy M. Morris, Secretary. [FR Doc. E6–13220 Filed 8–11–06; 8:45 am] BILLING CODE 8010–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–54283; File No. SR–PCX– 2005–97] Self-Regulatory Organizations; Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.), Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Requiring ETP Holders To Participate in the Federal Trade Commission’s National Do-Not-Call Registry August 8, 2006. On August 15, 2005, Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.) (‘‘NYSE Arca’’) 1 filed with the Securities and Exchange Commission (‘‘Commission’’), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 a proposed amendment to NYSE Arca Equities Rule 9.20. On May 26, 2006, NYSE Arca filed Amendment No. 1 to the proposed rule change.4 On June 21, 2006, NYSE Arca filed Amendment No. 2 to the proposed rule change.5 The proposed rule change, as amended, was published for comment in the Federal Register on July 10, 2006.6 The Commission received no comments on the proposal. This order 9 15 U.S.C. 78s(b)(2). CFR 200.30–3(a)(12). 1 On March 6, 2006, the Pacific Exchange, Inc. filed a rule proposal, effective upon filing, to amend its rules to reflect these name changes: from Pacific Exchange, Inc. to NYSE Arca, Inc.; from PCX Equities, Inc. to NYSE Arca Equities, Inc.; from PCX Holdings, Inc., to NYSE Arca Holdings, Inc.; and from the Archipelago Exchange, L.L.C. to NYSE Arca, L.L.C. See File No. SR–PCX–2006–24 (March 6, 2006). 2 15 U.S.C. 78s(b)(1). 3 17 CFR 240.19b–4. 4 In Amendment No. 1, NYSE Arca partially amended the text of proposed amended NYSE Arca Equities Rule 9.20 and made conforming and technical changes to the original filing. 5 In Amendment No. 2, NYSE Arca made additional changes to the text of proposed amended NYSE Arca Equities Rule 9.20 and to the original filing. 6 See Securities Exchange Act Release No. 54079 (June 30, 2006), 71 FR 38957 (July 10, 2006) (this notice listed an incorrect filing date for the initial proposal). jlentini on PROD1PC65 with NOTICES 10 17 VerDate Aug<31>2005 17:58 Aug 11, 2006 Jkt 208001 approves the proposed rule change, as amended. The proposed amendment to NYSE Arca Equities Rule 9.20 would replace the current text of Rule 9.20(b) with text that would require ETP Holders to participate in the national do-not-call registry maintained by the Federal Trade Commission (‘‘FTC’’) and to follow applicable regulations of the Federal Communications Commission (‘‘FCC’’). The proposed amendment would make Rule 9.20(b) consistent with NYSE Rule 404A and requirements of FCC regulations applicable to brokerdealers engaged in telemarketing by including provisions concerning general telemarketing requirements, procedures, wireless communications, outsourcing telemarketing, pre-recorded messages, telephone facsimile or computer advertisements and caller identification. The amended rule would generally prohibit ETP Holders and their associated persons from making telemarketing calls to people who have registered with the national do-not-call registry. The amended rule also would set forth firm-specific do-not-call restrictions, time-of-day restrictions, and disclosure requirements similar to those contained in the current rule. The Commission finds that the proposed rule change, as amended, is consistent with the requirements of the Act and the rules and regulations thereunder applicable to a national securities exchange.7 In particular, the Commission finds that the proposed rule change is consistent with Section 6(b)(5) of the Act,8 which requires, among other things, that the rules of an exchange be designed to promote just and equitable principles of trade, to remove impediments to and perfect the mechanism of a free and open market and national market system, and in general, to protect investors and the public interest. The Commission believes that the proposed rule change, as amended, is designed to accomplish these ends by requiring ETP Holders and their associated persons to observe time-of-day restrictions on telephone solicitations, maintain firm-specific donot-call lists, and refrain from initiating telephone solicitations to investors and other members of the public who have registered their telephone numbers on the national do-not-call registry. The Commission also believes that the proposed rule change, as amended, establishes adequate procedures to 7 In approving this proposed rule change, the Commission has considered whether the proposed rule change will promote efficiency, competition, and capital formation. See 15 U.S.C. 78c(f). 