Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendments to the National Market System Plan for the Selection and Reservation of Securities Symbols To Add New York Stock Exchange LLC, NYSE Arca, Inc., NYSE Alternext US LLC and Chicago Board Options Exchange, Incorporated as Parties Thereto, 132-133 [E8-31205]

Download as PDF 132 Federal Register / Vol. 74, No. 1 / Friday, January 2, 2009 / Notices alcohol use by Volunteer at time of incident; whether weapons were involved; type of injury; medical support provided; updates to the incident report; victim’s intention to prosecute; and motive for committing incident; name of alleged offender; age range of alleged offender; gender of alleged offender; relationship of alleged offender to victim; alcohol use by alleged offender at time of incident; and whether alleged offender was apprehended; any available information on witness. NOTIFICATION PROCEDURE: Any individual who wants notification that this system of records contains a record about him or her should make a written request to the System Manager. Requesters will be required to provide adequate identification, such as a driver’s license, employee identification card, or other identifying documentation. Additional identification may be required in some instances. Complete Peace Corps Privacy Act procedures are set out in 22 CFR Part 308. SAFEGUARDS: RECORD ACCESS PROCEDURES: RETENTION AND DISPOSAL: mstockstill on PROD1PC66 with NOTICES [Release No. 34–59162; File No. 4–533] Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendments to the National Market System Plan for the Selection and Reservation of Securities Symbols To Add New York Stock Exchange LLC, NYSE Arca, Inc., NYSE Alternext US LLC and Chicago Board Options Exchange, Incorporated as Parties Thereto December 24, 2008. Names and social security numbers have been redacted from paper records that were collected until 2006. After 2006, social security numbers were no longer collected on the Volunteer. The crime incident database does not collect or store previously collected social security numbers. Accounts are created for Peace Corps staff for whom a business need exists, i.e., select staff in Director’s office, Safety and Security, Regions, and Volunteer Support. Regional Security Officers and Assistant Regional Security Officers at the U.S. Embassy at post also receive CIRS accounts. Embassy officials must complete a Technology Access Agreement form to receive an account. All CIRS accounts require a user name and password. Access to Volunteer names and addresses in the reports is restricted to only those CIRS users who have a need to know. These include reporting post staff, Office of Volunteer Support staff who are responsible for medical support, and Regional Security Officers with the U.S. Embassy. Information is encrypted using 128-bit SSL and AES encryptions standards. The system platform went through the accreditation process in February 2008 (i.e., accreditation with the WebTrust seal) and through a SAS–70 Type II audit performed by a third party auditor. EXEMPTIONS CLAIMED FOR THE SYSTEM: As there is no records disposal schedule for this information, electronic and paper records are being retained indefinitely. Records are retained to allow for historical data and trends analysis. Paper files are redacted to remove Volunteer names and social security numbers. The annual Safety of the Volunteer report is kept on file permanently for historical reference. Any individual who wants access to his or her record should make a written request to the System Manager. Requesters will be required to provide adequate identification, such as a driver’s license, employee identification card, or other identifying documentation. Additional identification may be required in some instances. Complete Peace Corps Privacy Act procedures are set out in 22 CFR Part 308. CONTESTING RECORD PROCEDURES: Any individual who wants to contest the contents of a record should make a written request to the System Manager. Requesters will be required to provide adequate identification, such as a driver’s license, employee identification card, or other identifying documentation. Additional identification may be required in some instances. Requests for correction or amendment must identify the record to be changed and the corrective action sought. Complete Peace Corps Privacy Act procedures are set out in 22 CFR Part 308. RECORD SOURCE CATEGORIES: Record Subject. Dated: December 23, 2008. Carl R. Sosebee, Acting General Counsel. [FR Doc. E8–31221 Filed 12–31–08; 8:45 am] BILLING CODE 6015–01–P Social Science Analyst, Office Safety and Security, Peace Corps, 1111 20th St., NW., Washington, DC 20526. 