Consolidated Tape Association; Notice of Filing of the Thirteenth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan and Ninth Substantive Amendment to the Restated Consolidated Quotation Plan, 3659-3661 [E9-1021]
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mstockstill on PROD1PC66 with NOTICES
Federal Register / Vol. 74, No. 12 / Wednesday, January 21, 2009 / Notices
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Petitions for Review Regarding Country
Practices
Pursuant to 15 CFR 2007.0(b), the GSP
Subcommittee of the TPSC has
continued the evaluation of the country
practice petitions for Iraq and Sri Lanka
that were submitted for inclusion in the
2008 GSP Annual Review (see ‘‘List of
Petitions Accepted in the 2008 GSP
Annual Review’’ posted on the USTR
Web site). This decision was announced
in a Federal Register notice dated
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September 12, 2008, 73 FR 53054, and
indicated that the decision on whether
to accept the new country practice
petitions for Iraq and Sri Lanka for
review in the 2008 GSP Annual Review
was planned for January 2009. The
decision regarding whether to accept
these new country practice petitions in
December 2008, including a petition
submitted in December 2008 requesting
a country practices review with respect
to the Republic of the Philippines, is
now expected to be announced no later
than March 15, 2009. A Federal Register
notice will be published announcing the
decision on whether to accept the
petitions.
Marideth Sandler,
Executive Director, Generalized System of
Preferences (GSP) Program, Office of the U.S.
Trade Representative.
[FR Doc. E9–1149 Filed 1–16–09; 8:45 am]
BILLING CODE 3190–W9–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–59230; File No. SR–CTA/
CQ–2008–05]
Consolidated Tape Association; Notice
of Filing of the Thirteenth Substantive
Amendment to the Second
Restatement of the Consolidated Tape
Association Plan and Ninth
Substantive Amendment to the
Restated Consolidated Quotation Plan
January 12, 2009.
Pursuant to Section 11A of the
Securities Exchange Act of 1934
(‘‘Act’’),1 and Rule 608 thereunder,2
notice is hereby given that on December
15, 2008, the Consolidated Tape
Association (‘‘CTA’’) Plan and
Consolidated Quotation (‘‘CQ’’) Plan
participants (‘‘Participants’’) 3 filed with
the Securities and Exchange
Commission (‘‘Commission’’) a proposal
to amend the CTA and CQ Plans
(collectively, the ‘‘Plans’’).4 The
1 15
U.S.C. 78k–1.
CFR 242.608.
3 Each Participant executed the proposed
amendment. The Participants are the American
Stock Exchange LLC (n/k/a NYSE Alternext US
LLC); Boston Stock Exchange, Inc. (n/k/a NASDAQ
OMX BX, Inc.); Chicago Board Options Exchange,
Incorporated; Chicago Stock Exchange, Inc.;
Financial Industry Regulatory Authority, Inc.,
International Securities Exchange, LLC; The
NASDAQ Stock Market LLC; National Stock
Exchange, Inc.; New York Stock Exchange LLC
(‘‘NYSE’’); NYSE Arca, Inc.; and Philadelphia Stock
Exchange, Inc. (n/k/a NASDAQ OMX PHLX, Inc.).
4 See Securities Exchange Act Release Nos. 10787
(May 10, 1974), 39 FR 17799 (order approving CTA
Plan); 15009 (July 28, 1978), 43 FR 34851 (August
7, 1978) (order temporarily approving CQ Plan); and
2 17
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Federal Register / Vol. 74, No. 12 / Wednesday, January 21, 2009 / Notices
Therefore, the Participants propose to
replace their payment to the Network A
Administrator of Operating Costs with
payment to the Network A
Administrator of a fixed fee. (The
Participants understand that Nasdaq
similarly receives a fixed fee for its
performance of administrative functions
under the ‘‘Joint Self-Regulatory
Organization Plan Governing the
Collection, Consolidation and
Dissemination of Quotation and
Transaction Information for NasdaqListed Securities Traded on Exchanges
on Unlisted Trading Privileges Basis.’’)
For calendar year 2008, the Network
A Participants propose to set the fixed
fee at $6,000,000. This amount will
compensate the Network A
Administrator for its Network A
administrative services during 2008
under both the CTA and CQ Plans.
