Amendment to Order and Order Extending Emergency Order Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking Temporary Action To Respond to Market Developments, 58987-58993 [E8-23861]
Download as PDF
Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Notices
Chief Information Officer, Securities
and Exchange Commission, C/O Shirley
Martinson, 6432 General Green Way,
Alexandria, Virginia 22312; or send an
e-mail to: PRA_Mailbox@sec.gov .
Dated: October 1, 2008.
Florence E. Harmon,
Acting Secretary.
[FR Doc. E8–23835 Filed 10–7–08; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Securities Exchange Act of 1934 Release
No. 58724/October 2, 2008]
Amendment to Order and Order
Extending Emergency Order Pursuant
to Section 12(k)(2) of the Securities
Exchange Act of 1934 Taking
Temporary Action To Respond to
Market Developments
jlentini on PROD1PC65 with NOTICES
Pursuant to Section 12(k)(2) of the
Securities Exchange Act of 1934
(‘‘Exchange Act’’),1 on September 18,
2008, the Securities and Exchange
Commission (‘‘Commission’’) issued an
Emergency Order,2 as amended on
September 21, 2008 (the ‘‘Order’’),3
requiring institutional investment
managers to report short sales of certain
publicly traded securities. That Order
took effect on September 22, 2008, and
required the filing of a Form SH on
September 29, 2008. The Order is
currently set to terminate on October 2,
2008.
Pursuant to its authority under
Section 12(k)(2)(C) of the Exchange Act,
the Commission is extending the Order.
Section 12(k)(2)(C) authorizes the
Commission to extend an emergency
order issued pursuant to Section
12(k)(2)(A) of the Exchange Act for a
total effective period of up to 30
calendar days, if the Commission finds
that the emergency still exists and
determines that an extension is
necessary in the public interest and for
the protection of investors to maintain
fair and orderly securities markets. As a
result of the extension, Forms SH shall
be required to be filed on October 6,
2008, and October 14, 2008.4 The
Commission is also making technical
amendments to Form SH and its
accompanying Instructions.
The Commission continues to be
concerned about the potential for
1 15
U.S.C. 78l(k)(2).
2 See Exchange Act Release No. 58591 (September
18, 2008).
3 See Exchange Act Release No. 58591A
(September 21, 2008).
4 These reports must be filed electronically using
the Commission’s EDGAR system.
VerDate Aug<31>2005
18:10 Oct 07, 2008
Jkt 217001
sudden and excessive fluctuations of
securities prices and disruption in the
functioning of the securities markets
that could threaten fair and orderly
markets. The Commission also
continues to believe that some persons
may take advantage of issuers that have
become temporarily weakened by
current market conditions to engage in
inappropriate short selling in the
securities of such issuers. Therefore, the
Commission has concluded that it
remains necessary to require certain
institutional investment managers to
report information concerning short
sales of securities. Accordingly, the
Commission has determined that
extending the Order is necessary in the
public interest and for the protection of
investors to maintain fair and orderly
securities markets.
The Commission believes that the
nonpublic submission of Form SH may
help prevent artificial volatility in
securities as well as further downward
swings that are caused by short selling,
while at the same time, providing the
Commission with useful information to
combat market manipulation that
threatens investors and capital markets.
Also, the Commission has considered
further the reasons to maintain the
information as nonpublic in the current
market environment, and is concerned
that publicly available Form SH data
could give rise to additional, imitative
short selling that was not intended by
the Commission’s Order. Accordingly,
the Commission has determined that
Forms SH filed under the Order
including those that were due on
September 29, 2008, will remain
nonpublic to the extent permitted by
law without the filer needing to submit
a confidential treatment request.
Therefore, it is ordered, pursuant to
Section 12(k)(2)(C) of the Exchange Act,
that the Order is extended such that it
will terminate at 11:59 p.m. EDT on
Friday, October 17, 2008.
By the Commission.
Florence E. Harmon,
Acting Secretary.
Form SH—Information Required of
Institutional Investment Managers Pursuant
to Emergency Order, Securities Exchange
Act of 1934 Release No. 58591a, September
21, 2008, and Emergency Order, Securities
Exchange Act of 1934 Release No. 58724,
October 2, 2008
General Instructions
1. Rule as to Use of Form SH. Institutional
investment managers (‘‘Managers’’) must use
Form SH for reports to the Commission
required by the Commission’s Emergency
Order, Securities Exchange Act of 1934
Release No. 58591A, September 21, 2008,
and Emergency Order, Securities Exchange
PO 00000
Frm 00064
Fmt 4703
Sfmt 4703
58987
Act Release No. 58724, dated October 2, 2008
(together, the ‘‘Form SH Emergency Orders’’).
The Form SH Emergency Orders provide that
every Manager that exercises investment
discretion with respect to accounts holding
section 13(f) securities, as defined in rule
13f–1(c) under the Securities Exchange Act of
1934 [15 U.S.C. 78m(f)] (‘‘Exchange Act’’),
who has filed or was required to file a Form
13F for the calendar quarter ended June 30,
2008, must file a non-public report on Form
SH with the Commission to report certain
information about short sales and short
positions. The non-public Form SH filing
must be made on the Monday (or, if Monday
is a federal holiday, the first business day
thereafter) of each calendar week
immediately following a Form SH reporting
period (i.e., the preceding Sunday-Saturday
calendar week) in which the Manager has
entered into any new short positions with
respect to any section 13(f) securities except
for any short position(s) for options (‘‘SH
Short Positions’’). The non-public Form SH
will report SH Short Positions for the
Sunday-Saturday calendar week that
precedes the date on which the Form SH is
due to be filed.
2. Rules to Prevent Duplicative Reporting.
If two or more Managers, each of which is
required by the Form SH Emergency Orders
to file a report on Form SH for the reporting
period, exercise investment discretion with
respect to the same securities, only one such
Manager must include information in its
reports on Form SH.
A Manager having information that is
required by the Form SH Emergency Orders
to be reported on Form SH, and such
information is reported by another Manager
(or Managers), such Manager must identify
the Manager(s) reporting on its behalf in the
manner described in Special Instruction 6.
