Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Information Sharing Agreements With Domestic Federal Agencies, or Subdivisions Thereof, and Foreign Regulators, 69699-69700 [E8-27427]
Download as PDF
Federal Register / Vol. 73, No. 224 / Wednesday, November 19, 2008 / Notices
V. Conclusion
It is therefore ordered, pursuant to
Section 19(b)(2) of the Act,28 that the
proposed rule change (SR–FINRA–
2008–032), as modified by Amendment
No. 1, be, and hereby is, approved.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.29
Florence E. Harmon,
Acting Secretary.
[FR Doc. E8–27425 Filed 11–18–08; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–58937; File No. SR–FINRA–
2008–056]
Self-Regulatory Organizations;
Financial Industry Regulatory
Authority, Inc.; Notice of Filing and
Immediate Effectiveness of Proposed
Rule Change Relating to Information
Sharing Agreements With Domestic
Federal Agencies, or Subdivisions
Thereof, and Foreign Regulators
November 13, 2008.
Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934
(‘‘Act’’) 1 and Rule 19b–4 thereunder,2
notice is hereby given that on November
6, 2008, Financial Industry Regulatory
Authority, Inc. (‘‘FINRA’’) (f/k/a
National Association of Securities
Dealers, Inc. (‘‘NASD’’)) filed with the
Securities and Exchange Commission
(‘‘SEC’’ or ‘‘Commission’’) the proposed
rule change as described in Items I and
II below, which Items have been
prepared by FINRA. FINRA has
designated the proposed rule change as
constituting a ‘‘non-controversial’’ rule
change under paragraph (f)(6) of Rule
19b–4 under the Act,3 which renders
the proposal effective upon receipt of
this filing by the Commission. The
Commission is publishing this notice to
solicit comments on the proposed rule
change from interested persons.
cprice-sewell on PROD1PC64 with NOTICES
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
FINRA is proposing to amend FINRA
Rule 8210 to expressly permit FINRA to
enter into information-sharing
agreements with domestic federal
28 15
U.S.C. 78s(b)(2).
CFR 200.30–3(a)(12).
1 15 U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.
3 17 CFR 240.19b–4(f)(6).
29 17
VerDate Aug<31>2005
15:14 Nov 18, 2008
Jkt 217001
agencies, or subdivisions thereof, and
foreign regulators.4
The text of the proposed rule change
is available at FINRA’s Web site at
www.finra.org, at the principal office of
FINRA and at the Commission’s Public
Reference Room.
II. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
In its filing with the Commission,
FINRA included statements concerning
the purpose of and basis for the
proposed rule change and discussed any
comments it received on the proposed
rule change. The text of these statements
may be examined at the places specified
in Item IV below. FINRA has prepared
summaries, set forth in sections A, B,
and C below, of the most significant
aspects of such statements.
A. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
1. Purpose
FINRA Rule 8210 confers on FINRA
staff the authority to compel a member
and persons associated with a member
to provide documents and testimony, or
allow inspection and copying of a
member’s books and records, in
connection with an investigation,
complaint, examination or adjudicatory
proceeding. The rule additionally
permits FINRA staff to exercise such
authority in furtherance of an
investigation, complaint, examination or
proceeding conducted by another
domestic or foreign regulator with
which FINRA has entered into an
agreement providing for the exchange of
4 On September 25, 2008, the SEC approved
proposed rule change SR–FINRA–2008–021, in
which FINRA proposed, among other things, to
adopt the NASD 8000 Series as the FINRA Rule
8000 Series (Investigations and Sanctions) in the
Consolidated FINRA Rulebook. See Securities
Exchange Act Release No. 58643 (September 25,
2008), 73 FR 57174 (October 1, 2008) (Order
Approving SR–FINRA–2008–021; SR–FINRA–
2008–022; SR–FINRA–2008–026; SR–FINRA–2008–
028 and SR–FINRA–2008–029). As part of that
proposed rule change, FINRA adopted the
provisions of NASD Rule 8210 as new FINRA Rule
8210 with certain non-material changes. FINRA has
set December 15, 2008 as the implementation date
of SR–FINRA–2008–021, see FINRA Regulatory
Notice 08–57 (October 16, 2008) (FINRA
Announces SEC Approval and Effective Date for
New Consolidated FINRA Rules).