I. Rule 608(a)
Determination of Operating Expenses.
In the case of NYSE as the CTA and CQ
A. Description and Purpose of the
Network A Administrator, the
Amendment
Participants deem ‘‘Operating
Network Administrator Fees under the Expenses’’ for any calendar year to
Plans. Section XII (‘‘Financial Matters’’) equal: (1) The ‘‘Annual Fixed Payment’’
of the CTA Plan and Section IX
for that year; plus (2) ‘‘Extraordinary
(‘‘Financial Matters’’) of the CQ Plan
Expenses.’’
each provides that a network’s
Annual Increases. For each
Operating Expenses are to be deducted
subsequent calendar year the Annual
from the network’s Gross Income in
Fixed Payment shall increase (but not
determining the amounts that the
decrease) by the percentage increase (if
any) in the annual cost-of-living
network’s administrator distributes to
adjustment (‘‘COLA’’) that the U.S.
the Participants. Both Section XII(c)(i)
Social Security Administration applies
(‘‘Determination of Operating
Expenses’’) of the CTA Plan and Section to the Supplemental Security Income for
the calendar year preceding that
IX(c)(i) (‘‘Determination of Operating
subsequent year, subject to a maximum
Expenses’’) of the CQ Plan currently
annual increase of five percent. For
provide that a network’s Operating
Expenses include all costs and expenses example, if the Social Security
Administration’s COLA is three percent
that the network’s administrator incurs
for calendar year 2008, then the Annual
in ‘‘collecting, processing and making
Fixed Payment for calendar year 2009
available Network A market data.’’
would increase by three percent to
Proposed Revision. The Network A
$6,180,000.
Administrator has informed the
Biannual Review. Every two years the
Participants that accounting for
Network A Administrator will provide a
operating costs is administratively
burdensome, especially the allocation of report highlighting any significant
changes to the CTA Network A and CQ
organization overhead costs to the
Network A Administrator function. As a Network A administrative expenses
during the preceding two years, and the
result, the Network A Participants have
Participants will review the Annual
determined that paying the Network A
Fixed Payment and determine by
Administrator a fixed fee in exchange
majority vote whether to continue it at
for its Network A administrative
its then current level.
services would be more efficient.
Payment of the Fee. On a quarterly
basis, NYSE shall deduct one-quarter of
16518 (January 22, 1980), 45 FR 6521 (order
each calendar year’s Annual Fixed
permanently approving CQ Plan). The most recent
restatement of both Plans was in 1995. The CTA
Payment from the aggregate of CTA
Plan, pursuant to which markets collect and
Network A Gross Income and CQ
disseminate last sale price information for nonNetwork A Gross Income under the CQ
NASDAQ listed securities, is a ‘‘transaction
Plan, before determining that quarter’s
reporting plan’’ under Rule 601 under the Act, 17
CFR 242.601, and a ‘‘national market system plan’’
distributable Net Income under the
under Rule 608 under the Act, 17 CFR 242.608. The
Plans. If a Participant’s share of Net
CQ Plan, pursuant to which markets collect and
Income for CTA Network A and CQ
disseminate bid/ask quotation information for listed
Network A for any calendar year is less
securities, is also a ‘‘national market system plan’’
under Rule 608 under the Act, 17 CFR 242.608.
than its pro rata share of the Annual
mstockstill on PROD1PC66 with NOTICES
proposals represent the thirteenth
substantive amendment made to the
Second Restatement of the CTA Plan
(‘‘Thirteenth Amendment to the CTA
Plan’’) and the ninth substantive
amendment to the Restated CQ Plan
(‘‘Ninth Amendment to the CQ Plan’’),
and reflect changes unanimously
adopted by the participants. The
Thirteenth Amendment to the CTA Plan
and the Ninth Amendment to the CQ
Plan (‘‘Amendments’’) would amend the
Plans to provide that the Participants
will pay the Network A Administrator a
fixed annual fee in exchange for its
performance of Network A
administrator functions under the Plans.
The Commission is publishing this
notice to solicit comments from
interested persons on the proposed
Amendments.
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Fixed Payment for that calendar year,
the Participant shall be responsible for
the difference.