3. Filing of Form SH. A Form SH report
that is filed by a Manager with the
Commission shall be non-public upon filing.
A Manager must label its Form SH as nonpublic by adding the phrase NON–PUBLIC
(in bold and capital letters) at the top and
bottom of each page of the entire form, i.e.,
each page(s) of the Form SH Cover Page (the
‘‘Cover Page’’), the Form SH Summary Page
(the ‘‘Summary Page’’), and the Form SH
Information Table (the ‘‘Information Table’’).
A Manager must file a Form SH report with
the Commission on or before 5:30 p.m.
Eastern Daylight Time on the Monday (or, if
Monday is a federal holiday, the first
business day thereafter) of each week
immediately following the preceding seven
calendar day period in which the Manager
has entered into any new SH Short
Position(s). The Form SH must be filed
electronically using the Commission’s
EDGAR system.
4. Official List of Section 13(f) Securities.
The official list of section 13(f) securities
published by the Commission (the ‘‘13F
List’’) lists the securities the holdings of
which a Manager is to report on Form 13F.
See rule 13f–1(c) [17 CFR 240.13f–1(c)]. Form
SH filers may rely on the current 13F List in
determining whether they need to report on
Form SH information about any particular
equity security, excluding short positions for
options that are on the 13F List. The 13F List
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58988
Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Notices
jlentini on PROD1PC65 with NOTICES
is available on the SEC’s Web site, at https://
www.sec.gov/divisions/investment/
13flists.htm. Paper copies are available at a
reasonable fee from the Securities and
Exchange Commission, Public Reference
Room, 100 F Street, NE., Washington, DC
20549.
Special Instructions
1. This form consists of three parts: the
Cover Page, the Summary Page, and the
Information Table.
2. When preparing the report, omit all
bracketed text. Include brackets used to form
check boxes.
The Cover Page:
3. The period end date used in the report
(and in the EDGAR submission header) is the
Saturday before the Form SH is filed. The
date should name the month, and express the
day and year in Arabic numerals, with the
year being a four-digit numeral (i.e., 2008).
4. Amendments to a Form SH must either
restate the Form SH in its entirety or include
only entries that are being reported in
addition to those already reported in a
current Form SH for the same period. If the
Manager is filing the Form SH report as an
amendment, then the Manager must check
the amendment box on the Cover Page; enter
the amendment number; and check the
appropriate box to indicate whether the
amendment (a) is a restatement or (b) adds
new entries. Each amendment must include
a complete Cover Page and, if applicable, a
Summary Page and Information Table.
Amendments must be filed sequentially.
5. Present the Cover Page and the Summary
Page information in the format and order
provided in the form. The Cover Page may
include information in addition to the
required information, so long as the
additional information does not, either by its
nature, quantity, or manner of presentation,
impede the understanding or presentation of
the required information. Place all additional
information after the signature of the person
signing the report (immediately preceding
the Report Type section). Do not include any
additional information on the Summary Page
or in the Information Table.
6. Designate the Report Type for the Form
SH by checking the appropriate box in the
Report Type section of the Cover Page, and
include, where applicable, the List of Other
Managers Reporting for this Manager (on the
Cover Page), the Summary Page and the
Information Table, as follows:
a. If all of the information that a Manager
is required by the Form SH Emergency
Orders to report on Form SH is reported by
another Manager (or Managers), check the
box for Report Type ‘‘FORM SH NOTICE,’’
include (on the Cover Page) the List of Other
Managers Reporting for this Manager, and
omit both the Summary Page and the
Information Table.
b. If all of the information that a Manager
is required by the Form SH Emergency
Orders to report on Form SH is reported in
this report, check the box for Report Type
‘‘FORM SH ENTRIES REPORT,’’ omit from
the Cover Page the List of Other Managers
Reporting for this Manager, and include both
the Summary Page and the Information
Table.
VerDate Aug<31>2005
18:10 Oct 07, 2008
Jkt 217001
c. If only a part of the information that a
Manager is required by the Form SH
Emergency Orders to report on Form SH is
reported in this report, check the box for
Report Type ‘‘FORM SH COMBINATION
REPORT,’’ include (on the Cover Page) the
List of Other Managers Reporting for this
Manager, and include both the Summary
Page and the Information Table.
Summary Page:
7. Include on the Summary Page the Report
Summary, containing the Number of Other
Included Managers, the Information Table
Entry Total and the Information Table Value
Total.
a. Enter as the Number of Other Included
Managers the total number of other Managers
listed in the List of Other Included Managers
on the Summary Page, not counting the
Manager filing this report. See Special
Instruction 8. If none, enter the number zero
(‘‘0’’).
b. Enter as the Information Table Entry
Total the total number of line entries
providing issuer information included in the
Information Table.
c. Enter as the Information Table Value
Total the aggregate fair market value in U.S.
dollars (× $1000) of all securities sold short
during the reporting period that are required
to be reported on Form SH. The Information
Table Value Total is determined by
multiplying the Number of Securities Sold
Short (Day) (Column 4) by the closing market
price of the security on that day, or, when
applicable, the most recent business day. The
Manager must express this total as a rounded
figure. See Special Instruction 9.
8. Include on the Summary Page the List
of Other Included Managers. Use the title,
column headings and format provided.
a. If this Form SH does not report the
information that a Manager is required by the
Form SH Emergency Orders to report on
Form SH of any Manager other than the
Manager filing this report, enter the word
‘‘NONE’’ under the title and omit the column
headings and list entries.
b. If this Form SH reports the information
that a Manager is required by the Form SH
Emergency Orders to report on Form SH of
one or more Managers other than the
Manager filing this report, enter in the List
of Other Included Managers all such
Managers together with their respective Form
13F file numbers, if known. (The Form 13F
file numbers are assigned to Managers when
they file their first Form 13F). Assign a
number to each Manager in the List of Other
Included Managers, and present the list in
sequential order. The numbers need not be
consecutive. The List of Other Managers
cannot include the Manager filing this report.