8 15 U.S.C. 78f(b)(5). PO 00000 Frm 00089 Fmt 4703 Sfmt 4703 prevent ETP Holders and their associated persons from making telephone solicitations to do-not-call registrants, which should have the effect of protecting investors by enabling persons who do not want to receive telephone solicitations from members or member organizations to receive the protections of the national do-not-call registry, while providing appropriate exceptions to the rule’s restrictions, which should promote just and equitable principles of trade. It Is Therefore Ordered, pursuant to Section 19(b)(2) of the Act,9 that the proposed rule change (SR–PCX–2005– 97), as amended, be and is hereby approved. For the Commission, by the Division of Market Regulation, pursuant to delegated authority.10 Nancy M. Morris, Secretary. [FR Doc. E6–13241 Filed 8–11–06; 8:45 am] BILLING CODE 8010–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–54282; File No. SR–PCX– 2005–54] Self-Regulatory Organizations; Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.), Order Approving Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Requiring OTP Holders and OTP Firms To Participate in the Federal Trade Commission’s National Do-Not-Call Registry August 8, 2006. On August 15, 2005, Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.) (‘‘NYSE Arca’’) 1 filed with the Securities and Exchange Commission (‘‘Commission’’), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ‘‘Act’’) 2 and Rule 19b–4 thereunder,3 a proposed amendment to NYSE Arca Rule 9.20. On May 26, 2006, NYSE Arca filed Amendment No. 1 to the proposed rule change.4 On June 22, 9 15 U.S.C. 78s(b)(2). CFR 200.30–3(a)(12). 1 On March 6, 2006, the Pacific Exchange, Inc. filed a rule proposal, effective upon filing, to amend its rules to reflect these name changes: from Pacific Exchange, Inc. to NYSE Arca, Inc.; from PCX Equities, Inc. to NYSE Arca Equities, Inc.; from PCX Holdings, Inc., to NYSE Arca Holdings, Inc.; and from the Archipelago Exchange, L.L.C. to NYSE Arca, L.L.C. See File No. SR–PCX–2006–24 (March 6, 2006). 2 15 U.S.C. 78s(b)(1). 3 17 CFR 240.19b–4. 4 In Amendment No. 1, NYSE Arca partially amended the text of proposed amended NYSE Arca Rule 9.20 and made conforming and technical changes to the original filing. 10 17 E:\FR\FM\14AUN1.SGM 14AUN1 Federal Register / Vol. 71, No. 156 / Monday, August 14, 2006 / Notices jlentini on PROD1PC65 with NOTICES 2006, NYSE Arca filed Amendment No. 2 to the proposed rule change.5 The proposed rule change, as amended, was published for comment in the Federal Register on July 10, 2006.6 The Commission received no comments on the proposal. This order approves the proposed rule change, as amended. The proposed amendment to NYSE Arca Rule 9.20 would replace the current text of Rule 9.20(b) with text that would require OTP Holders and OTP Firms to participate in the national do-not-call registry maintained by the Federal Trade Commission (‘‘FTC’’) and to follow applicable regulations of the Federal Communications Commission (‘‘FCC’’). The proposed amendment would make Rule 9.20(b) consistent with NYSE Rule 404A and requirements of FCC regulations applicable to brokerdealers engaged in telemarketing by including provisions concerning general telemarketing requirements, procedures, wireless communications, outsourcing telemarketing, pre-recorded messages, telephone facsimile or computer advertisements and caller identification. The amended rule would generally prohibit OTP Holders and OTP Firms, and their associated persons, from making telemarketing calls to people who have registered with the national do-not-call registry. The amended rule also would set forth firm-specific donot-call restrictions, time-of-day restrictions, and disclosure requirements similar to those contained in the current rule. The Commission finds that the proposed rule change, as amended, is consistent with the requirements of the Act and the rules and regulations thereunder applicable to a national securities exchange.7 In particular, the Commission finds that the proposed rule change is consistent with Section 6(b)(5) of the Act,8 which requires, among other things, that the rules of an exchange be designed to promote just and equitable principles of trade, to remove impediments to and perfect the mechanism of a free and open market and national market system, and in general, to protect investors and the public interest. The Commission believes that the proposed rule change, as amended, is designed to accomplish 5 In Amendment No. 2, NYSE Arca made additional changes to the text of proposed amended NYSE Arca Rule 9.20 and to the original filing. 