Extraordinary Expenses.
Extraordinary Expenses include that
portion of legal and audit expenses and
marketing and consulting fees that are
outside of the ordinary and customary
functions that a network administrator
performs. For instance, Extraordinary
Expenses would include such things as
legal fees related to prosecution of a
legal proceeding against a vendor that
fails to pay applicable charges and fees
relating to a marketing campaign that
Participants determine to undertake to
popularize stock trading.5
The text of the proposed Amendments
is available on the CTA’s Web site
(https://www.nysedata.com/cta), at the
principal office of the CTA, and at the
Commission’s Public Reference Room.
B. Additional Information Required by
Rule 608(a)
1. Governing or Constituent Documents
Not applicable.
2. Implementation of the Amendment
Upon Commission approval of the
Amendment, the Participants intend to
implement the fixed fee immediately in
order to make it applicable for the 2008
calendar year. That is, for all of 2008,
the Network A Participants would pay
the Network A Administrator the fixed
fee rather than operating costs.
3. Development and Implementation
Phases
See Item I(B)(2) above.
4. Analysis of Impact on Competition
The Amendments will impose no
burden on competition.
5. Written Understanding or Agreements
Relating to Interpretation of, or
Participation in, Plan
The Participants have no written
understandings or agreements relating
to interpretation of the Plans as a result
of the Amendments.
6. Approval by Sponsors in Accordance
With Plan
Under Section IV(b) of the CTA Plan
and Section IV(c) of the CQ Plan, each
Plan Participant must execute a written
amendment to the CTA Plan before the
5 The Commission notes that the Transmittal
Letter accompanying the proposed Amendments
included language not voted on by the Participants
and thus not included in the proposed
Amendments: ‘‘Network A Administrator will not
incur any extraordinary expense on behalf of the
Network A Participants unless the Network A
Participants determine by majority vote to approve
the incurrence of that extraordinary expense.’’ This
language is not part of the proposed Amendments.
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21JAN1
Federal Register / Vol. 74, No. 12 / Wednesday, January 21, 2009 / Notices
amendment can become effective. The
Amendments are so executed.
7. Description of Operation of Facility
Contemplated by the Proposed
Amendment
a. Terms and Conditions of Access:
Not applicable.
b. Method of Determination and
Imposition, and Amount of, Fees and
Charges: Not applicable.
c. Method of Frequency of Processor
Evaluation: Not applicable.
d. Dispute Resolution: Not applicable.
II. Rule 601(a)
A. Equity Securities for Which
Transaction Reports Shall be Required
by the Plan.
Not applicable.
B. Reporting Requirements
Not applicable.
C. Manner of Collecting, Processing,
Sequencing, Making Available and
Disseminating Last Sale Information
Not applicable.
D. Manner of Consolidation
Not applicable.
E. Standards and Methods Ensuring
Promptness, Accuracy and
Completeness of Transaction Reports
Not applicable.
F. Rules and Procedures Addressed to
Fraudulent or Manipulative
Dissemination
Not applicable.
G. Terms of Access to Transaction
Reports
Not applicable.
H. Identification of Marketplace
Execution
Not applicable.
mstockstill on PROD1PC66 with NOTICES
III. Solicitation of Comments
Interested persons are invited to
submit written data, views, and
arguments concerning the foregoing,
including whether the proposed
Thirteenth Substantive Amendment to
the CTA Plan and the Ninth
Amendment to the CQ Plan 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 rulecomments@sec.gov. Please include File
Number SR–CTA–2008–05 on the
subject line.
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18:54 Jan 16, 2009
Jkt 217001
Paper Comments
• Send paper comments in triplicate
to Elizabeth M. Murphy, Secretary,
Securities and Exchange Commission,
100 F Street, NE., Washington, DC
20549–1090.
All submissions should refer to File
Number SR–CTA–2008–05. 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 Plan amendment that
are filed with the Commission, and all
written communications relating to the
Plan amendment 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 Amendments also will be
available for inspection and copying at
the principal office of the CTA. 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–CTA–2008–05 and should
be submitted on or before February 11,
2009.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.6
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–1021 Filed 1–16–09; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–59238; File No. SR–NSCC–
2006–17]
Self-Regulatory Organizations;
National Securities Clearing
Corporation; Order Approving
Proposed Rule Change To Reorganize
Membership Rules and Procedures
January 13, 2009.