Information Table:
9. In determining the fair market value of
securities sold short, a Manager must use the
market price of the section 13(f) securities as
of the close of floor trading on the New York
Stock Exchange (‘‘NYSE’’) for the day in
question. If the securities are sold short on
a non-business day, a Manager must use the
market price of the section 13(f) securities as
of the close of the NYSE for the most recent
business day. Such market closing time shall
be used to determine the price for all SH
Short Positions, irrespective of which U.S.
PO 00000
Frm 00065
Fmt 4703
Sfmt 4703
equity market the issuer trades on. Enter
values rounded to the nearest one thousand
dollars (with ‘‘000’’ omitted).
10. Furnish the Information Table using
the table title, column headings and format
provided. Provide column headings once at
the beginning of each page of the Information
Table. Present the table in accordance with
the column instructions provided in Special
Instructions 10.a.i through 10.a.viii. Do not
include any additional information in the
Information Table. Begin the Information
Table on a new page for each day of the prior
calendar week, and number any
supplemental pages for a day using the page
number and upper case letters (e.g., MondayPage 2, Monday-Page 2A, Monday-Page 2B,
etc.). Do not include any portion of the
Information Table on either the Cover Page
or the Summary Page.
a. Instructions for each column in the
Information Table:
i. Column 1. Name of Issuer. Enter in
Column 1 the name of the issuer as it appears
in the current 13F List. Reasonable
abbreviations are permitted.
ii. Column 2. CUSIP Number. Enter in
Column 2 the nine (9) digit CUSIP number
of the security for which information is being
reported.
iii. Column 3. Short Position (Start of Day).
Enter in Column 3 the number of securities
that represent the Manager’s short position in
the issuer as of the start of each calendar day
during the reporting period. The Short
Position (Start of Day) for Monday,
September 22, 2008 shall be zero.
iv. Column 4. Number of Securities Sold
Short (Day). Enter in Column 4 the aggregate
number of securities in the issuer that the
Manager sold short for each calendar day
during the reporting period.
v. Column 5. Value of Securities Sold Short
(Day). Enter in Column 5 the market value in
U.S. dollars (x $1,000) of the number of
securities reported in Column 4. In valuing
such securities, use the fair market value for
each security. See Special Instruction 9.
vi. Column 6. Short Position (End of Day).
Enter in Column 6 the number of securities
that represent the Manager’s short position in
the issuer as of the end of each calendar day
during the reporting period.
vii. Column 7. Largest Intraday Short
Position. Enter in Column 7 the number of
securities that represent the Manager’s largest
single short position in the issuer for each
calendar day during the reporting period.
viii. Column 8. Time of Day of Largest
Intraday Short Position. Enter in Column 7
the time of day (Eastern Daylight Time) that
the Manager had the largest single short
position in the issuer, as reported in Column
7.
11. Preparation of the electronic filing:
Filing documents may be submitted in
either ASCII or HTML document format. For
ASCII submissions, please note items a, b,
and c. Preparation of the filing document
should follow instructions in the EDGAR
Filer Manual, (Volume 2) EDGAR Filing
available on the SEC’s website at https://
www.sec.gov/info/edgar/edmanuals.htm.
a. No line on the Cover Page or the
Summary Page may exceed 80 characters in
length. See rule 305 of Regulation S–T [17
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Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Notices
CFR 232.305]. The EDGAR <TABLE> tag may
be used if it is necessary to increase the
width of a line on the Cover Page or the
Summary Page in a Form SH that is
formatted in ASCII. See EDGAR Filer Manual
(Volume 2) for details on the use of this tag.
b. No line in the Form SH Information
Table may exceed 132 characters in length.
See rule 305 of Regulation S–T [17 CFR
232.305].
c. If the Form SH Report Type is ‘‘SH
ENTRIES REPORT’’ or ‘‘SH COMBINATION
REPORT,’’ then place one EDGAR <PAGE>
tag at the end of the Cover Page and one
<PAGE> tag at the end of the Summary Page.
Additional EDGAR <PAGE> tags are not
required. Those electing to include
additional <PAGE> tags should, for each
page containing a <PAGE> tag, include no
more than sixty (60) lines per page, including
the line on which the <PAGE> tag is placed.
d. In preparing the Form SH report for
electronic filing, a Manager may omit
underscoring used in the form to indicate the
placement of information that the Manager is
to furnish.
e. Use the following EDGAR submission
types for the following Form SH Report
Types:
Form SH report type
FORM SH ENTRIES
REPORT:
Initial Filing ..........................
Amendments .........................
FORM SH NOTICE:
Initial Filing ..........................
Amendments .........................
FORM SH COMBINATION REPORT:
Initial Filing ..........................
Amendments .........................
SH–NT
SH–NT/A
SH–ER
SH–ER/A
Filings with the form types set forth in this
instruction will be filed on a non-public
basis.
Paperwork Reduction Act Information
The Office of Management and Budget has
approved this collection of information
pursuant to 44 U.S.C. 3507 and 5 CFR
[Signature]
lllllllllllllllllllll
[City, State]
lllllllllllllllllllll
[Date]
Report Type (Check only one):
b FORM SH ENTRIES REPORT. (Check here
if all entries of this reporting manager are
reported in this report.)
b FORM SH NOTICE. (Check here if no
entries reported are in this report, and all
entries are reported by other reporting
manager(s).)
b FORM SH COMBINATION REPORT.
UNITED STATES SECURITIES AND
EXCHANGE COMMISSION, Washington, DC (Check here if a portion of the entries for this
reporting manager is reported in this report
20549
and a portion is reported by other reporting
FORM SH
manager(s).)
FORM SH COVER PAGE
List of Other Managers Reporting for this
Manager:
Report for the Period Ended:
lllllllllllllllllllll [If there are no entries in this list, omit this
section.]
[Month, Day, Year]
Form 13F File Number:
Check here if Amendment b;
Amendment Number: llllllllll 28–[Repeat as necessary.] lllllllll
Name: lllllllllllllllll
This Amendment (Check only one):
b is a restatement.
FORM SH SUMMARY PAGE
b adds new entries.
