United States Postal Service Board of Governors; Sunshine Act Meeting, 9983 [07-1066]
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Federal Register / Vol. 72, No. 43 / Tuesday, March 6, 2007 / Notices
The NRC staff denied the Petitioner’s
request for a DFI to STPNOC. Issuance
of a DFI is not warranted because the
NRC has already reviewed and has
ready access to all the information for
which the Petitioner had requested a
DFI. NRC has also denied your request
to docket the documents for which you
requested DFI. The NRC will docket
only documents which are submitted to
the NRC. However, NRC is denying your
request for a DFI, and NRC did not
require submission of the documents in
its Confirmatory Order Modifying
License (Effective Immediately) of June
9, 1998. Instead, STPNOC maintains the
documents for ready access by the NRC
at the site.
A copy of the director’s decision will
be filed with the Secretary of the
Commission for the Commission’s
review in accordance with 10 CFR 2.206
of the Commission’s regulations. As
provided for by this regulation, the
director’s decision will constitute the
final action of the Commission 25 days
after the date of the decision, unless the
Commission, on its own motion,
institutes a review of the director’s
decision in that time.
Dated at Rockville, Maryland, this 24th day
of February 2007.
For the Nuclear Regulatory Commission.
J.E. Dyer,
Director, Office of Nuclear Reactor
Regulation.
[FR Doc. E7–3827 Filed 3–5–07; 8:45 am]
BILLING CODE 7590–01–P
POSTAL SERVICE
United States Postal Service Board of
Governors; Sunshine Act Meeting
cprice-sewell on PROD1PC67 with NOTICES
Board Votes To Close February 27, 2007
Meeting
By telephone vote on February 27,
2007, the Board of Governors of the
United States Postal Service voted
unanimously to close to public
observation its meeting held in
Washington, DC, via teleconference. The
Board determined that prior public
notice was not possible.
Item Considered: Postal Regulatory
Commission Opinion and
Recommended Decision in Docket No.
R2006–1, Postal Rate and Fee Changes.
General Counsel Certification: The
General Counsel of the United States
Postal Service has certified that the
meeting was properly closed under the
Government in the Sunshine Act.
CONTACT PERSON FOR MORE INFORMATION:
Requests for information about the
meeting should be addressed to the
VerDate Aug<31>2005
15:35 Mar 05, 2007
Jkt 211001
Secretary of the Board, Wendy A.
Hocking, at (202) 268–4800.
Wendy A. Hocking,
Secretary.
[FR Doc. 07–1066 Filed 3–2–07; 1:58 pm]
BILLING CODE 7710–12–M
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–55367; File No. 4–529]
Program for Allocation of Regulatory
Responsibilities Pursuant to Rule 17d–
2; Order Approving and Declaring
Effective a Plan for the Allocation of
Regulatory Responsibilities Between
the International Securities Exchange,
LLC and the National Association of
Securities Dealers, Inc.
February 27, 2007.
Notice is hereby given that the
Securities and Exchange Commission
(‘‘Commission’’) has issued an Order,
pursuant to Sections 17(d) 1 and
11A(a)(3)(B) 2 of the Securities Exchange
Act of 1934 (‘‘Act’’), granting approval
and declaring effective an amended and
restated plan for the allocation of
regulatory responsibilities (‘‘Plan’’) that
was filed pursuant to Rule 17d–2 under
the Act 3 by the International Securities
Exchange, LLC (‘‘ISE’’) and the National
Association of Securities Dealers, Inc.
(‘‘NASD’’) (together with ISE, the
‘‘Parties’’).4
Accordingly, NASD shall assume, in
addition to the regulatory responsibility
it has under the Act, the regulatory
responsibilities allocated to it under the
Plan. At the same time, ISE is relieved
of those regulatory responsibilities
allocated to NASD under the Plan.
I. Introduction
Section 19(g)(1) of the Act,5 among
other things, requires every selfregulatory organization (‘‘SRO’’)
registered as either a national securities
exchange or registered securities
association to examine for, and enforce
compliance by, its members and persons
associated with its members with the
Act, the rules and regulations
thereunder, and the SRO’s own rules,
unless the SRO is relieved of this
responsibility pursuant to Section
17(d) 6 or 19(g)(2) 7 of the Act. Section
1 15
U.S.C. 78q(d).
