Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Incorporate Certain Definitions of Exchange Act Rules 13d-1 and 13d-3 Into NYSE Rule 460, 2072 [E8-304]

Download as PDF 2072 Federal Register / Vol. 73, No. 8 / Friday, January 11, 2008 / Notices • Send an e-mail to rulecomments@sec.gov. Please include File Number SR–ISE–2007–113 on the subject line. Paper Comments • Send paper comments in triplicate to Nancy M. Morris, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549–1090. All submissions should refer to File Number SR–ISE–2007–113. This file number should be included on the subject line if e-mail is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission’s Internet Web site (https://www.sec.gov/ rules/sro.shtml). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for inspection and copying in the Commission’s Public Reference Room, 100 F Street, NE., Washington, DC 20549, on official business days between the hours of 10 a.m. and 3 p.m. Copies of the filing also will be available for inspection and copying at the principal office of ISE. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR–ISE 2007–113 and should be submitted on or before February 1, 2008. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.16 Florence E. Harmon, Deputy Secretary. [FR Doc. E8–303 Filed 1–10–08; 8:45 am] ebenthall on PRODPC61 with NOTICES CFR 200.30–3(a)(12). VerDate Aug<31>2005 14:33 Jan 10, 2008 [Release No. 34–57100; File No. SR–NYSE– 2007–87] Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To Incorporate Certain Definitions of Exchange Act Rules 13d–1 and 13d–3 Into NYSE Rule 460 January 4, 2008. On September 28, 2007, the New York Stock Exchange LLC (‘‘NYSE’’ 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 amend NYSE Rule 460 to incorporate definitions from Rules 13d–1(i) and (j) and 13d–3 under the Act 3 for the purpose of determining whether a specialist is a beneficial owner of an equity security in which the specialist is registered and to make non-substantive, clarifying amendments to the rule. On October 29, 2007, the Exchange filed Amendment No. 1 to the proposed rule change. The proposed rule change, as amended, was published for comment in the Federal Register on November 19, 2007.4 The Commission received no comments on the proposal. This order approves the proposed rule change, as amended. The Commission finds that the proposed rule change is consistent with the requirements of the Act and the rules and regulations thereunder applicable to a national securities exchange,5 and, in particular, the requirement of Section 6(b)(5) of the Act,6 that the rules of an exchange are designed to, among other things, prevent fraudulent and manipulative acts and practices, promote just and equitable principles of trade, remove impediments to and perfect the mechanism of a free and open market and a national market system, and, in general, protect investors and the public interest. The Commission notes that NYSE Rule 460 does not currently provide definitions for the terms ‘‘equity 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 17 CFR 240.13d–1(i); 17 CFR 240.13d–1(j); and 17 CFR 240.13d–3. 4 See Securities Exchange Act Release No. 56777 (November 9, 2007), 72 FR 65117. 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. 15 U.S.C. 78c(f). 6 15 U.S.C. 78f(b)(5). 2 17 BILLING CODE 8011–01–P 16 17 SECURITIES AND EXCHANGE COMMISSION Jkt 214001 PO 00000 Frm 00073 Fmt 4703 Sfmt 4703 security,’’ ‘‘outstanding shares,’’ and ‘‘beneficial owner.’’ As amended, NYSE Rule 460 would apply to these terms the meanings set forth, respectively, in Rules 13d–1(i), 13d–1(j), and 13d–3, under the Act,7 thereby conforming the usage of these terms in NYSE Rule 460 to their usage in specified Commission rules. The proposed rule change also makes clarifying, non-substantive changes. The Commission finds that the proposed rule change is consistent with the Act. It is therefore ordered, pursuant to Section 19(b)(2) of the Act,8 that the proposed rule change (File No. SR– NYSE–2007–87), as modified by Amendment No. 1 thereto, be, and hereby is, approved. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.9 Florence E. Harmon, Deputy Secretary. [FR Doc. E8–304 Filed 1–10–08; 8:45 am] BILLING CODE 8011–01–P SMALL BUSINESS ADMINISTRATION [Disaster Declaration #11079 and #11080] California Disaster Number CA–00074 U.S. Small Business Administration. ACTION: Amendment 2. AGENCY: SUMMARY: This is an amendment of the Presidential declaration of a major disaster for the State of California (FEMA–1731–DR), dated 10/24/2007. Incident: Wildfires; Flooding, Mud Flows, and Debris Flows directly related to the Wildfires. Incident Period: 10/21/2007 and continuing. EFFECTIVE DATE: 01/04/2008. Physical Loan Application Deadline Date: 01/09/2008. EIDL Loan Application Deadline Date: 07/24/2008. ADDRESSES: Submit completed loan applications to: U.S. Small Business Administration, Processing and Disbursement Center, 14925 Kingsport Road, Fort Worth, TX 76155. FOR FURTHER INFORMATION CONTACT: A. Escobar, Office of Disaster Assistance, U.S. Small Business Administration, 409 3rd Street, SW., Suite 6050, Washington, DC 20416. SUPPLEMENTARY INFORMATION: The notice of the President’s major disaster 7 17 CFR 240.13d–1(i); 17 CFR 240.13d–1(j); and 17 CFR 240.13d–3. 8 15 U.S.C. 78s(b)(2). 9 17 CFR 200.30–3(a)(12). E:\FR\FM\11JAN1.SGM 11JAN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 73, Number 8 (Friday, January 11, 2008)]
[Notices]
[Page 2072]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-304]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-57100; File No. SR-NYSE-2007-87]