Because FINRA Rule 8210 has not yet been
implemented and the corresponding NASD Rule
8210 remains operative until December 15, 2008,
the proposed rule change would amend both NASD
Rule 8210 and FINRA Rule 8210. On December 15,
2008, NASD Rule 8210, as amended pursuant to
this proposed rule change, will be deleted in
accordance with SR–FINRA–2008–021, without a
further filing.
PO 00000
Frm 00101
Fmt 4703
Sfmt 4703
69699
information and other forms of material
assistance for regulatory purposes.
FINRA’s Restated Certificate of
Incorporation allows it to do all acts
permissible under Delaware state law.5
Delaware Corporation Law allows
FINRA to contract generally.6 FINRA
considers the exchanging of information
with certain other regulators, pursuant
to agreements, to be an important part
of its regulatory program.
The proposed rule change would
make explicit the authority to enter into
agreements with domestic federal
agencies, or subdivisions thereof, and
foreign regulators and to share
information with them, irrespective of
whether the information was obtained
in furtherance of an existing
investigation or other regulatory action
by another regulator. Instead, the
proposal would expressly allow FINRA
to share any information in its
possession for any regulatory purpose
set forth in the agreement.
The proposal would require that any
such agreements entered into by FINRA
include a provision obligating the other
regulator, in accordance with the terms
of the agreement, to treat any shared
information confidentially and to assert
such confidentiality and other
applicable privileges in response to any
requests for such information from third
parties. In addition, the proposal would
impose two further conditions on
agreements with a foreign regulator.
First, an agreement could only be
consummated with a foreign regulator
that has jurisdiction over common
regulatory matters; i.e., those involving
investor protection or market integrity.
Second, the agreement would require
reciprocity from the other regulator to
share information of regulatory interest
and concern to FINRA. FINRA believes
it important to expressly evidence in the
rule and related filing its intent that the
disclosure of non-public information
pursuant to a memorandum of
understanding not be viewed in any
manner as a waiver of FINRA’s right to
protect the information, as appropriate,
from further disclosure. The proposed
rule change would not impose the
additional conditions on information
sharing agreements with domestic
federal agencies or subdivisions
thereof.7
5 See Article III of the Restated Certificate of
Incorporation of National Association of Securities
Dealers, Inc., available at https://
finra.complinet.com.
6 See generally, Del. Code Ann. tit. 8, §§ 122,
122(13) (2008).
7 FINRA notes that it is obligated under the Act
to provide the Commission records upon request.
15 U.S.C. 78q(a)(1).
E:\FR\FM\19NON1.SGM
19NON1
69700
Federal Register / Vol. 73, No. 224 / Wednesday, November 19, 2008 / Notices
FINRA believes that such agreements
will become increasingly necessary as
the financial markets continue to
globalize and require cross-market
regulation. Furthermore, FINRA
believes information sharing may
become a more critical component to
domestic regulation of the securities
industry. Accordingly, FINRA believes
it would be beneficial to expressly state
in the rule FINRA’s authority to enter
into such agreements and set forth
certain minimum prerequisites to
ensure mutual benefits and
confidentiality protections. The
proposed rule change further would
serve as notice to the membership of
FINRA’s intention to reach memoranda
of understanding with other regulators
to share confidential information.
2. Statutory Basis
FINRA believes that the proposed rule
change is consistent with the provisions
of Section 15A(b)(6) of the Act,8 which
requires, among other things, that
FINRA rules must be designed to
prevent fraudulent and manipulative
acts and practices, to promote just and
equitable principles of trade, and, in
general, to protect investors and the
public interest. FINRA believes that the
proposed rule change will further the
public interest by evidencing FINRA’s
authority and intent to share important
regulatory information with other
regulators responsible for investor
protection and market oversight.
B. Self-Regulatory Organization’s
Statement on Burden on Competition
FINRA does not believe that the
proposed rule change will result in any
burden on competition that is not
necessary or appropriate in furtherance
of the purposes of the Act.
cprice-sewell on PROD1PC64 with NOTICES
C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received From
Members, Participants, or Others
Written comments were neither
solicited nor received.
III. Date of Effectiveness of the
Proposed Rule Change and Timing for
Commission Action
Because the foregoing proposed rule
change does not: (1) Significantly affect
the protection of investors or the public
interest; (2) impose any significant
burden on competition; and (3) become
operative for 30 days from the date on
which it was filed, or such shorter time
as the Commission may designate, the
proposed rule change has become
effective pursuant to Section 19(b)(3)(A)
8 15
U.S.C. 78o–3(b)(6).
