Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval to a Proposed Rule Change and Amendment No. 1 Thereto Relating to a Retroactive Suspension of Transaction Charges for Specialist Orders in the Nasdaq-100 Tracking Stock® (QQQQ), 54321 [E6-15273]

Download as PDF Federal Register / Vol. 71, No. 178 / Thursday, September 14, 2006 / Notices Paper Comments • Send paper comments in triplicate to Nancy M. Morris, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549–1090. SECURITIES AND EXCHANGE COMMISSION [Release No. 34–54412; File No. SR–Amex– 2006–64] Self-Regulatory Organizations; American Stock Exchange LLC; Order All submissions should refer to File Granting Approval to a Proposed Rule Number SR–Amex–2006–72. This file Change and Amendment No. 1 Thereto number should be included on the subject line if e-mail is used. To help the Relating to a Retroactive Suspension of Transaction Charges for Specialist Commission process and review your Orders in the Nasdaq-100 Tracking comments more efficiently, please use only one method. The Commission will Stock (QQQQ) post all comments on the Commission’s September 7, 2006. Internet Web site (https://www.sec.gov/ On July 7, 2006, the American Stock rules/sro.shtml). Copies of the Exchange LLC (‘‘Amex’’ or ‘‘Exchange’’) submission, all subsequent filed with the Securities and Exchange amendments, all written statements Commission (‘‘Commission’’), pursuant with respect to the proposed rule to Section 19(b)(1) of the Securities change that are filed with the Exchange Act of 1934 (‘‘Act’’) 1 and Rule Commission, and all written 19b–4 thereunder,2 a proposed rule communications relating to the change to retroactively apply a proposed rule change between the Commission and any person, other than suspension of transaction charges for specialist orders in connection with the those that may be withheld from the trading of the Nasdaq-100 Index public in accordance with the Tracking Stock (Symbol: QQQQ) from provisions of 5 U.S.C. 552, will be July 1, 2006 through July 12, 2006. On available for inspection and copying in July 27, 2006, the Exchange filed the Commission’s Public Reference Room. Copies of such filing also will be Amendment No. 1 to the proposed rule change.3 The proposed rule change, as available for inspection and copying at amended, was published for comment the principal office of the Amex. All in the Federal Register on August 8, comments received will be posted 2006.4 The Commission received no without change; the Commission does comments on the proposal. not edit personal identifying information from submissions. You The Commission finds that the should submit only information that proposed rule change, as amended, is you wish to make available publicly. All consistent with the requirements of the submissions should refer to File Act and the rules and regulations Number SR–Amex–2006–72 and should thereunder applicable to a national be submitted on or before October 5, securities exchange.5 In particular, the 2006. Commission believes that the proposal is consistent with Section 6(b)(4) of the For the Commission by the Division of Act 6 in that it provides for the equitable Market Regulation, pursuant to delegated allocation of reasonable dues, fees, and authority.15 other charges among its members. J. Lynn Taylor, It is therefore ordered, pursuant to Assistant Secretary. Section 19(b)(2) of the Act,7 that the [FR Doc. E6–15241 Filed 9–13–06; 8:45 am] proposed rule change (File No. SR– BILLING CODE 8010–01–P Amex–2006–64), as amended, be, and it hereby is, approved. 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 Amendment No. 1 replaced and superseded the original filing in its entirety. 4 See Securities Exchange Act Release No. 54262 (August 1, 2006), 71 FR 45083. 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). rwilkins on PROD1PC63 with NOTICES 2 17 15 17 CFR 200.30–3(a)(12). VerDate Aug<31>2005 20:23 Sep 13, 2006 Jkt 208001 PO 00000 Frm 00059 Fmt 4703 Sfmt 4703 54321 For the Commission, by the Division of Market Regulation, pursuant to delegated authority.8 J. Lynn Taylor, Assistant Secretary. [FR Doc. E6–15273 Filed 9–13–06; 8:45 am] BILLING CODE 8010–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–54415; File No. SR–ISE– 2004–17] Self-Regulatory Organizations; International Securities Exchange, Inc.; Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Market Maker Orders September 7, 2006. 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 May 26, 2004, the International Securities Exchange, Inc. (‘‘ISE’’ or ‘‘Exchange’’) 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 Exchange. The Exchange filed Amendment No. 1 to the proposed rule change on August 14, 2006.3 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 The Exchange proposes to amend ISE Rule 717(g) to eliminate the restriction on Electronic Access Members representing ISE market maker orders, provided that such orders are identified as orders for the account of an ISE market maker. Under the proposal, an Electronic Access Member will not be permitted to enter orders solicited from an ISE market maker into the Solicited Order Mechanism and the Price Improvement Mechanism. The text of the proposed rule change, as amended, is set forth below. Proposed new language is in italics; deletions are in [brackets]. * * * * * Rule 716. Block Trades (a) through (e) No change. 8 17 CFR 200.30–3(a)(12). U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. 3 Amendment No. 1 replaced the original filing in its entirety. 1 15 E:\FR\FM\14SEN1.SGM 14SEN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 71, Number 178 (Thursday, September 14, 2006)]
[Notices]
[Page 54321]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E6-15273]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-54412; File No. SR-Amex-2006-64]


Self-Regulatory Organizations; American Stock Exchange LLC; Order 
Granting Approval to a Proposed Rule Change and Amendment No. 1 Thereto 
Relating to a Retroactive Suspension of Transaction Charges for 
Specialist Orders in the Nasdaq-100 Tracking Stock[supreg] (QQQQ)

September 7, 2006.
    On July 7, 2006, the American Stock Exchange LLC (``Amex'' or 
``Exchange'') 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 retroactively apply a suspension of transaction 
charges for specialist orders in connection with the trading of the 
Nasdaq-100 Index Tracking Stock[supreg] (Symbol: QQQQ) from July 1, 
2006 through July 12, 2006. On July 27, 2006, the Exchange filed 
Amendment No. 1 to the proposed rule change.\3\ The proposed rule 
change, as amended, was published for comment in the Federal Register 
on August 8, 2006.\4\ The Commission received no comments on the 
proposal.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ Amendment No. 1 replaced and superseded the original filing 
in its entirety.
    \4\ See Securities Exchange Act Release No. 54262 (August 1, 
2006), 71 FR 45083.
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    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.\5\ 
In particular, the Commission believes that the proposal is consistent 
with Section 6(b)(4) of the Act \6\ in that it provides for the 
equitable allocation of reasonable dues, fees, and other charges among 
its members.
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    \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).
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    It is therefore ordered, pursuant to Section 19(b)(2) of the 
Act,\7\ that the proposed rule change (File No. SR-Amex-2006-64), as 
amended, be, and it hereby is, approved.
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    \7\ 15 U.S.C. 78s(b)(2).

    For the Commission, by the Division of Market Regulation, 
pursuant to delegated authority.\8\
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    \8\ 17 CFR 200.30-3(a)(12).
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J. Lynn Taylor,
Assistant Secretary.
 [FR Doc. E6-15273 Filed 9-13-06; 8:45 am]
BILLING CODE 8010-01-P

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