16:23 Dec 31, 2008 Jkt 217001 PO 00000 Frm 00064 Pursuant to Section 11A(a)(3) of the Securities Exchange Act of 1934 (‘‘Act’’) 1 and Rule 608 thereunder,2 notice is hereby given that on December 22, 2008, (i) New York Stock Exchange LLC (‘‘NYSE’’), NYSE Arca, Inc. (‘‘NYSE Arca’’), and NYSE Alternext U.S. LLC (‘‘NYSE Alternext’’ and, together with NYSE and NYSE Arca, the ‘‘NYSE Group Exchanges’’) and (ii) Chicago Board Options Exchange, Incorporated (‘‘CBOE’’) filed with the Securities and Exchange Commission (‘‘Commission’’) amendments to the National Market System Plan for the Selection and Reservation of Securities Symbols (‘‘Symbology Plan’’ or ‘‘Plan’’).3 The amendments propose to add the NYSE Group Exchanges and CBOE as parties to the Symbology Plan. The Commission is publishing this notice to solicit comments on the proposed amendment from interested persons. I. Description and Purpose of the Amendment The current parties to the Symbology Plan are CHX, FINRA, the International Securities Exchange, LLC (‘‘ISE’’),4 Nasdaq, NSX and Phlx. The proposed amendments to the Symbology Plan would add the NYSE Group Exchanges and CBOE parties to the Symbology Plan. A self-regulatory organization (‘‘SRO’’) may become a party to the Symbology Plan if it satisfies the 1 15 U.S.C. 78k–1(a)(3). CFR 242.608. 3 On November 6, 2008, the Commission approved the Symbology Plan that was originally proposed by the Chicago Stock Exchange, Inc. (‘‘CHX’’), The Nasdaq Stock Market, Inc. (‘‘Nasdaq’’), National Association of Securities Dealers, Inc. (‘‘NASD’’) (n/k/a Financial Industry Regulatory Authority, Inc. (‘‘FINRA’’)),4 National Stock Exchange, Inc. (‘‘NSX’’), and Philadelphia Stock Exchange, Inc. (‘‘Phlx’’), subject to certain changes. See Securities Exchange Act Release No. 58904, 73 FR 67218 (November 13, 2008) (File No. 4–533). 4 On November 18, 2008, ISE filed with the Commission an amendment to the Plan to add ISE as a member to the Plan. See Securities Exchange Act Release No. 59024 (November 26, 2008), 73 FR 74538 (December 8, 2008) (File No. 4–533). 2 17 None. SYSTEM MANAGER(S) AND ADDRESS: VerDate Aug<31>2005 SECURITIES AND EXCHANGE COMMISSION Fmt 4703 Sfmt 4703 E:\FR\FM\02JAN1.SGM 02JAN1 Federal Register / Vol. 74, No. 1 / Friday, January 2, 2009 / Notices requirements of Section I(c) of the Plan. Specifically, an SRO may become a party to the Symbology Plan if: (i) It maintains a market for the listing or trading of Plan Securities,5 in accordance with rules approved by the Commission, which securities are identified by one, two, or three character symbols, on the one hand, or four or five character symbols, on the other hand, in each case prior to any suffix or special conditional identifier; (ii) it signs a current copy of the Plan; and (iii) it pays to the other parties a proportionate share of the aggregate development costs, based upon the number of symbols reserved by the new party during the first twelve (12) months of such party’s membership.6 The NYSE Group Exchanges and CBOE have submitted a signed copy of the Symbology Plan to the Commission in accordance with the requirement set forth in the Symbology Plan regarding new parties to the plan. II. Effectiveness of the Proposed Symbology Plan Amendment The foregoing proposed Symbology Plan amendments have become effective pursuant to Rule 608(b)(3)(iii) 7 because it involves solely technical or ministerial matters. At any time within sixty days of the filing of these amendments, the Commission may summarily abrogate the amendment and require that it be refiled pursuant to paragraph (b)(1) of Rule 608,8 if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors or the maintenance of fair and orderly markets, to remove impediments to, and perfect the mechanisms of, a national market system or otherwise in furtherance of the purposes of the Act. III. Solicitation of Comments Interested persons are invited to submit written data, views and arguments concerning the