I. Introduction
On December 13, 2006, the National
Securities Clearing Corporation
(‘‘NSCC’’) filed with the Securities and
Exchange Commission (‘‘Commission’’)
and on January 31, 2008, amended
proposed rule change SR–NSCC–2006–
17 pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934
(‘‘Act’’).1 Notice of the proposal was
published in the Federal Register on
July 10, 2008.2 On August 4, 2008,
NSCC again amended the proposed rule
change.3 The Commission received no
comment letters. For the reasons
discussed below, the Commission is
approving the proposed rule change, as
amended.
II. Description
NSCC is reorganizing its Rules and
Procedures (‘‘Rules’’) related to
membership standards and membership
requirements to conform them to its
current practices and to harmonize them
with similar rules of NSCC’s affiliate,
the Fixed Income Clearing Corporation
(‘‘FICC’’).4
Over the years, NSCC has created a
variety of membership classes, each
with different initial and continuing
membership requirements. These
requirements are currently scattered
throughout NSCC’s Rules. With the
objective of promoting greater
transparency, NSCC is reorganizing and
restructuring its Rules related to
member types, the membership
application process, and the ongoing
requirements of NSCC members in a
form that it believes will make them
more readily located and understood by
applicants and members alike.
1 U.S.C.
78s(b)(1).
Exchange Act Release No. 58100 (July
3, 2008), 73 FR 39759.
3 The August 4, 2008, amendment was technical
in nature and did not require the proposed rule
change to be noticed, again.
4 Both NSCC and FICC’s Government Securities
Division (‘‘GSD’’) share a number of common
members, and both act as central counterparties
with respect to certain transactions submitted by
members. Harmonization of NSCC and FICC Rules
is an ongoing process, and additional NSCC and
FICC ‘‘harmonizing’’ rule filings will follow.
2 Securities
6 17
PO 00000
CFR 200.30–3(a)(27).
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21JAN1
]]>Agencies
[Federal Register Volume 74, Number 12 (Wednesday, January 21, 2009)]
[Notices]
[Pages 3659-3661]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-1021]
=======================================================================
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SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-59230; File No. SR-CTA/CQ-2008-05]
Consolidated Tape Association; Notice of Filing of the Thirteenth
Substantive Amendment to the Second Restatement of the Consolidated
Tape Association Plan and Ninth Substantive Amendment to the Restated
Consolidated Quotation Plan
January 12, 2009.
Pursuant to Section 11A of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 608 thereunder,\2\ notice is hereby given that
on December 15, 2008, the Consolidated Tape Association (``CTA'') Plan
and Consolidated Quotation (``CQ'') Plan participants
(``Participants'') \3\ filed with the Securities and Exchange
Commission (``Commission'') a proposal to amend the CTA and CQ Plans
(collectively, the ``Plans'').\4\ The
[[Page 3660]]
proposals represent the thirteenth substantive amendment made to the
Second Restatement of the CTA Plan (``Thirteenth Amendment to the CTA
Plan'') and the ninth substantive amendment to the Restated CQ Plan
(``Ninth Amendment to the CQ Plan''), and reflect changes unanimously
adopted by the participants. The Thirteenth Amendment to the CTA Plan
and the Ninth Amendment to the CQ Plan (``Amendments'') would amend the
Plans to provide that the Participants will pay the Network A
Administrator a fixed annual fee in exchange for its performance of
Network A administrator functions under the Plans. The Commission is
publishing this notice to solicit comments from interested persons on
the proposed Amendments.
---------------------------------------------------------------------------
\1\ 15 U.S.C. 78k-1.
\2\ 17 CFR 242.608.
\3\ Each Participant executed the proposed amendment. The
Participants are the American Stock Exchange LLC (n/k/a NYSE
Alternext US LLC); Boston Stock Exchange, Inc. (n/k/a NASDAQ OMX BX,
Inc.); Chicago Board Options Exchange, Incorporated; Chicago Stock
Exchange, Inc.; Financial Industry Regulatory Authority, Inc.,
International Securities Exchange, LLC; The NASDAQ Stock Market LLC;
National Stock Exchange, Inc.; New York Stock Exchange LLC
(``NYSE''); NYSE Arca, Inc.; and Philadelphia Stock Exchange, Inc.