U.S.C. 78k–1(a)(3)(B).
3 17 CFR 240.17d–2.
4 See Securities Exchange Act Release No. 55057
(January 8, 2007), 72 FR 2040 (January 17, 2007)
(‘‘Notice’’).
5 15 U.S.C. 78s(g)(1).
6 15 U.S.C. 78q(d).
7 15 U.S.C. 78s(g)(2).
2 15
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9983
17(d)(1) of the Act 8 was intended, in
part, to eliminate unnecessary multiple
examinations and regulatory
duplication for those broker-dealers that
maintain memberships in more than one
SRO (‘‘common members’’).9 With
respect to a common member, Section
17(d)(1) authorizes the Commission, by
rule or order, to relieve an SRO of the
responsibility to receive regulatory
reports, to examine for and enforce
compliance with applicable statutes,
rules, and regulations, or to perform
other specified regulatory functions.
To implement Section 17(d)(1), the
Commission adopted two rules: Rule
17d–1 10 and Rule 17d–2 11 under the
Act. Rule 17d–2 permits SROs to
propose joint plans for the allocation of
regulatory responsibilities, other than
financial responsibility rules, with
respect to their common members.
Under paragraph (c) of Rule 17d–2, the
Commission may declare such a plan
effective if, after providing for notice
and comment, it determines that the
plan is necessary or appropriate in the
public interest and for the protection of
investors, to foster cooperation and
coordination among the SROs, to
remove impediments to, and foster the
development of, a national market
system and a national clearance and
settlement system, and is in conformity
with the factors set forth in Section
17(d) of the Act. Upon effectiveness of
a plan filed pursuant to Rule 17d–2, an
SRO is relieved of those regulatory
responsibilities for common members
that are allocated by the plan to another
SRO.
On January 17, 2007, the Commission
published notice of the Plan filed by ISE
and NASD.12 The Commission received
no comments on the Plan. The Plan is
intended to replace and supersede the
current 17d–2 plan between NASD and
ISE and all prior amendments thereto in
their entirety,13 and is intended to
8 15
U.S.C. 78q(d)(1).
Securities Act Amendments of 1975, Report
of the Senate Committee on Banking, Housing, and
Urban Affairs to Accompany S. 249, S. Rep. No. 94–
75, 94th Cong., 1st Session 32 (1975).
10 17 CFR 240.17d–1. Rule 17d–1 authorizes the
Commission to name a single SRO as the designated
examining authority (‘‘DEA’’) to examine common
members for compliance with the financial
responsibility requirements imposed by the Act, or
by Commission or SRO rules.
11 17 CFR 240.17d–2.
12 See Notice, supra note 4.
13 The Parties currently operate pursuant to a
17d–2 plan in which NASD has assumed certain
inspection, examination, and enforcement
responsibility for common members with respect to
certain applicable laws, rules, and regulations (the
‘‘current NASD–ISE 17d–2 plan’’). See Securities
Exchange Act Release Nos. 42668 (April 11, 2000),
65 FR 21048 (April 19, 2000) (File No. 4–431)
9 See
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[Federal Register Volume 72, Number 43 (Tuesday, March 6, 2007)]
[Notices]
[Page 9983]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 07-1066]
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POSTAL SERVICE
United States Postal Service Board of Governors; Sunshine Act
Meeting
Board Votes To Close February 27, 2007 Meeting
By telephone vote on February 27, 2007, the Board of Governors of
the United States Postal Service voted unanimously to close to public
observation its meeting held in Washington, DC, via teleconference. The
Board determined that prior public notice was not possible.
Item Considered: Postal Regulatory Commission Opinion and
Recommended Decision in Docket No. R2006-1, Postal Rate and Fee
Changes.
General Counsel Certification: The General Counsel of the United
States Postal Service has certified that the meeting was properly
closed under the Government in the Sunshine Act.
CONTACT PERSON FOR MORE INFORMATION: Requests for information about the
meeting should be addressed to the Secretary of the Board, Wendy A.
Hocking, at (202) 268-4800.
Wendy A. Hocking,
Secretary.
[FR Doc. 07-1066 Filed 3-2-07; 1:58 pm]
BILLING CODE 7710-12-M