Report Summary:
Institutional Investment Manager Filing this
Number of Other Included Managers: llllllllll
Report:
Name: lllllllllllllllll Form SH Information Table Entry Total: llllllll
Address: llllllllllllllll Form SH Information Table Value Total:
lllllllllllllllllllll lllllllllllllllllllll
lllllllllllllllllllll (thousands)
Form 13F File Number: 28– llllllll List of Other Included Managers:
The institutional investment manager filing
Provide a numbered list of the name(s) and
this report and the person by whom it is
Form 13F file number(s) of all institutional
signed hereby represent that the person
investment managers with respect to which
signing the report is authorized to submit it,
this Form SH report is filed, other than the
that all information contained herein is true,
manager filing this report.
correct and complete, and that it is
[If there are no entries in this list, state
understood that all required items,
‘‘NONE’’ and omit the column headings and
statements, schedules, lists, and tables, are
list entries.]
considered integral parts of this form.
No. lllllllllllllllllll
Person Signing this Report on Behalf of
Form 13F File Number:
Reporting Manager:
Name: lllllllllllllllll 28– lllllllllllllllllll
Title: llllllllllllllllll Name: lllllllllllllllll
Phone: lllllllllllllllll [Repeat as necessary.]
Signature, Place, and Date of Signing:
lllllllllllllllllllll
1320.13. The OMB control number for this
collection of information is 3235–0646. An
agency may not conduct or sponsor, and a
person is not required to respond to, a
collection of information unless it displays a
currently valid control number. We estimate
that providing the requested information will
take, on average, approximately 5 hours. Any
member of the public may direct to the
Commission any comments concerning the
accuracy of this burden estimate and any
suggestions for reducing this burden. See
Form SH Emergency Orders regarding
confidentiality.
EDGAR
submission
type
SH–ER
SH–ER/A
58989
FORM SH INFORMATION TABLE—PAGE 1
Sunday [Month, Day, Year]
VerDate Aug<31>2005
CUSIP
Column 1
jlentini on PROD1PC65 with NOTICES
Name of issuer
Short position (start of
day)
Column 2
Column 3
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PO 00000
Frm 00066
Fmt 4703
Number of
securities
sold short
(day)
Value of securities sold
short (day)
(X $1,000)
Short position (end of
day)
Largest
intraday
short position
Time of day
of largest
intraday
short position
Column 4
Column 5
Column 6
Column 7
Column 8
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58990
Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Notices
FORM SH INFORMATION TABLE—PAGE 1—Continued
Sunday [Month, Day, Year]
Name of issuer
CUSIP
Short position (start of
day)
Column 1
Column 2
Column 3
Number of
securities
sold short
(day)
Value of securities sold
short (day)
(X $1,000)
Short position (end of
day)
Largest
intraday
short position
Time of day
of largest
intraday
short position
Column 4
Column 5
Column 6
Column 7
Column 8
FORM SH INFORMATION TABLE—PAGE 2
Monday [Month, Day, Year]
Name of issuer
CUSIP
Short position (start of
day)
Column 1
Column 2
Column 3
Number of
securities
sold short
(day)
Value of securities sold
short (day)
(X $1,000)
Short position (end of
day)
Largest
intraday
short position
Time of day
of largest
intraday
short position
Column 4
Column 5
Column 6
Column 7
Column 8
FORM SH INFORMATION TABLE—PAGE 3
Tuesday [Month, Day, Year]
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Name of issuer
Column 1
VerDate Aug<31>2005
CUSIP
Short position (start of
day)
Column 2
Column 3
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PO 00000
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Fmt 4703
Number of
securities
sold short
(day)
Value of securities sold
short (day)
(X $1,000)
Short position (end of
day)
Largest
intraday
short position
Time of day
of largest
intraday
short position
Column 4
Column 5
Column 6
Column 7
Column 8
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Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Notices
58991
FORM SH INFORMATION TABLE—PAGE 3—Continued
Tuesday [Month, Day, Year]
Name of issuer
CUSIP
Short position (start of
day)
Column 1
Column 2
Column 3
Number of
securities
sold short
(day)
Value of securities sold
short (day)
(X $1,000)
Short position (end of
day)
Largest
intraday
short position
Time of day
of largest
intraday
short position
Column 4
Column 5
Column 6
Column 7
Column 8
FORM SH INFORMATION TABLE—PAGE 4
Wednesday [Month, Day, Year]
VerDate Aug<31>2005
CUSIP
Column 1
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Name of issuer
Short position (start of
day)
Column 2
Column 3
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PO 00000
Frm 00068
Fmt 4703
Number of
securities
sold short
(day)
Value of securities sold
short (day)
(X $1,000)
Short position (end of
day)
Largest
intraday
short position
Time of day
of largest
intraday
short position
Column 4
Column 5
Column 6
Column 7
Column 8
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58992
Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Notices
FORM SH INFORMATION TABLE—PAGE 5
Thursday [Month, Day, Year]
Name of issuer
CUSIP
Short position (start of
day)
Column 1
Column 2
Column 3
Number of
securities
sold short
(day)
Value of securities sold
short (day)
(X $1,000)
Short position (end of
day)
Largest
intraday
short position
Time of day
of largest
intraday
short position
Column 4
Column 5
Column 6
Column 7
Column 8
FORM SH INFORMATION TABLE—PAGE 6
Friday [Month, Day, Year]
VerDate Aug<31>2005
CUSIP
Column 1
jlentini on PROD1PC65 with NOTICES
Name of issuer
Short position (start of
day)
Column 2
Column 3
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PO 00000
Frm 00069
Fmt 4703
Number of
securities
sold short
(day)
Value of securities sold
short (day)
(X $1,000)
Short position (end of
day)
Largest
intraday
short position
Time of day
of largest
intraday
short position
Column 4
Column 5
Column 6
Column 7
Column 8
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Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Notices
58993
FORM SH INFORMATION TABLE—PAGE 7
Saturday [Month, Day, Year]
Name of issuer
CUSIP
Short position (start of
day)
Column 1
Column 2
Column 3
[FR Doc. E8–23861 Filed 10–7–08; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–58695, File No. 4–518]
Joint Industry Plan; Notice of Filing
and Order Granting Temporary
Effectiveness of Amendment To Plan
Establishing Procedures Under Rule
605 of Regulation NMS
September 30, 2008.