(n/k/a NASDAQ OMX PHLX, Inc.).
\4\ See Securities Exchange Act Release Nos. 10787 (May 10,
1974), 39 FR 17799 (order approving CTA Plan); 15009 (July 28,
1978), 43 FR 34851 (August 7, 1978) (order temporarily approving CQ
Plan); and 16518 (January 22, 1980), 45 FR 6521 (order permanently
approving CQ Plan). The most recent restatement of both Plans was in
1995. The CTA Plan, pursuant to which markets collect and
disseminate last sale price information for non-NASDAQ listed
securities, is a ``transaction reporting plan'' under Rule 601 under
the Act, 17 CFR 242.601, and a ``national market system plan'' under
Rule 608 under the Act, 17 CFR 242.608. The CQ Plan, pursuant to
which markets collect and disseminate bid/ask quotation information
for listed securities, is also a ``national market system plan''
under Rule 608 under the Act, 17 CFR 242.608.
---------------------------------------------------------------------------
I. Rule 608(a)
A. Description and Purpose of the Amendment
Network Administrator Fees under the Plans. Section XII
(``Financial Matters'') of the CTA Plan and Section IX (``Financial
Matters'') of the CQ Plan each provides that a network's Operating
Expenses are to be deducted from the network's Gross Income in
determining the amounts that the network's administrator distributes to
the Participants. Both Section XII(c)(i) (``Determination of Operating
Expenses'') of the CTA Plan and Section IX(c)(i) (``Determination of
Operating Expenses'') of the CQ Plan currently provide that a network's
Operating Expenses include all costs and expenses that the network's
administrator incurs in ``collecting, processing and making available
Network A market data.''
Proposed Revision. The Network A Administrator has informed the
Participants that accounting for operating costs is administratively
burdensome, especially the allocation of organization overhead costs to
the Network A Administrator function. As a result, the Network A
Participants have determined that paying the Network A Administrator a
fixed fee in exchange for its Network A administrative services would
be more efficient.
Therefore, the Participants propose to replace their payment to the
Network A Administrator of Operating Costs with payment to the Network
A Administrator of a fixed fee. (The Participants understand that
Nasdaq similarly receives a fixed fee for its performance of
administrative functions under the ``Joint Self-Regulatory Organization
Plan Governing the Collection, Consolidation and Dissemination of
Quotation and Transaction Information for Nasdaq-Listed Securities
Traded on Exchanges on Unlisted Trading Privileges Basis.'')
For calendar year 2008, the Network A Participants propose to set
the fixed fee at $6,000,000. This amount will compensate the Network A
Administrator for its Network A administrative services during 2008
under both the CTA and CQ Plans.
Determination of Operating Expenses. In the case of NYSE as the CTA
and CQ Network A Administrator, the Participants deem ``Operating
Expenses'' for any calendar year to equal: (1) The ``Annual Fixed
Payment'' for that year; plus (2) ``Extraordinary Expenses.''
Annual Increases. For each subsequent calendar year the Annual
Fixed Payment shall increase (but not decrease) by the percentage
increase (if any) in the annual cost-of-living adjustment (``COLA'')
that the U.S. Social Security Administration applies to the
Supplemental Security Income for the calendar year preceding that
subsequent year, subject to a maximum annual increase of five percent.
For example, if the Social Security Administration's COLA is three
percent for calendar year 2008, then the Annual Fixed Payment for
calendar year 2009 would increase by three percent to $6,180,000.
Biannual Review. Every two years the Network A Administrator will
provide a report highlighting any significant changes to the CTA
Network A and CQ Network A administrative expenses during the preceding
two years, and the Participants will review the Annual Fixed Payment
and determine by majority vote whether to continue it at its then
current level.
