Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change To Require Members To File Regulatory Notices With NASD Electronically, 55537 [06-8040]

Download as PDF Federal Register / Vol. 71, No. 184 / Friday, September 22, 2006 / Notices change 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 an e-mail to rulecomments@sec.gov. Please include File Number SR–NASD–2006–102 on the subject line. [Release No. 34–54319A; File No. SR– NASD–2006–060] Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change To Require Members To File Regulatory Notices With NASD Electronically change as described in Items I, II, and III below, which Items have been prepared by NYSE Arca. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change SECURITIES AND EXCHANGE COMMISSION September 18, 2006. Correction: In FR Document No. E6–13812, beginning on page 48959 for Tuesday • Send paper comments in triplicate August 22, 2006, the first sentence to Nancy M. Morris, Secretary, under ‘‘Statutory Basis’’ in column 1 Securities and Exchange Commission, should read as follows: 100 F Street, NE., Washington, DC NASD believes that the proposed rule 20549–1090. change is consistent with the provisions of Section 15A(b)(6) of the Act,1 which All submissions should refer to File requires, among other things, that NASD Number SR–NASD–2006–102. This file rules must be designed to prevent number should be included on the subject line if e-mail is used. To help the fraudulent and manipulative acts and practices, to promote just and equitable Commission process and review your principles of trade, and, in general, to comments more efficiently, please use protect investors and the public interest, only one method. The Commission will in that the proposed rule change will post all comments on the Commission’s permit the expeditious filing of Internet Web site (https://www.sec.gov/ specified required regulatory notices rules/sro.shtml). Copies of the and other required submissions by submission, all subsequent requiring firms to file such reports and amendments, all written statements documents with NASD electronically. with respect to the proposed rule For the Commission, by the Division of change that are filed with the Market Regulation, pursuant to delegated Commission, and all written authority.2 communications relating to the Jill M. Peterson, proposed rule change between the Assistant Secretary. Commission and any person, other than [FR Doc. 06–8040 Filed 9–21–06; 8:45 am] those that may be withheld from the BILLING CODE 8010–01–M public in accordance with the provisions of 5 U.S.C. 552, will be available for inspection and copying in SECURITIES AND EXCHANGE the Commission’s Public Reference COMMISSION Room. Copies of such filing also will be [Release No. 34–54466; File No. SR– available for inspection and copying at NYSEArca–2006–48] the principal office of NASD. All comments received will be posted Self-Regulatory Organizations; NYSE without change; the Commission does Arca, Inc.; Notice of Filing of Proposed not edit personal identifying Rule Change To Amend NYSE Arca Equities, Inc.’s Clearly Erroneous information from submissions. You Executions Rule To Include an Appeal should submit only information that you wish to make available publicly. All Fee for the Archipelago Exchange submissions should refer to File September 18, 2006. Number SR–NASD–2006–102 and Pursuant to Section 19(b)(1) of the should be submitted on or before Securities Exchange Act of 1934 October 13, 2006. (‘‘Act’’),1 and Rule 19b–4 thereunder,2 sroberts on PROD1PC70 with NOTICES Paper Comments For the Commission, by the Division of Market Regulation, pursuant to delegated authority.11 Jill M. Peterson, Assistant Secretary. [FR Doc. 06–8001 Filed 9–21–06; 8:45 am] BILLING CODE 8010–01–P 11 17 VerDate Aug<31>2005 20:37 Sep 21, 2006 notice is hereby given that on August 11, 2006, NYSE Arca, Inc. (‘‘NYSE Arca’’ or ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘Commission’’) the proposed rule 1 15 U.S.C. 78o–3(b)(6). CFR 200.30–3(a)(12). 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. 2 17 CFR 200.30–3(a)(12). Jkt 208001 55537 PO 00000 Frm 00122 Fmt 4703 Sfmt 4703 NYSE Arca proposes to amend NYSE Arca Equities Rule 7.10 governing clearly erroneous executions (‘‘CEE’’) on the Archipelago Exchange, the equities trading facility of NYSE Arca Equities, Inc. (‘‘NYSE Arca Equities’’). Specifically, the Exchange proposes to assess a fee associated with the appellate mechanism of NYSE Arca Equities Rule 7.10. The text of the proposed rule change is available on NYSE Arca’s Web site (https://www.nysearca.com), at NYSE Arca’s principal office, 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, NYSE Arca 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 may be examined at the places specified in Item IV below. NYSE Arca 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 The Exchange amended NYSE Arca Equities Rule 7.10 (Clearly Erroneous Executions) to include subsections (c)(2)–(4), which amendment became effective May 16, 2005. NYSE Arca Equities Rules 7.10(c)(2)–(4) provide for an appeals panel that includes the Exchange’s Chief Regulatory Officer (‘‘CRO’’), or a designee of the CRO, and two representatives from Equity Trading Permit (‘‘ETP’’) Holders (together with the CRO, the ‘‘CEE Panel’’) to review the determination of clearly erroneous executions that are made by an NYSE Arca Equities officer under NYSE Arca Equities Rule 7.10(c)(1). As part of its continuing efforts to enhance the appeal process, the Exchange proposes to add NYSE Arca E:\FR\FM\22SEN1.SGM 22SEN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 71, Number 184 (Friday, September 22, 2006)]
[Notices]
[Page 55537]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 06-8040]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-54319A; File No. SR-NASD-2006-060]


Self-Regulatory Organizations; National Association of Securities 
Dealers, Inc.; Notice of Filing of Proposed Rule Change To Require 
Members To File Regulatory Notices With NASD Electronically

September 18, 2006.
    Correction:
    In FR Document No. E6-13812, beginning on page 48959 for Tuesday 
August 22, 2006, the first sentence under ``Statutory Basis'' in column 
1 should read as follows:
    NASD believes that the proposed rule change is consistent with the 
provisions of Section 15A(b)(6) of the Act,\1\ which requires, among 
other things, that NASD rules must be designed to prevent fraudulent 
and manipulative acts and practices, to promote just and equitable 
principles of trade, and, in general, to protect investors and the 
public interest, in that the proposed rule change will permit the 
expeditious filing of specified required regulatory notices and other 
required submissions by requiring firms to file such reports and 
documents with NASD electronically.
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    \1\ 15 U.S.C. 78o-3(b)(6).

    For the Commission, by the Division of Market Regulation, 
pursuant to delegated authority.\2\
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    \2\ 17 CFR 200.30-3(a)(12).
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Jill M. Peterson,
Assistant Secretary.
[FR Doc. 06-8040 Filed 9-21-06; 8:45 am]
BILLING CODE 8010-01-M

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