Pursuant to Section 11A(a)(3) of the
Securities Exchange Act of 1934
(‘‘Act’’) 1 and Rule 608 of Regulation
NMS,2 notice is hereby given that on
September 19, 2008, the BATS
Exchange, Inc. (‘‘BATS’’ or ‘‘BATS
Exchange’’) submitted to the Securities
and Exchange Commission (‘‘SEC’’ or
‘‘Commission’’) an amendment to the
national market system plan that
establishes procedures under Rule 605
of Regulation NMS (‘‘Joint-SRO Plan’’ or
‘‘Plan’’).3 The amendment proposes to
1 15
U.S.C. 78k–1(a)(3).
CFR 242.608.
3 17 CFR 242.605. On April 12, 2001, the
Commission approved a national market system
plan for the purpose of establishing procedures for
market centers to follow in making their monthly
reports available to the public under Rule 11Ac1–
5 under the Act (n/k/a Rule 605 of Regulation
NMS). See Securities Exchange Act Release No.
jlentini on PROD1PC65 with NOTICES
2 17
VerDate Aug<31>2005
18:10 Oct 07, 2008
Jkt 217001
Number of
securities
sold short
(day)
Value of securities sold
short (day)
(X $1,000)
Short position (end of
day)
Largest
intraday
short position
Time of day
of largest
intraday
short position
Column 4
Column 5
Column 6
Column 7
Column 8
add BATS as a participant to the JointSRO Plan. The Commission is
publishing this notice and order to
solicit comments from interested
persons on the proposed Joint-SRO Plan
amendment, and to grant temporary
effectiveness to the proposed
amendment through February 5, 2009.
I. Description and Purpose of the
Amendment
The current participants to the JointSRO Plan are the American Stock
Exchange LLC, Boston Stock Exchange,
Inc., Chicago Board Options Exchange,
Incorporated, Chicago Stock Exchange,
Inc., Cincinnati Stock Exchange, Inc. (n/
k/a National Stock ExchangeSM ),
International Securities Exchange, LLC,
The NASDAQ Stock Market LLC,
National Association of Securities
Dealers, Inc. (n/k/a Financial Industry
Regulatory Authority, Inc.), New York
Stock Exchange, Inc. (n/k/a New York
Stock Exchange LLC), Pacific Exchange,
Inc. (n/k/a NYSE Arca, Inc.), and
Philadelphia Stock Exchange, Inc. (n/k/
a NASDAQ OMX PHLX, Inc.). The
proposed amendment would add BATS
as a participant to the Joint-SRO Plan.
BATS has submitted a signed copy of
the Joint-SRO Plan to the Commission
in accordance with the procedures set
44177 (April 12, 2001), 66 FR 19814 (April 17,
2001).
PO 00000
Frm 00070
Fmt 4703
Sfmt 4703
forth in the Plan regarding new
participants. Section III(b) of the JointSRO Plan provides that a national
securities exchange or national
securities association may become a
party to the Plan by: (i) Executing a copy
of the Plan, as then in effect (with the
only changes being the addition of the
new participant’s name in Section 11(a)
of the Plan and the new participant’s
single-digit code in Section VI(a)(1) of
the Plan) and (ii) submitting such
executed plan to the Commission for
approval.
II. Solicitation of Comments
Interested persons are invited to
submit written data, views, and
arguments concerning the foregoing,
including whether the proposed JointSRO Plan amendment 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 4–518 on the subject line.
Paper Comments
• Send paper comments in triplicate
to Secretary, Securities and Exchange
E:\FR\FM\08OCN1.SGM
08OCN1
[Federal Register Volume 73, Number 196 (Wednesday, October 8, 2008)]
[Notices]
[Pages 58987-58993]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-23861]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Securities Exchange Act of 1934 Release No. 58724/October 2, 2008]
Amendment to Order and Order Extending Emergency Order Pursuant
to Section 12(k)(2) of the Securities Exchange Act of 1934 Taking
Temporary Action To Respond to Market Developments
Pursuant to Section 12(k)(2) of the Securities Exchange Act of 1934
(``Exchange Act''),\1\ on September 18, 2008, the Securities and
Exchange Commission (``Commission'') issued an Emergency Order,\2\ as
amended on September 21, 2008 (the ``Order''),\3\ requiring
institutional investment managers to report short sales of certain
publicly traded securities. That Order took effect on September 22,
2008, and required the filing of a Form SH on September 29, 2008. The
Order is currently set to terminate on October 2, 2008.
---------------------------------------------------------------------------
\1\ 15 U.S.C. 78l(k)(2).
\2\ See Exchange Act Release No. 58591 (September 18, 2008).
\3\ See Exchange Act Release No. 58591A (September 21, 2008).
---------------------------------------------------------------------------
Pursuant to its authority under Section 12(k)(2)(C) of the Exchange
Act, the Commission is extending the Order. Section 12(k)(2)(C)
authorizes the Commission to extend an emergency order issued pursuant
to Section 12(k)(2)(A) of the Exchange Act for a total effective period
of up to 30 calendar days, if the Commission finds that the emergency
still exists and determines that an extension is necessary in the
public interest and for the protection of investors to maintain fair
and orderly securities markets. As a result of the extension, Forms SH
shall be required to be filed on October 6, 2008, and October 14,
2008.\4\ The Commission is also making technical amendments to Form SH
and its accompanying Instructions.
---------------------------------------------------------------------------
\4\ These reports must be filed electronically using the
Commission's EDGAR system.
---------------------------------------------------------------------------
The Commission continues to be concerned about the potential for
sudden and excessive fluctuations of securities prices and disruption
in the functioning of the securities markets that could threaten fair
and orderly markets. The Commission also continues to believe that some
persons may take advantage of issuers that have become temporarily
weakened by current market conditions to engage in inappropriate short
selling in the securities of such issuers. Therefore, the Commission
has concluded that it remains necessary to require certain
institutional investment managers to report information concerning
short sales of securities. Accordingly, the Commission has determined
that extending the Order is necessary in the public interest and for
the protection of investors to maintain fair and orderly securities
markets.