6 See Securities Exchange Act Release No. 54078 (June 30, 2006), 71 FR 38953 (July 10, 2006) (this notice listed incorrect filing dates for the initial proposal and Amendment No. 2). 7 In approving this proposed rule change, the Commission has considered whether the proposed rule change will promote efficiency, competition, and capital formation. See 15 U.S.C. 78c(f). 8 15 U.S.C. 78f(b)(5). VerDate Aug<31>2005 17:58 Aug 11, 2006 Jkt 208001 these ends by requiring OTP Holders and OTP Firms, and their associated persons, to observe time-of-day restrictions on telephone solicitations, maintain firm-specific do-not-call lists, and refrain from initiating telephone solicitations to investors and other members of the public who have registered their telephone numbers on the national do-not-call registry. The Commission also believes that the proposed rule change, as amended, establishes adequate procedures to prevent OTP Holders and OTP Firms, and their associated persons, from making telephone solicitations to donot-call registrants, which should have the effect of protecting investors by enabling persons who do not want to receive telephone solicitations from members or member organizations to receive the protections of the national do-not-call registry, while providing appropriate exceptions to the rule’s restrictions, which should promote just and equitable principles of trade. It is therefore ordered, pursuant to Section 19(b)(2) of the Act,9 that the proposed rule change (SR–PCX–2005– 54), as amended, be and is hereby approved. For the Commission, by the Division of Market Regulation, pursuant to delegated authority.10 Nancy M. Morris, Secretary. [FR Doc. E6–13270 Filed 8–11–06; 8:45 am] BILLING CODE 8010–01–P SOCIAL SECURITY ADMINISTRATION Additional Options for Requesting Administrative Review—Title II and Title XVI AGENCY: Social Security Administration (SSA). ACTION: Notice. SUMMARY: We are expanding the methods available for requesting administrative review. We now will accept oral requests from claimants in person or by telephone. This change in our procedures will make it easier for claimants to do business with us. DATES: Effective Date: This change will be effective on August 14, 2006. FOR FURTHER INFORMATION CONTACT: Rosemary Carey, Team Leader, Due Process Team, Social Security Administration, 6401 Security Boulevard, Baltimore, MD 21235, (410) 965–7936 or TTY (410) 966–5609. 9 15 U.S.C. 78s(b)(2). CFR 200.30–3(a)(12). 10 17 PO 00000 Frm 00090 Fmt 4703 Sfmt 4703 46535 Under our current procedures, claimants may request administrative review of our determinations or decisions in the Social Security and Supplemental Security Income programs by filing a written request. We are increasing the options available to claimants for requesting administrative review to now also include oral requests made in person or by telephone. We plan to revise our instructional manuals and other documents to reflect these options. As we believe these options will benefit claimants by making it easier for them to do business with us, we are implementing this change immediately. SUPPLEMENTARY INFORMATION: Dated: July 31, 2006. Martin H. Gerry, Deputy Commissioner for Disability and Income Security Programs. [FR Doc. E6–13245 Filed 8–11–06; 8:45 am] BILLING CODE 4191–02–P DEPARTMENT OF STATE [Public Notice 5493] 30-Day Notice of Proposed Information Collection: Form DS–3097, Exchange Visitor Program Annual Report, and OMB Control Number 1405–0151 Notice of request for public comment and submission to OMB of proposed collection of information. ACTION: SUMMARY: The Department of State has submitted the following information collection request to the Office of Management and Budget (OMB) for approval in accordance with the Paperwork Reduction Act of 1995. • Title of Information Collection: Exchange Visitor Program Annual Report. • OMB Control Number: 1405–0151. • Type of Request: Extension of a Currently Approved Collection. • Originating Office: Educational and Cultural Affairs, Office of Exchange, Coordination and Designation, ECA/EC/ PS. • Form Number: Form DS–3097. • Respondents: Designated J–1 program sponsors. • Estimated Number of Respondents: 1460. • Estimated Number of Responses: 1460 annually. • Average Hours Per Response: 1 hour. • Total Estimated Burden: 1460 hours. • Frequency: Annually. • Obligation to Respond: Mandatory. E:\FR\FM\14AUN1.SGM 14AUN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 71, Number 156 (Monday, August 14, 2006)]
[Notices]
[Pages 46534-46535]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E6-13270]