Payment of the Fee. On a quarterly basis, NYSE shall deduct one-
quarter of each calendar year's Annual Fixed Payment from the aggregate
of CTA Network A Gross Income and CQ Network A Gross Income under the
CQ Plan, before determining that quarter's distributable Net Income
under the Plans. If a Participant's share of Net Income for CTA Network
A and CQ Network A for any calendar year is less than its pro rata
share of the Annual Fixed Payment for that calendar year, the
Participant shall be responsible for the difference.
Extraordinary Expenses. Extraordinary Expenses include that portion
of legal and audit expenses and marketing and consulting fees that are
outside of the ordinary and customary functions that a network
administrator performs. For instance, Extraordinary Expenses would
include such things as legal fees related to prosecution of a legal
proceeding against a vendor that fails to pay applicable charges and
fees relating to a marketing campaign that Participants determine to
undertake to popularize stock trading.\5\
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\5\ The Commission notes that the Transmittal Letter
accompanying the proposed Amendments included language not voted on
by the Participants and thus not included in the proposed
Amendments: ``Network A Administrator will not incur any
extraordinary expense on behalf of the Network A Participants unless
the Network A Participants determine by majority vote to approve the
incurrence of that extraordinary expense.'' This language is not
part of the proposed Amendments.
---------------------------------------------------------------------------
The text of the proposed Amendments is available on the CTA's Web
site (https://www.nysedata.com/cta), at the principal office of the CTA,
and at the Commission's Public Reference Room.
B. Additional Information Required by Rule 608(a)
1. Governing or Constituent Documents
Not applicable.
2. Implementation of the Amendment
Upon Commission approval of the Amendment, the Participants intend
to implement the fixed fee immediately in order to make it applicable
for the 2008 calendar year. That is, for all of 2008, the Network A
Participants would pay the Network A Administrator the fixed fee rather
than operating costs.
3. Development and Implementation Phases
See Item I(B)(2) above.
4. Analysis of Impact on Competition
The Amendments will impose no burden on competition.
5. Written Understanding or Agreements Relating to Interpretation of,
or Participation in, Plan
The Participants have no written understandings or agreements
relating to interpretation of the Plans as a result of the Amendments.
6. Approval by Sponsors in Accordance With Plan
Under Section IV(b) of the CTA Plan and Section IV(c) of the CQ
Plan, each Plan Participant must execute a written amendment to the CTA
Plan before the
[[Page 3661]]
amendment can become effective. The Amendments are so executed.
7. Description of Operation of Facility Contemplated by the Proposed
Amendment
a. Terms and Conditions of Access: Not applicable.
b. Method of Determination and Imposition, and Amount of, Fees and
Charges: Not applicable.
c. Method of Frequency of Processor Evaluation: Not applicable.
d. Dispute Resolution: Not applicable.
II. Rule 601(a)
A. Equity Securities for Which Transaction Reports Shall be Required by
the Plan.
Not applicable.
B. Reporting Requirements
Not applicable.
C. Manner of Collecting, Processing, Sequencing, Making Available and
Disseminating Last Sale Information
Not applicable.
D. Manner of Consolidation
Not applicable.
E. Standards and Methods Ensuring Promptness, Accuracy and Completeness
of Transaction Reports
Not applicable.
F. Rules and Procedures Addressed to Fraudulent or Manipulative
Dissemination
Not applicable.
G. Terms of Access to Transaction Reports
Not applicable.
H. Identification of Marketplace Execution
Not applicable.
III. Solicitation of Comments
Interested persons are invited to submit written data, views, and
arguments concerning the foregoing, including whether the proposed
Thirteenth Substantive Amendment to the CTA Plan and the Ninth
Amendment to the CQ Plan 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 SR-CTA-2008-05 on the subject line.
Paper Comments
Send paper comments in triplicate to Elizabeth M. Murphy,
Secretary, Securities and Exchange Commission, 100 F Street, NE.,
Washington, DC 20549-1090.
All submissions should refer to File Number SR-CTA-2008-05. 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 Plan amendment that are filed
with the Commission, and all written communications relating to the
Plan amendment 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 Amendments
also will be available for inspection and copying at the principal
office of the CTA. 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-CTA-
2008-05 and should be submitted on or before February 11, 2009.
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\6\
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\6\ 17 CFR 200.30-3(a)(27).
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Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-1021 Filed 1-16-09; 8:45 am]
BILLING CODE 8011-01-P