The Commission believes that the nonpublic submission of Form SH
may help prevent artificial volatility in securities as well as further
downward swings that are caused by short selling, while at the same
time, providing the Commission with useful information to combat market
manipulation that threatens investors and capital markets. Also, the
Commission has considered further the reasons to maintain the
information as nonpublic in the current market environment, and is
concerned that publicly available Form SH data could give rise to
additional, imitative short selling that was not intended by the
Commission's Order. Accordingly, the Commission has determined that
Forms SH filed under the Order including those that were due on
September 29, 2008, will remain nonpublic to the extent permitted by
law without the filer needing to submit a confidential treatment
request.
Therefore, it is ordered, pursuant to Section 12(k)(2)(C) of the
Exchange Act, that the Order is extended such that it will terminate at
11:59 p.m. EDT on Friday, October 17, 2008.
By the Commission.
Florence E. Harmon,
Acting Secretary.
Form SH--Information Required of Institutional Investment Managers
Pursuant to Emergency Order, Securities Exchange Act of 1934 Release
No. 58591a, September 21, 2008, and Emergency Order, Securities
Exchange Act of 1934 Release No. 58724, October 2, 2008
General Instructions
1. Rule as to Use of Form SH. Institutional investment managers
(``Managers'') must use Form SH for reports to the Commission
required by the Commission's Emergency Order, Securities Exchange
Act of 1934 Release No. 58591A, September 21, 2008, and Emergency
Order, Securities Exchange Act Release No. 58724, dated October 2,
2008 (together, the ``Form SH Emergency Orders''). The Form SH
Emergency Orders provide that every Manager that exercises
investment discretion with respect to accounts holding section 13(f)
securities, as defined in rule 13f-1(c) under the Securities
Exchange Act of 1934 [15 U.S.C. 78m(f)] (``Exchange Act''), who has
filed or was required to file a Form 13F for the calendar quarter
ended June 30, 2008, must file a non-public report on Form SH with
the Commission to report certain information about short sales and
short positions. The non-public Form SH filing must be made on the
Monday (or, if Monday is a federal holiday, the first business day
thereafter) of each calendar week immediately following a Form SH
reporting period (i.e., the preceding Sunday-Saturday calendar week)
in which the Manager has entered into any new short positions with
respect to any section 13(f) securities except for any short
position(s) for options (``SH Short Positions''). The non-public
Form SH will report SH Short Positions for the Sunday-Saturday
calendar week that precedes the date on which the Form SH is due to
be filed.
2. Rules to Prevent Duplicative Reporting. If two or more
Managers, each of which is required by the Form SH Emergency Orders
to file a report on Form SH for the reporting period, exercise
investment discretion with respect to the same securities, only one
such Manager must include information in its reports on Form SH.
A Manager having information that is required by the Form SH
Emergency Orders to be reported on Form SH, and such information is
reported by another Manager (or Managers), such Manager must
identify the Manager(s) reporting on its behalf in the manner
described in Special Instruction 6.
3. Filing of Form SH. A Form SH report that is filed by a
Manager with the Commission shall be non-public upon filing. A
Manager must label its Form SH as non-public by adding the phrase
NON-PUBLIC (in bold and capital letters) at the top and bottom of
each page of the entire form, i.e., each page(s) of the Form SH
Cover Page (the ``Cover Page''), the Form SH Summary Page (the
``Summary Page''), and the Form SH Information Table (the
``Information Table'').
A Manager must file a Form SH report with the Commission on or
before 5:30 p.m. Eastern Daylight Time on the Monday (or, if Monday
is a federal holiday, the first business day thereafter) of each
week immediately following the preceding seven calendar day period
in which the Manager has entered into any new SH Short Position(s).
The Form SH must be filed electronically using the Commission's
EDGAR system.
4. Official List of Section 13(f) Securities. The official list
of section 13(f) securities published by the Commission (the ``13F
List'') lists the securities the holdings of which a Manager is to
report on Form 13F. See rule 13f-1(c) [17 CFR 240.13f-1(c)]. Form SH
filers may rely on the current 13F List in determining whether they
need to report on Form SH information about any particular equity
security, excluding short positions for options that are on the 13F
List. The 13F List
[[Page 58988]]
is available on the SEC's Web site, at https://www.sec.gov/divisions/
investment/13flists.htm. Paper copies are available at a reasonable
fee from the Securities and Exchange Commission, Public Reference
Room, 100 F Street, NE., Washington, DC 20549.
Special Instructions
1. This form consists of three parts: the Cover Page, the
Summary Page, and the Information Table.
2. When preparing the report, omit all bracketed text. Include
brackets used to form check boxes.
The Cover Page:
3. The period end date used in the report (and in the EDGAR
submission header) is the Saturday before the Form SH is filed. The
date should name the month, and express the day and year in Arabic
numerals, with the year being a four-digit numeral (i.e., 2008).
4. Amendments to a Form SH must either restate the Form SH in
its entirety or include only entries that are being reported in
addition to those already reported in a current Form SH for the same
period. If the Manager is filing the Form SH report as an amendment,
then the Manager must check the amendment box on the Cover Page;
enter the amendment number; and check the appropriate box to
indicate whether the amendment (a) is a restatement or (b) adds new
entries. Each amendment must include a complete Cover Page and, if
applicable, a Summary Page and Information Table. Amendments must be
filed sequentially.
5. Present the Cover Page and the Summary Page information in
the format and order provided in the form. The Cover Page may
include information in addition to the required information, so long
as the additional information does not, either by its nature,
quantity, or manner of presentation, impede the understanding or
presentation of the required information. Place all additional
information after the signature of the person signing the report
(immediately preceding the Report Type section). Do not include any
additional information on the Summary Page or in the Information
Table.