foregoing, including whether these amendments are consistent with the Act. Comments may be submitted by any of the following methods: • Send an e-mail to rulecomments@sec.gov. Please include File Number 4–533 on the subject line. SECURITIES AND EXCHANGE COMMISSION Paper Comments [Release No. 34–59165; File No. S7–35–08] • Send paper comments in triplicate to Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549–1090. Order Pursuant to Section 36 of the Securities Exchange Act of 1934 Granting Temporary Exemptions From Sections 5 and 6 of the Exchange Act for Broker-Dealers and Exchanges Effecting Transactions in Credit Default Swaps All submissions should refer to File Number 4–533. 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, 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 the Exchange. 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 4–533 and should be submitted on or before January 23, 2009. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.9 Florence E. Harmon, Acting Secretary. [FR Doc. E8–31205 Filed 12–31–08; 8:45 am] BILLING CODE 8011–01–P Electronic Comments mstockstill on PROD1PC66 with NOTICES • Use the Commission’s Internet comment form (https://www.sec.gov/ rules/sro.shtml); or 5 ‘‘Plan Securities’’ are defined in the Symbology Plan as securities that: (i) Are NMS securities as currently defined in Rule 600(a)(46) under the Act; and (ii) any other equity securities quoted, traded and/or trade reported through an SRO facility. 6 Sections I(c) and IV(a) of the Plan. 7 17 CFR 242.608(b)(3)(iii). 8 17 CFR 242.608(b)(1). VerDate Aug<31>2005 16:23 Dec 31, 2008 Jkt 217001 133 9 17 PO 00000 CFR 200.30–3(a)(12). Frm 00065 Fmt 4703 Sfmt 4703 December 24, 2008. I. Background In response to the recent turmoil in the financial markets, the Securities and Exchange Commission (‘‘Commission’’) has taken multiple actions to protect investors and ensure the integrity of the nation’s securities markets.1 Today, we are taking further action designed to address concerns related to the market in credit default swaps (‘‘CDS’’). The over-the-counter (‘‘OTC’’) market for CDS has been a source of concerns to us and other financial regulators. These concerns include the systemic risk posed by CDS, highlighted by the possible inability of parties to meet their obligations as counterparties and the potential resulting adverse effects on 1 A nonexclusive list of the Commission’s actions to stabilize financial markets during this credit crisis includes: Adopting a package of measures to strengthen investor protections against naked short selling, including rules requiring a hard T+3 closeout, eliminating the options market maker exception of Regulation SHO, and expressly targeting fraud in short selling transactions (See Securities Exchange Act Release No. 58572 (September 17, 2008), 73 FR 54875 (September 23, 2008)); issuing an emergency order to enhance protections against naked short selling in the securities of primary dealers, Fannie Mae, and Freddie Mac (See Securities Exchange Act Release No. 58166 (July 15, 2008), 73 FR 42379 (July 21, 2008)); taking temporary emergency action to ban short selling in financial securities (See Securities Exchange Act Release No. 58592 (September 18, 2008), 73 FR 55169 (September 24, 2008)); approving emergency rulemaking to ensure disclosure of short positions by hedge funds and other institutional money managers (See Securities Exchange Act Release No. 58591A (September 21, 2008), 73 FR 55557 (September 25, 2008)); proposing rules to strengthen the regulation of credit rating agencies and making the limits and purposes of credit ratings clearer to investors (See Securities Exchange Act Release No. 57967 (June 16, 2008), 73 FR 36212 (June 25, 2008); entering into a Memorandum of Understanding with the Board of Governors of the Federal Reserve System (‘‘FRB’’) to make sure key federal financial regulators share information and coordinate regulatory activities in important areas of common interest (See Memorandum of Understanding Between the U.S. Securities and Exchange Commission and the Board of Governors of the Federal Reserve System Regarding Coordination and Information Sharing in Areas of Common Regulatory and Supervisory Interest (July 7, 2008), https://www.sec.gov/news/press/2008/2008134_mou.pdf). E:\FR\FM\02JAN1.SGM 02JAN1