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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-54282; File No. SR-PCX-2005-54]


Self-Regulatory Organizations; Pacific Exchange, Inc. (n/k/a NYSE 
Arca, Inc.), Order Approving Proposed Rule Change and Amendment Nos. 1 
and 2 Thereto Requiring OTP Holders and OTP Firms To Participate in the 
Federal Trade Commission's National Do-Not-Call Registry

August 8, 2006.
    On August 15, 2005, Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.) 
(``NYSE Arca'') \1\ filed with the Securities and Exchange Commission 
(``Commission''), pursuant to Section 19(b)(1) of the Securities 
Exchange Act of 1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ a 
proposed amendment to NYSE Arca Rule 9.20. On May 26, 2006, NYSE Arca 
filed Amendment No. 1 to the proposed rule change.\4\ On June 22,

[[Page 46535]]

2006, NYSE Arca filed Amendment No. 2 to the proposed rule change.\5\ 
The proposed rule change, as amended, was published for comment in the 
Federal Register on July 10, 2006.\6\ The Commission received no 
comments on the proposal. This order approves the proposed rule change, 
as amended.
---------------------------------------------------------------------------

    \1\ On March 6, 2006, the Pacific Exchange, Inc. filed a rule 
proposal, effective upon filing, to amend its rules to reflect these 
name changes: from Pacific Exchange, Inc. to NYSE Arca, Inc.; from 
PCX Equities, Inc. to NYSE Arca Equities, Inc.; from PCX Holdings, 
Inc., to NYSE Arca Holdings, Inc.; and from the Archipelago 
Exchange, L.L.C. to NYSE Arca, L.L.C. See File No. SR-PCX-2006-24 
(March 6, 2006).
    \2\ 15 U.S.C. 78s(b)(1).
    \3\ 17 CFR 240.19b-4.
    \4\ In Amendment No. 1, NYSE Arca partially amended the text of 
proposed amended NYSE Arca Rule 9.20 and made conforming and 
technical changes to the original filing.
    \5\ In Amendment No. 2, NYSE Arca made additional changes to the 
text of proposed amended NYSE Arca Rule 9.20 and to the original 
filing.
    \6\ See Securities Exchange Act Release No. 54078 (June 30, 
2006), 71 FR 38953 (July 10, 2006) (this notice listed incorrect 
filing dates for the initial proposal and Amendment No. 2).
---------------------------------------------------------------------------

    The proposed amendment to NYSE Arca Rule 9.20 would replace the 
current text of Rule 9.20(b) with text that would require OTP Holders 
and OTP Firms to participate in the national do-not-call registry 
maintained by the Federal Trade Commission (``FTC'') and to follow 
applicable regulations of the Federal Communications Commission 
(``FCC''). The proposed amendment would make Rule 9.20(b) consistent 
with NYSE Rule 404A and requirements of FCC regulations applicable to 
broker-dealers engaged in telemarketing by including provisions 
concerning general telemarketing requirements, procedures, wireless 
communications, outsourcing telemarketing, pre-recorded messages, 
telephone facsimile or computer advertisements and caller 
identification. The amended rule would generally prohibit OTP Holders 
and OTP Firms, and their associated persons, from making telemarketing 
calls to people who have registered with the national do-not-call 
registry. The amended rule also would set forth firm-specific do-not-
call restrictions, time-of-day restrictions, and disclosure 
requirements similar to those contained in the current rule.
    The Commission finds that the proposed rule change, as amended, is 
consistent with the requirements of the Act and the rules and 
regulations thereunder applicable to a national securities exchange.\7\ 
In particular, the Commission finds that the proposed rule change is 
consistent with Section 6(b)(5) of the Act,\8\ which requires, among 
other things, that the rules of an exchange be designed to promote just 
and equitable principles of trade, to remove impediments to and perfect 
the mechanism of a free and open market and national market system, and 
in general, to protect investors and the public interest. The 
Commission believes that the proposed rule change, as amended, is 
designed to accomplish these ends by requiring OTP Holders and OTP 
Firms, and their associated persons, to observe time-of-day 
restrictions on telephone solicitations, maintain firm-specific do-not-
call lists, and refrain from initiating telephone solicitations to 
investors and other members of the public who have registered their 
telephone numbers on the national do-not-call registry. The Commission 
also believes that the proposed rule change, as amended, establishes 
adequate procedures to prevent OTP Holders and OTP Firms, and their 
associated persons, from making telephone solicitations to do-not-call 
registrants, which should have the effect of protecting investors by 
enabling persons who do not want to receive telephone solicitations 
from members or member organizations to receive the protections of the 
national do-not-call registry, while providing appropriate exceptions 
to the rule's restrictions, which should promote just and equitable 
principles of trade.
---------------------------------------------------------------------------

    \7\ In approving this proposed rule change, the Commission has 
considered whether the proposed rule change will promote efficiency, 
competition, and capital formation. See 15 U.S.C. 78c(f).
    \8\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    It is therefore ordered, pursuant to Section 19(b)(2) of the 
Act,\9\ that the proposed rule change (SR-PCX-2005-54), as amended, be 
and is hereby approved.
---------------------------------------------------------------------------

    \9\ 15 U.S.C. 78s(b)(2).

    For the Commission, by the Division of Market Regulation, 
pursuant to delegated authority.\10\
---------------------------------------------------------------------------

    \10\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Nancy M. Morris,
Secretary.
[FR Doc. E6-13270 Filed 8-11-06; 8:45 am]
BILLING CODE 8010-01-P

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