VerDate Aug<31>2005
15:14 Nov 18, 2008
Jkt 217001
of the Act 9 and Rule 19b–4(f)(6)
thereunder.10
A proposed rule change filed under
Rule 19b–4(f)(6) normally does not
become operative for 30 days after the
date of filing. FINRA has requested that
the Commission waive the 30-day
operative delay. The Commission
believes that waiving the 30-day
operative delay 11 is consistent with the
protection of investors and the public
interest. The Commission notes that the
proposed rule change merely makes
explicit and codifies FINRA’s authority
to enter into information sharing
agreements that may advance investor
protection.
At any time within 60 days of the
filing of the proposed rule change, the
Commission may summarily abrogate
such rule change if it appears to the
Commission that such action is
necessary or appropriate in the public
interest, for the protection of investors,
or otherwise in furtherance of the
purposes of the Act.
IV. Solicitation of Comments
Interested persons are invited to
submit written data, views and
arguments concerning the foregoing,
including whether the proposed rule
change is consistent with the Act.
Comments may be submitted by any of
the following methods:
Electronic Comments
• Use the Commission’s Internet
comment form (https://www.sec.gov/
rules/sro.shtml); or
• Send an e-mail to rulecomments@sec.gov. Please include File
Number SR–FINRA–2008–056 on the
subject line.
Paper Comments
• Send paper comments in triplicate
to Florence Harmon, Acting Secretary,
Securities and Exchange Commission,
100 F Street, NE., Washington, DC
20549–1090.
All submissions should refer to File
Number SR–FINRA–2008–056. This file
number should be included on the
subject line if e-mail is used. To help the
Commission process and review your
9 15
U.S.C. 78s(b)(3)(A).
CFR 240.19b–4(f)(6). Rule 19b–4(f)(6)(iii)
requires a self-regulatory organization to provide
the Commission with written notice of its intent to
file the proposed rule change, along with a brief
description and text of the proposed rule change,
at least five business days prior to the date of filing
of the proposed rule change, or such shorter time
as designated by the Commission. FINRA fulfilled
this requirement.
11 For purposes only of waiving the 30-day
operative delay, the Commission has considered the
proposed rule’s impact on efficiency, competition,
and capital formation. See 15 U.S.C. 78c(f).
10 17
PO 00000
Frm 00102
Fmt 4703
Sfmt 4703
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 such filing also will be
available for inspection and copying at
the principal office of FINRA. 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–FINRA–2008–056 and
should be submitted on or before
December 10, 2008.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.12
Florence E. Harmon,
Acting Secretary.
[FR Doc. E8–27427 Filed 11–18–08; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–58903A; File No. SRFINRA–2008–011]
Self-Regulatory Organizations;
Financial Industry Regulatory
Authority, Inc.; Order Approving
Proposed Rule Change to Amend the
Trade Reporting Structure and Require
Submission of Non-Tape Reports that
Identify Other Members Who
Participated in Agency and Riskless
Principal Transactions as Modified by
Amendments No. 1 and 2
November 13, 2008.
Correction
Footnote 6 is revised to read:
In Amendment No. 2, FINRA clarified
the implementation date for this
proposed rule change. The Commission
12 17
E:\FR\FM\19NON1.SGM
CFR 200.30–3(a)(12).
19NON1
Agencies
[Federal Register Volume 73, Number 224 (Wednesday, November 19, 2008)]
[Notices]
[Pages 69699-69700]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-27427]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-58937; File No. SR-FINRA-2008-056]
Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Notice of Filing and Immediate Effectiveness of
Proposed Rule Change Relating to Information Sharing Agreements With
Domestic Federal Agencies, or Subdivisions Thereof, and Foreign
Regulators
November 13, 2008.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on November 6, 2008, Financial Industry Regulatory Authority, Inc.
(``FINRA'') (f/k/a National Association of Securities Dealers, Inc.
(``NASD'')) filed with the Securities and Exchange Commission (``SEC''
or ``Commission'') the proposed rule change as described in Items I and
II below, which Items have been prepared by FINRA. FINRA has designated
the proposed rule change as constituting a ``non-controversial'' rule
change under paragraph (f)(6) of Rule 19b-4 under the Act,\3\ which
renders the proposal effective upon receipt of this filing by the
Commission. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b-4.