Agencies

[Federal Register Volume 74, Number 1 (Friday, January 2, 2009)]
[Notices]
[Pages 132-133]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E8-31205]


=======================================================================
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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-59162; File No. 4-533]


Joint Industry Plan; Notice of Filing and Immediate Effectiveness 
of Amendments to the National Market System Plan for the Selection and 
Reservation of Securities Symbols To Add New York Stock Exchange LLC, 
NYSE Arca, Inc., NYSE Alternext US LLC and Chicago Board Options 
Exchange, Incorporated as Parties Thereto

December 24, 2008.
    Pursuant to Section 11A(a)(3) of the Securities Exchange Act of 
1934 (``Act'') \1\ and Rule 608 thereunder,\2\ notice is hereby given 
that on December 22, 2008, (i) New York Stock Exchange LLC (``NYSE''), 
NYSE Arca, Inc. (``NYSE Arca''), and NYSE Alternext U.S. LLC (``NYSE 
Alternext'' and, together with NYSE and NYSE Arca, the ``NYSE Group 
Exchanges'') and (ii) Chicago Board Options Exchange, Incorporated 
(``CBOE'') filed with the Securities and Exchange Commission 
(``Commission'') amendments to the National Market System Plan for the 
Selection and Reservation of Securities Symbols (``Symbology Plan'' or 
``Plan'').\3\ The amendments propose to add the NYSE Group Exchanges 
and CBOE as parties to the Symbology Plan. The Commission is publishing 
this notice to solicit comments on the proposed amendment from 
interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78k-1(a)(3).
    \2\ 17 CFR 242.608.
    \3\ On November 6, 2008, the Commission approved the Symbology 
Plan that was originally proposed by the Chicago Stock Exchange, 
Inc. (``CHX''), The Nasdaq Stock Market, Inc. (``Nasdaq''), National 
Association of Securities Dealers, Inc. (``NASD'') (n/k/a Financial 
Industry Regulatory Authority, Inc. (``FINRA'')),\4\ National Stock 
Exchange, Inc. (``NSX''), and Philadelphia Stock Exchange, Inc. 
(``Phlx''), subject to certain changes. See Securities Exchange Act 
Release No. 58904, 73 FR 67218 (November 13, 2008) (File No. 4-533).
---------------------------------------------------------------------------

I. Description and Purpose of the Amendment

    The current parties to the Symbology Plan are CHX, FINRA, the 
International Securities Exchange, LLC (``ISE''),\4\ Nasdaq, NSX and 
Phlx. The proposed amendments to the Symbology Plan would add the NYSE 
Group Exchanges and CBOE parties to the Symbology Plan. A self-
regulatory organization (``SRO'') may become a party to the Symbology 
Plan if it satisfies the

[[Page 133]]

requirements of Section I(c) of the Plan. Specifically, an SRO may 
become a party to the Symbology Plan if: (i) It maintains a market for 
the listing or trading of Plan Securities,\5\ in accordance with rules 
approved by the Commission, which securities are identified by one, 
two, or three character symbols, on the one hand, or four or five 
character symbols, on the other hand, in each case prior to any suffix 
or special conditional identifier; (ii) it signs a current copy of the 
Plan; and (iii) it pays to the other parties a proportionate share of 
the aggregate development costs, based upon the number of symbols 
reserved by the new party during the first twelve (12) months of such 
party's membership.\6\
---------------------------------------------------------------------------

    \4\ On November 18, 2008, ISE filed with the Commission an 
amendment to the Plan to add ISE as a member to the Plan. See 
Securities Exchange Act Release No. 59024 (November 26, 2008), 73 FR 
74538 (December 8, 2008) (File No. 4-533).
    \5\ ``Plan Securities'' are defined in the Symbology Plan as 
securities that: (i) Are NMS securities as currently defined in Rule 
600(a)(46) under the Act; and (ii) any other equity securities 
quoted, traded and/or trade reported through an SRO facility.
    \6\ Sections I(c) and IV(a) of the Plan.
---------------------------------------------------------------------------

    The NYSE Group Exchanges and CBOE have submitted a signed copy of 
the Symbology Plan to the Commission in accordance with the requirement 
set forth in the Symbology Plan regarding new parties to the plan.

II. Effectiveness of the Proposed Symbology Plan Amendment

    The foregoing proposed Symbology Plan amendments have become 
effective pursuant to Rule 608(b)(3)(iii) \7\ because it involves 
solely technical or ministerial matters. At any time within sixty days 
of the filing of these amendments, the Commission may summarily 
abrogate the amendment and require that it be refiled pursuant to 
paragraph (b)(1) of Rule 608,\8\ if it appears to the Commission that 
such action is necessary or appropriate in the public interest, for the 
protection of investors or the maintenance of fair and orderly markets, 
to remove impediments to, and perfect the mechanisms of, a national 
market system or otherwise in furtherance of the purposes of the Act.
---------------------------------------------------------------------------

    \7\ 17 CFR 242.608(b)(3)(iii).
    \8\ 17 CFR 242.608(b)(1).
---------------------------------------------------------------------------

III. Solicitation of Comments

    Interested persons are invited to submit written data, views and 
arguments concerning the foregoing, including whether these amendments 
are 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 4-533 on the subject line.

Paper Comments

     Send paper comments in triplicate to Secretary, Securities 
and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090.

All submissions should refer to File Number 4-533. 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, 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 the 
Exchange. 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 4-533 
and should be submitted on or before January 23, 2009.

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\9\
---------------------------------------------------------------------------

    \9\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Florence E. Harmon,
Acting Secretary.
 [FR Doc. E8-31205 Filed 12-31-08; 8:45 am]
BILLING CODE 8011-01-P
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