Proposed Collection; Comment Request, 16387-16388 [E7-6218]
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Federal Register / Vol. 72, No. 64 / Wednesday, April 4, 2007 / Notices
Signed at Washington, DC, this 26th day of
March 2007.
Linda G. Poole,
Certifying Officer, Division of Trade
Adjustment Assistance.
[FR Doc. E7–6183 Filed 4–3–07; 8:45 am]
[FR Doc. E7–6184 Filed 4–3–07; 8:45 am]
BILLING CODE 4510–FN–P
DEPARTMENT OF LABOR
Employment and Training
Administration
BILLING CODE 4510–FN–P
[TA–W–59,189; TA–W–59,189A]
DEPARTMENT OF LABOR
Photronics, Inc., Austin, TX; Including
an Employee of Photronics, Inc.,
Austin, Texas; Located in Chandler,
Arizona; Amended Certification
Regarding Eligibility To Apply for
Worker Adjustment Assistance and
Alternative Trade Adjustment
Assistance
Employment and Training
Administration
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In accordance with Section 223 of the
Trade Act of 1974 (19 U.S.C. 2273), and
Section 246 of the Trade Act of 1974 (26
U.S.C. 2813), as amended, the
Department of Labor issued a
Certification Regarding Eligibility to
Apply for Worker Adjustment
Assistance and Alternative Trade
Adjustment Assistance on May 9, 2006,
applicable to workers of Photronics,
Inc., Austin, Texas. The notice was
published in the Federal Register on
May 24, 2006 (71 FR 29983).
At the request of a State agency, the
Department reviewed the certification
for workers of the subject firm. New
information shows that a worker
separation has occurred involving an
employee of the Austin, Texas facility of
Photronics, Inc., located in Chandler,
Arizona.
Mr. Karl White provided sales
function services for the production of
photomasks produced by the subject
firm.
Based on these findings, the
Department is amending this
certification to include employees of the
Austin, Texas facility of Photronics, Inc.
located in Chandler, Arizona.
The intent of the Department’s
certification is to include all workers of
Photronics, Inc., Austin, Texas who
were adversely affected by a shift in
production to Taiwan, Korea, China and
the United Kingdom.
The amended notice applicable to
TA–W–59,189 is hereby issued as
follows:
All workers of Photronics, Inc., Austin,
Texas (TA–W–59,189), and including an
employee located in Chandler, Arizona (TA–
W–59,189A), who became totally or partially
separated from employment on or after
March 31, 2005, through May 9, 2008, are
eligible to apply for adjustment assistance
under Section 223 of the Trade Act of 1974
and are also eligible to apply for alternative
trade adjustment assistance under Section
246 of the Trade Act of 1974.
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[TA–W–60,970]
TDS/US Automotive; Chesapeake, VA;
Notice of Termination of Investigation
Pursuant to Section 221 of the Trade
Act of 1974, as amended, an
investigation was initiated on February
16, 2007 in response to a worker
petition filed a company official on
behalf of workers at TDS/US
Automotive, Chesapeake, Virginia.
The petitioner has withdrawn the
petition. Thus, this investigation is
terminated.
Signed at Washington, DC, this 26th day of
March 2007.
Richard Church,
Certifying Officer, Division of Trade
Adjustment Assistance.
[FR Doc. E7–6182 Filed 4–3–07; 8:45 am]
BILLING CODE 4510–FN–P
SECURITIES AND EXCHANGE
COMMISSION
Proposed Collection; Comment
Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Filings and
Information Services, Washington, DC
20549.
Extension: Rule 31; SEC File No. 270–537;
OMB Control No. 3235–0597.
Notice is hereby given that pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.), the Securities
and Exchange Commission
(‘‘Commission’’) is soliciting comments
on the collection of information
summarized below. The Commission
plans to submit this existing collection
of information to the Office of
Management and Budget for extension
and approval.
Section 31 (17 CFR 240.31) of the
Securities Exchange Act of 1934 (15
U.S.C. 78ee) requires the Commission to
collect fees and assessments from
national securities exchanges and
national securities associations
(collectively, ‘‘self-regulatory
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16387
organizations’’ or ‘‘SROs’’) based on the
volume of their securities transactions.
To collect the proper amounts, the
Commission adopted Rule 31 and Form
R31 under the Exchange Act whereby
the SROs must report to the
Commission the volume of their
securities transaction and the
Commission, based on that data,
calculates the amount of fees and
assessments that the SROs owe pursuant
to Section 31. Rule 31 and Form R31
require the SROs to provide this data on
a monthly basis.
The Commission estimates that each
respondent makes approximately 12
such filings on an annual basis at an
average hourly burden of approximately
1.6 hours per response. Currently, 15
respondents (14 national securities
exchanges and one national securities
association) are subject to the collection
of information requirements of Rule 31.
The Commission estimates that the total
burden for all respondents is 288 hours
(12 filings/respondent per year × 1.6
hours/filing × 15 respondents) per year.