\3\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------
I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change
FINRA is proposing to amend FINRA Rule 8210 to expressly permit
FINRA to enter into information-sharing agreements with domestic
federal agencies, or subdivisions thereof, and foreign regulators.\4\
---------------------------------------------------------------------------
\4\ On September 25, 2008, the SEC approved proposed rule change
SR-FINRA-2008-021, in which FINRA proposed, among other things, to
adopt the NASD 8000 Series as the FINRA Rule 8000 Series
(Investigations and Sanctions) in the Consolidated FINRA Rulebook.
See Securities Exchange Act Release No. 58643 (September 25, 2008),
73 FR 57174 (October 1, 2008) (Order Approving SR-FINRA-2008-021;
SR-FINRA-2008-022; SR-FINRA-2008-026; SR-FINRA-2008-028 and SR-
FINRA-2008-029). As part of that proposed rule change, FINRA adopted
the provisions of NASD Rule 8210 as new FINRA Rule 8210 with certain
non-material changes. FINRA has set December 15, 2008 as the
implementation date of SR-FINRA-2008-021, see FINRA Regulatory
Notice 08-57 (October 16, 2008) (FINRA Announces SEC Approval and
Effective Date for New Consolidated FINRA Rules).
Because FINRA Rule 8210 has not yet been implemented and the
corresponding NASD Rule 8210 remains operative until December 15,
2008, the proposed rule change would amend both NASD Rule 8210 and
FINRA Rule 8210. On December 15, 2008, NASD Rule 8210, as amended
pursuant to this proposed rule change, will be deleted in accordance
with SR-FINRA-2008-021, without a further filing.
---------------------------------------------------------------------------
The text of the proposed rule change is available at FINRA's Web
site at www.finra.org, at the principal office of FINRA and at the
Commission's Public Reference Room.
II. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change
In its filing with the Commission, FINRA included statements
concerning the purpose of and basis for the proposed rule change and
discussed any comments it received on the proposed rule change. The
text of these statements may be examined at the places specified in
Item IV below. FINRA has prepared summaries, set forth in sections A,
B, and C below, of the most significant aspects of such statements.
A. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change
1. Purpose
FINRA Rule 8210 confers on FINRA staff the authority to compel a
member and persons associated with a member to provide documents and
testimony, or allow inspection and copying of a member's books and
records, in connection with an investigation, complaint, examination or
adjudicatory proceeding. The rule additionally permits FINRA staff to
exercise such authority in furtherance of an investigation, complaint,
examination or proceeding conducted by another domestic or foreign
regulator with which FINRA has entered into an agreement providing for
the exchange of information and other forms of material assistance for
regulatory purposes.
FINRA's Restated Certificate of Incorporation allows it to do all
acts permissible under Delaware state law.\5\ Delaware Corporation Law
allows FINRA to contract generally.\6\ FINRA considers the exchanging
of information with certain other regulators, pursuant to agreements,
to be an important part of its regulatory program.
---------------------------------------------------------------------------
\5\ See Article III of the Restated Certificate of Incorporation
of National Association of Securities Dealers, Inc., available at
https://finra.complinet.com.
\6\ See generally, Del. Code Ann. tit. 8, Sec. Sec. 122,
122(13) (2008).
---------------------------------------------------------------------------
The proposed rule change would make explicit the authority to enter
into agreements with domestic federal agencies, or subdivisions
thereof, and foreign regulators and to share information with them,
irrespective of whether the information was obtained in furtherance of
an existing investigation or other regulatory action by another
regulator. Instead, the proposal would expressly allow FINRA to share
any information in its possession for any regulatory purpose set forth
in the agreement.
The proposal would require that any such agreements entered into by
FINRA include a provision obligating the other regulator, in accordance
with the terms of the agreement, to treat any shared information
confidentially and to assert such confidentiality and other applicable
privileges in response to any requests for such information from third
parties. In addition, the proposal would impose two further conditions
on agreements with a foreign regulator. First, an agreement could only
be consummated with a foreign regulator that has jurisdiction over
common regulatory matters; i.e., those involving investor protection or
market integrity. Second, the agreement would require reciprocity from
the other regulator to share information of regulatory interest and
concern to FINRA. FINRA believes it important to expressly evidence in
the rule and related filing its intent that the disclosure of non-
public information pursuant to a memorandum of understanding not be
viewed in any manner as a waiver of FINRA's right to protect the
information, as appropriate, from further disclosure. The proposed rule
change would not impose the additional conditions on information
sharing agreements with domestic federal agencies or subdivisions
thereof.\7\
---------------------------------------------------------------------------
\7\ FINRA notes that it is obligated under the Act to provide
the Commission records upon request. 15 U.S.C. 78q(a)(1).