6. Designate the Report Type for the Form SH by checking the
appropriate box in the Report Type section of the Cover Page, and
include, where applicable, the List of Other Managers Reporting for
this Manager (on the Cover Page), the Summary Page and the
Information Table, as follows:
a. If all of the information that a Manager is required by the
Form SH Emergency Orders to report on Form SH is reported by another
Manager (or Managers), check the box for Report Type ``FORM SH
NOTICE,'' include (on the Cover Page) the List of Other Managers
Reporting for this Manager, and omit both the Summary Page and the
Information Table.
b. If all of the information that a Manager is required by the
Form SH Emergency Orders to report on Form SH is reported in this
report, check the box for Report Type ``FORM SH ENTRIES REPORT,''
omit from the Cover Page the List of Other Managers Reporting for
this Manager, and include both the Summary Page and the Information
Table.
c. If only a part of the information that a Manager is required
by the Form SH Emergency Orders to report on Form SH is reported in
this report, check the box for Report Type ``FORM SH COMBINATION
REPORT,'' include (on the Cover Page) the List of Other Managers
Reporting for this Manager, and include both the Summary Page and
the Information Table.
Summary Page:
7. Include on the Summary Page the Report Summary, containing
the Number of Other Included Managers, the Information Table Entry
Total and the Information Table Value Total.
a. Enter as the Number of Other Included Managers the total
number of other Managers listed in the List of Other Included
Managers on the Summary Page, not counting the Manager filing this
report. See Special Instruction 8. If none, enter the number zero
(``0'').
b. Enter as the Information Table Entry Total the total number
of line entries providing issuer information included in the
Information Table.
c. Enter as the Information Table Value Total the aggregate fair
market value in U.S. dollars (x $1000) of all securities sold short
during the reporting period that are required to be reported on Form
SH. The Information Table Value Total is determined by multiplying
the Number of Securities Sold Short (Day) (Column 4) by the closing
market price of the security on that day, or, when applicable, the
most recent business day. The Manager must express this total as a
rounded figure. See Special Instruction 9.
8. Include on the Summary Page the List of Other Included
Managers. Use the title, column headings and format provided.
a. If this Form SH does not report the information that a
Manager is required by the Form SH Emergency Orders to report on
Form SH of any Manager other than the Manager filing this report,
enter the word ``NONE'' under the title and omit the column headings
and list entries.
b. If this Form SH reports the information that a Manager is
required by the Form SH Emergency Orders to report on Form SH of one
or more Managers other than the Manager filing this report, enter in
the List of Other Included Managers all such Managers together with
their respective Form 13F file numbers, if known. (The Form 13F file
numbers are assigned to Managers when they file their first Form
13F). Assign a number to each Manager in the List of Other Included
Managers, and present the list in sequential order. The numbers need
not be consecutive. The List of Other Managers cannot include the
Manager filing this report.
Information Table:
9. In determining the fair market value of securities sold
short, a Manager must use the market price of the section 13(f)
securities as of the close of floor trading on the New York Stock
Exchange (``NYSE'') for the day in question. If the securities are
sold short on a non-business day, a Manager must use the market
price of the section 13(f) securities as of the close of the NYSE
for the most recent business day. Such market closing time shall be
used to determine the price for all SH Short Positions, irrespective
of which U.S. equity market the issuer trades on. Enter values
rounded to the nearest one thousand dollars (with ``000'' omitted).
10. Furnish the Information Table using the table title, column
headings and format provided. Provide column headings once at the
beginning of each page of the Information Table. Present the table
in accordance with the column instructions provided in Special
Instructions 10.a.i through 10.a.viii. Do not include any additional
information in the Information Table. Begin the Information Table on
a new page for each day of the prior calendar week, and number any
supplemental pages for a day using the page number and upper case
letters (e.g., Monday-Page 2, Monday-Page 2A, Monday-Page 2B, etc.).
Do not include any portion of the Information Table on either the
Cover Page or the Summary Page.
a. Instructions for each column in the Information Table:
i. Column 1. Name of Issuer. Enter in Column 1 the name of the
issuer as it appears in the current 13F List. Reasonable
abbreviations are permitted.
ii. Column 2. CUSIP Number. Enter in Column 2 the nine (9) digit
CUSIP number of the security for which information is being
reported.
iii. Column 3. Short Position (Start of Day). Enter in Column 3
the number of securities that represent the Manager's short position
in the issuer as of the start of each calendar day during the
reporting period. The Short Position (Start of Day) for Monday,
September 22, 2008 shall be zero.
iv. Column 4. Number of Securities Sold Short (Day). Enter in
Column 4 the aggregate number of securities in the issuer that the
Manager sold short for each calendar day during the reporting
period.
v. Column 5. Value of Securities Sold Short (Day). Enter in
Column 5 the market value in U.S. dollars (x $1,000) of the number
of securities reported in Column 4. In valuing such securities, use
the fair market value for each security. See Special Instruction 9.
vi. Column 6. Short Position (End of Day). Enter in Column 6 the
number of securities that represent the Manager's short position in
the issuer as of the end of each calendar day during the reporting
period.
vii. Column 7. Largest Intraday Short Position. Enter in Column
7 the number of securities that represent the Manager's largest
single short position in the issuer for each calendar day during the
reporting period.
viii. Column 8. Time of Day of Largest Intraday Short Position.
Enter in Column 7 the time of day (Eastern Daylight Time) that the
Manager had the largest single short position in the issuer, as
reported in Column 7.
11. Preparation of the electronic filing:
Filing documents may be submitted in either ASCII or HTML
document format. For ASCII submissions, please note items a, b, and
c. Preparation of the filing document should follow instructions in
the EDGAR Filer Manual, (Volume 2) EDGAR Filing available on the
SEC's website at https://www.sec.gov/info/edgar/edmanuals.htm.
a. No line on the Cover Page or the Summary Page may exceed 80
characters in length. See rule 305 of Regulation S-T [17
[[Page 58989]]
CFR 232.305]. The EDGAR
tag may be used if it is necessary
to increase the width of a line on the Cover Page or the Summary
Page in a Form SH that is formatted in ASCII. See EDGAR Filer Manual
(Volume 2) for details on the use of this tag.
b. No line in the Form SH Information Table may exceed 132
characters in length. See rule 305 of Regulation S-T [17 CFR
232.305].
c. If the Form SH Report Type is ``SH ENTRIES REPORT'' or ``SH
COMBINATION REPORT,'' then place one EDGAR tag at the end of
the Cover Page and one tag at the end of the Summary Page.