Written comments are invited on: (a)
Whether the proposed collection of
information is necessary for the proper
performance of the functions of the
agency, including whether the
information shall have practical utility;
(b) the accuracy of the agency’s estimate
of the burden of the proposed collection
of information; (c) ways to enhance the
quality, utility, and clarity of the
information to be collected; and (d)
ways to minimize the burden of the
collection of information on
respondents, including through the use
of automated collection techniques or
other forms of information technology.
Consideration will be given to
comments and suggestions submitted in
writing within 60 days of this
publication.
Comments regarding the above
information should be directed to the
following persons: (i) Desk Officer for
the Securities and Exchange
Commission, Office of Information and
Regulatory Affairs, Office of
Management and Budget, Room 10102,
New Executive Office Building,
Washington, DC 20503 or by sending an
e-mail to: David_Rostker@omb.eop.gov;
and (ii) R. Corey Booth, Director/Chief
Information Officer, Securities and
Exchange Commission, c/o Shirley
Martinson, 6432 General Green Way,
Alexandria, VA 22312 or by sending an
e-mail to: PRA_Mailbox@sec.gov.
Comments must be submitted to the
Office of Management and Budget
within 60 days of this notice.
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16388
Federal Register / Vol. 72, No. 64 / Wednesday, April 4, 2007 / Notices
Dated: March 26, 2007.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E7–6218 Filed 4–3–07; 8:45 am]
BILLING CODE 8010–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–55547; File No. SR–Amex–
2006–110]
Self-Regulatory Organizations;
American Stock Exchange LLC; Order
Granting Approval of Proposed Rule
Change Relating to Options Based on
Commodity Pool ETFs
March 28, 2007.
I. Introduction
On November 24, 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 proposal to amend
certain rules to permit the listing and
trading of options on securities issued
by trust issued receipts (‘‘Commodity
TIRs’’), partnership units, and other
entities (referred herein to as
‘‘Commodity Pool ETFs’’) that hold or
invest in commodity futures products.
The proposed rule change was
published for comment in the Federal
Register on February 6, 2007.3 The
Commission received no comments
regarding the proposal. This order
approves the proposed rule change.
II. Description of the Proposal
The purpose of the proposed rule
change is to enable the listing and
trading on the Exchange of options on
interests in Commodity Pool ETFs that
trade directly or indirectly commodity
futures products. As a result,
Commodity Pool ETFs are subject to the
Commodity Exchange Act (‘‘CEA’’) due
to their status as a commodity pool,4
and therefore, regulated by the
Commodity Futures Trading
Commission (‘‘CFTC’’).5 Commodity
1 15
U.S.C. 78s(b)(1).
CFR 240.19b–4.
3 See Securities Exchange Act Release No. 55187
(January 29, 2007), 72 FR 5467.
4 A ‘‘commodity pool’’ is defined in CFTC
Regulation 4.10(d)(1) as any investment trust,
syndicate, or similar form of enterprise operated for
the purpose of trading commodity interests. CFTC
regulations further provide that a ‘‘commodity
interest’’ means a commodity futures contract and
any contract, agreement or transaction subject to
Commission regulation under section 4c or 19 of
the Act. See CFTC Regulation 4.10(a).
5 The manager or operator of a ‘‘commodity pool’’
is required to register, unless applicable exclusions
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2 17
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Pool ETFs may hold or trade in one or
more types of investments that may
include any combination of securities,
commodity futures contracts, options on
commodity futures contracts, swaps,
and forward contracts.
Currently, Commentary .06 to Amex
Rule 915 provides securities deemed
appropriate for options trading shall
include shares or other securities
(‘‘Exchange-Traded Fund Shares’’) that
are principally traded on a national
securities exchange or through the
facilities of a national securities
association and reported as an NMS
security, and that: (i) Represent an
interest in a registered investment
company organized as an open-end
management investment company, a
unit investment trust or a similar entity
which holds securities constituting or
otherwise based on or representing an
investment in an index or portfolio of
securities; or (ii) represent interest in a
trust or other similar entity that holds a
specified non-U.S. currency deposited
with the trust or similar entity when
aggregated in some specified minimum
number may be surrendered to the trust
by the beneficial owner to receive the
specified non-U.S. currency and pays
the beneficial owner interest and other
distributions on the deposited non-U.S.
currency, if any, declared and paid by
the trust.
The proposal would amend
Commentary .06 to Rule 915 to expand
the type of options to include the listing
and trading of options based on shares
of Commodity Pool ETFs (the ‘‘Shares’’)
that may hold or invest directly or
indirectly in commodity futures
products, including but not limited to,
commodity futures contracts, options on
commodity futures contracts, swaps,
and forward contracts. For Commodity
Pool ETFs, a comprehensive
surveillance sharing agreement will be
required between the Exchange and the
marketplace or marketplaces with last
sale reporting that represent(s) the
highest volume in such commodity
futures contracts and/or options on
commodity futures contracts on the
specified commodities or non-U.S.
currency, which are utilized by the
national securities exchange where the
underlying Commodity Pool ETFs are
listed and traded.6 The Exchange has
represented that it has an adequate
surveillance program in place for
options based on Commodity Pool ETFs.
apply, as a commodity pool operator (‘‘CPO’’) and
commodity trading advisor (‘‘CTA’’) with the CFTC
and become a member of the National Futures
Association (‘‘NFA’’).