Self-Regulatory Organizations; New York Stock Exchange LLC; Order 
Approving Proposed Rule Change, as Modified by Amendment No. 1 Thereto, 
To Incorporate Certain Definitions of Exchange Act Rules 13d-1 and 13d-
3 Into NYSE Rule 460

January 4, 2008.
    On September 28, 2007, the New York Stock Exchange LLC (``NYSE'' 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 amend NYSE Rule 460 to incorporate definitions 
from Rules 13d-1(i) and (j) and 13d-3 under the Act \3\ for the purpose 
of determining whether a specialist is a beneficial owner of an equity 
security in which the specialist is registered and to make non-
substantive, clarifying amendments to the rule. On October 29, 2007, 
the Exchange filed Amendment No. 1 to the proposed rule change. The 
proposed rule change, as amended, was published for comment in the 
Federal Register on November 19, 2007.\4\ The Commission received no 
comments on the proposal. This order approves the proposed rule change, 
as amended.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 17 CFR 240.13d-1(i); 17 CFR 240.13d-1(j); and 17 CFR 
240.13d-3.
    \4\ See Securities Exchange Act Release No. 56777 (November 9, 
2007), 72 FR 65117.
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    The Commission finds that the proposed rule change is consistent 
with the requirements of the Act and the rules and regulations 
thereunder applicable to a national securities exchange,\5\ and, in 
particular, the requirement of Section 6(b)(5) of the Act,\6\ that the 
rules of an exchange are designed to, among other things, prevent 
fraudulent and manipulative acts and practices, promote just and 
equitable principles of trade, remove impediments to and perfect the 
mechanism of a free and open market and a national market system, and, 
in general, protect investors and the public interest. The Commission 
notes that NYSE Rule 460 does not currently provide definitions for the 
terms ``equity security,'' ``outstanding shares,'' and ``beneficial 
owner.'' As amended, NYSE Rule 460 would apply to these terms the 
meanings set forth, respectively, in Rules 13d-1(i), 13d-1(j), and 13d-
3, under the Act,\7\ thereby conforming the usage of these terms in 
NYSE Rule 460 to their usage in specified Commission rules. The 
proposed rule change also makes clarifying, non-substantive changes. 
The Commission finds that the proposed rule change is consistent with 
the Act.
---------------------------------------------------------------------------

    \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. 15 U.S.C. 78c(f).
    \6\ 15 U.S.C. 78f(b)(5).
    \7\ 17 CFR 240.13d-1(i); 17 CFR 240.13d-1(j); and 17 CFR 
240.13d-3.
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    It is therefore ordered, pursuant to Section 19(b)(2) of the 
Act,\8\ that the proposed rule change (File No. SR-NYSE-2007-87), as 
modified by Amendment No. 1 thereto, be, and hereby is, approved.
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    \8\ 15 U.S.C. 78s(b)(2).
    \9\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\9\
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E8-304 Filed 1-10-08; 8:45 am]
BILLING CODE 8011-01-P

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