Additional EDGAR tags are not required. Those electing to
include additional tags should, for each page containing a
tag, include no more than sixty (60) lines per page,
including the line on which the tag is placed.
d. In preparing the Form SH report for electronic filing, a
Manager may omit underscoring used in the form to indicate the
placement of information that the Manager is to furnish.
e. Use the following EDGAR submission types for the following
Form SH Report Types:
------------------------------------------------------------------------
Form SH report type EDGAR submission type
------------------------------------------------------------------------
FORM SH ENTRIES
REPORT:
Initial Filing.......................... SH-ER
Amendments.............................. SH-ER/A
FORM SH NOTICE:
Initial Filing.......................... SH-NT
Amendments.............................. SH-NT/A
FORM SH COMBINATION REPORT:
Initial Filing.......................... SH-ER
Amendments.............................. SH-ER/A
------------------------------------------------------------------------
Filings with the form types set forth in this instruction will
be filed on a non-public basis.
Paperwork Reduction Act Information
The Office of Management and Budget has approved this collection
of information pursuant to 44 U.S.C. 3507 and 5 CFR 1320.13. The OMB
control number for this collection of information is 3235-0646. An
agency may not conduct or sponsor, and a person is not required to
respond to, a collection of information unless it displays a
currently valid control number. We estimate that providing the
requested information will take, on average, approximately 5 hours.
Any member of the public may direct to the Commission any comments
concerning the accuracy of this burden estimate and any suggestions
for reducing this burden. See Form SH Emergency Orders regarding
confidentiality.
UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Washington, DC 20549
FORM SH
FORM SH COVER PAGE
Report for the Period Ended:
-----------------------------------------------------------------------
[Month, Day, Year]
Check here if Amendment [ballot];
Amendment Number:------------------------------------------------------
This Amendment (Check only one):
[ballot] is a restatement.
[ballot] adds new entries.
Institutional Investment Manager Filing this Report:
Name:------------------------------------------------------------------
Address:---------------------------------------------------------------
-----------------------------------------------------------------------
-----------------------------------------------------------------------
Form 13F File Number: 28-----------------------------------------------
The institutional investment manager filing this report and the
person by whom it is signed hereby represent that the person signing
the report is authorized to submit it, that all information
contained herein is true, correct and complete, and that it is
understood that all required items, statements, schedules, lists,
and tables, are considered integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager:
Name:------------------------------------------------------------------
Title:-----------------------------------------------------------------
Phone:-----------------------------------------------------------------
Signature, Place, and Date of Signing:
-----------------------------------------------------------------------
[Signature]
-----------------------------------------------------------------------
[City, State]
-----------------------------------------------------------------------
[Date]
Report Type (Check only one):
[ballot] FORM SH ENTRIES REPORT. (Check here if all entries of this
reporting manager are reported in this report.)
[ballot] FORM SH NOTICE. (Check here if no entries reported are in
this report, and all entries are reported by other reporting
manager(s).)
[ballot] FORM SH COMBINATION REPORT. (Check here if a portion of the
entries for this reporting manager is reported in this report and a
portion is reported by other reporting manager(s).)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number:
28-[Repeat as necessary.]----------------------------------------------
Name:------------------------------------------------------------------
FORM SH SUMMARY PAGE
Report Summary:
Number of Other Included Managers:
-----------------------------------------------------------------------
Form SH Information Table Entry Total:
-----------------------------------------------------------------------
Form SH Information Table Value Total:
-----------------------------------------------------------------------
(thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s)
of all institutional investment managers with respect to which this
Form SH report is filed, other than the manager filing this report.
[If there are no entries in this list, state ``NONE'' and omit the
column headings and list entries.]
No.--------------------------------------------------------------------
Form 13F File Number:
28---------------------------------------------------------------------
Name:------------------------------------------------------------------
[Repeat as necessary.]
Form SH Information Table--Page 1
Sunday [Month, Day, Year]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Value of Time of day
Short Number of securities Short Largest of largest
Name of issuer CUSIP position securities sold short position intraday intraday
(start of sold short (day) (X (end of short short
day) (day) $1,000) day) position position
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
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[[Page 58990]]
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Form SH Information Table--Page 2
Monday [Month, Day, Year]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Value of Time of day
Short Number of securities Short Largest of largest
Name of issuer CUSIP position securities sold short position intraday intraday
(start of sold short (day) (X (end of short short
day) (day) $1,000) day) position position
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
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Form SH Information Table--Page 3
Tuesday [Month, Day, Year]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Value of Time of day
Short Number of securities Short Largest of largest
Name of issuer CUSIP position securities sold short position intraday intraday
(start of sold short (day) (X (end of short short
day) (day) $1,000) day) position position
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
--------------------------------------------------------------------------------------------------------------------------------------------------------
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[[Page 58991]]
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Form SH Information Table--Page 4
Wednesday [Month, Day, Year]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Value of Time of day
Short Number of securities Short Largest of largest
Name of issuer CUSIP position securities sold short position intraday intraday
(start of sold short (day) (X (end of short short
day) (day) $1,000) day) position position
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
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[[Page 58992]]
Form SH Information Table--Page 5
Thursday [Month, Day, Year]
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Value of Time of day
Short Number of securities Short Largest of largest
Name of issuer CUSIP position securities sold short position intraday intraday
(start of sold short (day) (X (end of short short
day) (day) $1,000) day) position position
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
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Form SH Information Table--Page 6
Friday [Month, Day, Year]
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Value of Time of day
Short Number of securities Short Largest of largest
Name of issuer CUSIP position securities sold short position intraday intraday
(start of sold short (day) (X (end of short short
day) (day) $1,000) day) position position
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
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[[Page 58993]]
Form SH Information Table--Page 7
Saturday [Month, Day, Year]
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Value of Time of day
Short Number of securities Short Largest of largest
Name of issuer CUSIP position securities sold short position intraday intraday
(start of sold short (day) (X (end of short short
day) (day) $1,000) day) position position
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
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[FR Doc. E8-23861 Filed 10-7-08; 8:45 am]
BILLING CODE 8011-01-P