6 See proposed Commentary .06(a)(v) to Amex
Rule 915.
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Under the applicable continued
listing criteria in Commentary .07 to
Amex Rule 916, the options on the
Shares shall not be deemed to meet the
Exchange’s requirements for continued
approval, and the Exchange shall not
open for trading any additional series of
option contracts of the class covering
the Shares whenever the Shares are
subject to delisting as follows: (1)
Following the initial twelve-month
period beginning upon the
commencement of trading of the Shares,
there are fewer than 50 record and/or
beneficial holders of the Shares for 30
or more consecutive trading days; (2)
the value of the index, non-U.S.
currency, portfolio of commodities
including commodity futures contracts,
options on commodity futures contracts,
swaps, forward contracts and/or options
on physical commodities, or portfolio of
securities on which the Shares are based
is no longer calculated or available; or
(3) such other event occurs or condition
exists that in the opinion of the
Exchange makes further dealing on the
Exchange inadvisable. Additionally, the
options on the Shares shall not be
deemed to meet the requirements for
continued approval, and the Exchange
shall not open for trading any additional
series of option contracts of the class
covering such Shares, if the Shares are
halted from trading on their primary
market, or if the Shares are delisted, or
the value of the index or portfolio on
which the Shares are based is no longer
calculated or available.
The proposal would amend Amex
Rule 3 to require members to establish,
maintain, and enforce written policies
and procedures to prevent the misuse of
material nonpublic information it might
have or receive in a related security,
option or derivative or in the applicable
related commodity, commodity futures
or options on commodity futures, or any
other related commodity derivatives.
The proposal would also amend Amex
Rule 957 to ensure that the specialist
and Registered Traders handling the
Shares provide the Exchange with all
necessary information relating to their
trading in the applicable, physical
commodities, physical commodity
options, commodity futures contracts,
options on commodity futures contracts,
any other derivatives based on such
commodity. Lastly, the revision to Rule
957 would prohibit a specialist or
Registered Trader engaging in physical
commodities, physical commodity
options, commodity futures contracts,
options on commodity futures contracts,
any other derivatives based on such
commodity from trading in an account
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Agencies
[Federal Register Volume 72, Number 64 (Wednesday, April 4, 2007)]
[Notices]
[Pages 16387-16388]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E7-6218]
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SECURITIES AND EXCHANGE COMMISSION
Proposed Collection; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Filings and Information Services, Washington, DC
20549.
Extension: Rule 31; SEC File No. 270-537; OMB Control No. 3235-0597.
Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') is soliciting comments on the collection of
information summarized below. The Commission plans to submit this
existing collection of information to the Office of Management and
Budget for extension and approval.
Section 31 (17 CFR 240.31) of the Securities Exchange Act of 1934
(15 U.S.C. 78ee) requires the Commission to collect fees and
assessments from national securities exchanges and national securities
associations (collectively, ``self-regulatory organizations'' or
``SROs'') based on the volume of their securities transactions. To
collect the proper amounts, the Commission adopted Rule 31 and Form R31
under the Exchange Act whereby the SROs must report to the Commission
the volume of their securities transaction and the Commission, based on
that data, calculates the amount of fees and assessments that the SROs
owe pursuant to Section 31. Rule 31 and Form R31 require the SROs to
provide this data on a monthly basis.
The Commission estimates that each respondent makes approximately
12 such filings on an annual basis at an average hourly burden of
approximately 1.6 hours per response. Currently, 15 respondents (14
national securities exchanges and one national securities association)
are subject to the collection of information requirements of Rule 31.
The Commission estimates that the total burden for all respondents is
288 hours (12 filings/respondent per year x 1.6 hours/filing x 15
respondents) per year.
Written comments are invited on: (a) Whether the proposed
collection of information is necessary for the proper performance of
the functions of the agency, including whether the information shall
have practical utility; (b) the accuracy of the agency's estimate of
the burden of the proposed collection of information; (c) ways to
enhance the quality, utility, and clarity of the information to be
collected; and (d) ways to minimize the burden of the collection of
information on respondents, including through the use of automated
collection techniques or other forms of information technology.
Consideration will be given to comments and suggestions submitted in
writing within 60 days of this publication.
Comments regarding the above information should be directed to the
following persons: (i) Desk Officer for the Securities and Exchange
Commission, Office of Information and Regulatory Affairs, Office of
Management and Budget, Room 10102, New Executive Office Building,
Washington, DC 20503 or by sending an e-mail to: David--
Rostker@omb.eop.gov; and (ii) R. Corey Booth, Director/Chief
Information Officer, Securities and Exchange Commission, c/o Shirley
Martinson, 6432 General Green Way, Alexandria, VA 22312 or by sending
an e-mail to: PRA--Mailbox@sec.gov. Comments must be submitted to the
Office of Management and Budget within 60 days of this notice.
[[Page 16388]]
Dated: March 26, 2007.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E7-6218 Filed 4-3-07; 8:45 am]
BILLING CODE 8010-01-P