---------------------------------------------------------------------------
[[Page 69700]]
FINRA believes that such agreements will become increasingly
necessary as the financial markets continue to globalize and require
cross-market regulation. Furthermore, FINRA believes information
sharing may become a more critical component to domestic regulation of
the securities industry. Accordingly, FINRA believes it would be
beneficial to expressly state in the rule FINRA's authority to enter
into such agreements and set forth certain minimum prerequisites to
ensure mutual benefits and confidentiality protections. The proposed
rule change further would serve as notice to the membership of FINRA's
intention to reach memoranda of understanding with other regulators to
share confidential information.
2. Statutory Basis
FINRA believes that the proposed rule change is consistent with the
provisions of Section 15A(b)(6) of the Act,\8\ which requires, among
other things, that FINRA rules must be designed to prevent fraudulent
and manipulative acts and practices, to promote just and equitable
principles of trade, and, in general, to protect investors and the
public interest. FINRA believes that the proposed rule change will
further the public interest by evidencing FINRA's authority and intent
to share important regulatory information with other regulators
responsible for investor protection and market oversight.
---------------------------------------------------------------------------
\8\ 15 U.S.C. 78o-3(b)(6).
---------------------------------------------------------------------------
B. Self-Regulatory Organization's Statement on Burden on Competition
FINRA does not believe that the proposed rule change will result in
any burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Act.
C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others
Written comments were neither solicited nor received.
III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action
Because the foregoing proposed rule change does not: (1)
Significantly affect the protection of investors or the public
interest; (2) impose any significant burden on competition; and (3)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, the proposed rule
change has become effective pursuant to Section 19(b)(3)(A) of the Act
\9\ and Rule 19b-4(f)(6) thereunder.\10\
---------------------------------------------------------------------------
\9\ 15 U.S.C. 78s(b)(3)(A).
\10\ 17 CFR 240.19b-4(f)(6). Rule 19b-4(f)(6)(iii) requires a
self-regulatory organization to provide the Commission with written
notice of its intent to file the proposed rule change, along with a
brief description and text of the proposed rule change, at least
five business days prior to the date of filing of the proposed rule
change, or such shorter time as designated by the Commission. FINRA
fulfilled this requirement.
---------------------------------------------------------------------------
A proposed rule change filed under Rule 19b-4(f)(6) normally does
not become operative for 30 days after the date of filing. FINRA has
requested that the Commission waive the 30-day operative delay. The
Commission believes that waiving the 30-day operative delay \11\ is
consistent with the protection of investors and the public interest.
The Commission notes that the proposed rule change merely makes
explicit and codifies FINRA's authority to enter into information
sharing agreements that may advance investor protection.
---------------------------------------------------------------------------
\11\ For purposes only of waiving the 30-day operative delay,
the Commission has considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
---------------------------------------------------------------------------
At any time within 60 days of the filing of the proposed rule
change, the Commission may summarily abrogate such rule change if it
appears to the Commission that such action is necessary or appropriate
in the public interest, for the protection of investors, or otherwise
in furtherance of the purposes of the Act.
IV. Solicitation of Comments
Interested persons are invited to submit written data, views and
arguments concerning the foregoing, including whether the proposed rule
change is consistent with the Act. Comments may be submitted by any of
the following methods:
Electronic Comments
Use the Commission's Internet comment form (https://
www.sec.gov/rules/sro.shtml); or
Send an e-mail to rule-comments@sec.gov. Please include
File Number SR-FINRA-2008-056 on the subject line.
Paper Comments
Send paper comments in triplicate to Florence Harmon,
Acting Secretary, Securities and Exchange Commission, 100 F Street,
NE., Washington, DC 20549-1090.
All submissions should refer to File Number SR-FINRA-2008-056. 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 such filing also will be available for
inspection and copying at the principal office of FINRA. 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-FINRA-2008-056 and should be
submitted on or before December 10, 2008.
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\12\
---------------------------------------------------------------------------
\12\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------
Florence E. Harmon,
Acting Secretary.
[FR Doc. E8-27427 Filed 11-18-08; 8:45 am]
BILLING CODE 8011-01-P