Self-Regulatory Organizations; NYSE Alternext U.S. LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Certificate of Formation, Amended and Restated Operating Agreement, Rules, and Company Guide To Change the Name of the Exchange to NYSE Amex LLC, 11803-11804 [E9-5979]
Download as PDF
<![CDATA[
Federal Register / Vol. 74, No. 52 / Thursday, March 19, 2009 / Notices
DC 20549, on official business days
between the hours of 10 a.m. and 3 p.m.
Copies of the filing also will be available
for inspection and copying at the
principal office of 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 SR–NYSE–2009–28 and should
be submitted on or before April 9, 2009.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.17
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–5931 Filed 3–18–09; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–59575; File No. SR–
NYSEALTR–2009–24]
Self-Regulatory Organizations; NYSE
Alternext U.S. LLC; Notice of Filing and
Immediate Effectiveness of Proposed
Rule Change Amending Certificate of
Formation, Amended and Restated
Operating Agreement, Rules, and
Company Guide To Change the Name
of the Exchange to NYSE Amex LLC
sroberts on PROD1PC70 with NOTICES
March 13, 2009.
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 March 3,
2009, NYSE Alternext U.S. LLC
(‘‘NYSEALTR’’ or the ‘‘Exchange’’) filed
with the Securities and Exchange
Commission (‘‘Commission’’) the
proposed rule change as described in
Items I, II, and III below, which Items
have been prepared by NYSEALTR. The
Exchange has designated this proposal
as one concerned solely with the
administration of the Exchange
pursuant to Section 19(b)(3)(A)(iii) of
the Act 3 and Rule 19b–4(f)(3)
thereunder,4 which renders the proposal
effective upon filing with the
Commission. The Commission is
publishing this notice to solicit
comments on the proposed rule change
from interested persons.
17 17
CFR 200.30–3(a)(12).
U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.
3 15 U.S.C. 78s(b)(3)(A)(iii).
4 17 CFR 240.19b–4(f)(3).
1 15
VerDate Nov<24>2008
17:17 Mar 18, 2009
Jkt 217001
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
The Exchange proposes to amend its
Certificate of Formation, Amended and
Restated Operating Agreement, Rules,
and Company Guide to change the name
of the Exchange to NYSE Amex LLC.
The text of the proposed rule change
is available at NYSE Alternext, the
Commission’s Public Reference Room,
and https://www.nyse.com.
II. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
In its filing with the Commission,
NYSEALTR 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.
NYSEALTR 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
The purpose of this proposed rule
change is to change the name of the
Exchange to ‘‘NYSE Amex LLC.’’ At the
time of the acquisition of the American
Stock Exchange LLC (‘‘Amex’’) by NYSE
Euronext on October 1, 2008, the name
of the Exchange, as the successor entity
to Amex, was initially established as
‘‘NYSE Alternext U.S. LLC.’’ After
further analysis following the
acquisition, the Exchange has
determined that for branding purposes it
would be desirable to retain some
reference to the historic Amex exchange
in the name of the Exchange.
Specifically, the Certificate of
Formation of the Exchange shall be
amended to remove all references to
‘‘NYSE Alternext U.S. LLC’’ and replace
them with ‘‘NYSE Amex LLC.’’ The
Amended and Restated Operating
Agreement of NYSE Alternext U.S. LLC
shall again be amended and restated to
become the Amended and Restated
Operating Agreement of NYSE Amex
LLC, with the word ‘‘Company’’ to be
redefined to represent ‘‘NYSE Amex
LLC’’ and ARTICLE I, Section 1.01 to be
revised to state the name of the limited
liability company as ‘‘NYSE Amex
LLC.’’ In the Exchange’s Rules and its
Company Guide, all references to
‘‘Alternext’’ or ‘‘Alternext US’’ will be
PO 00000
Frm 00095
Fmt 4703
Sfmt 4703
11803
replaced with the word ‘‘Amex.’’ None
of the foregoing changes are substantive.
Two minor non-substantive corrections
to the lettering format in one rule will
also be made.
2. Statutory Basis
The Exchange believes the proposed
rule change is consistent with Section
6(b) 5 of the Securities Exchange Act of
1934 (the ‘‘Act’’), in general, and
furthers the objectives of Section
6(b)(5) 6 in particular in that it is
designed to prevent fraudulent and
manipulative acts and practices, to
promote just and equitable principles of
trade, to foster cooperation and
coordination with persons engaged in
facilitating transactions in securities, to
remove impediments to and perfect the
mechanism of a free and open market
and a national market system and, in
general, to protect investors and the
public interest. More specifically,
changing the name of the Exchange to
include a reference to the historic Amex
exchange may help eliminate potential
confusion among investors and assist in
clarifying for them the role of the
Exchange in the marketplace and the
types of companies whose securities are
listed here.
B. Self-Regulatory Organization’s
Statement on Burden on Competition
The Exchange does not believe that
the proposed rule change will impose
any burden on competition that is not
necessary or appropriate in furtherance
of purposes of the Act.
C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received From
Members, Participants or Others
No written comments were solicited
or received with respect to the proposed
rule change.
III. Date of Effectiveness of the
Proposed Rule Change and Timing for
Commission Action
Because the foregoing proposed rule
change is concerned solely with the
administration of the Exchange, it has
become effective pursuant to Section
19(b)(3)(A) of the Act 7 and
subparagraph (f)(3) of Rule 19b–4
thereunder.8 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
5 15
U.S.C. 78f(b).
U.S.C. 78f(b)(5).
7 15 U.S.C. 78s(b)(3)(A).
8 17 CFR 240.19b–4(f)(3).
6 15
E:\FR\FM\19MRN1.SGM
19MRN1
11804
Federal Register / Vol. 74, No. 52 / Thursday, March 19, 2009 / Notices
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:
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.9
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–5979 Filed 3–18–09; 8:45 am]
BILLING CODE 8011–01–P
SMALL BUSINESS ADMINISTRATION
[Disaster Declaration #11692 and #11693]
Pennsylvania Disaster #PA–00020
• 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–NYSEALTR–2009–24 on
the subject line.
sroberts on PROD1PC70 with NOTICES
Electronic Comments
AGENCY:
ACTION:
Small Business Administration.
Notice.
SUMMARY: This is a notice of an
Administrative declaration of a disaster
for the State of Pennsylvania dated 03/
12/2009.
Incident: Fire.
Incident Period: 01/24/2009.
Paper Comments
Effective Date: 03/12/2009.
Physical Loan Application Deadline
• Send paper comments in triplicate
Date: 5/11/2009.
to Elizabeth M. Murphy, Secretary,
Economic Injury (EIDL) Loan
Securities and Exchange Commission,
Application Deadline Date: 12/12/2009.
100 F Street, NE., Washington, DC
ADDRESSES: Submit completed loan
20549–1090.
applications to: U.S. Small Business
All submissions should refer to File
Administration, Processing and
Number SR–NYSEALTR–2009–24. This Disbursement Center, 14925 Kingsport
file number should be included on the
Road, Fort Worth, TX 76155.
subject line if e-mail is used. To help the FOR FURTHER INFORMATION CONTACT: A.
Commission process and review your
Escobar, Office of Disaster Assistance,
comments more efficiently, please use
U.S. Small Business Administration,
only one method. The Commission will 409 3rd Street, SW., Suite 6050,
post all comments on the Commission’s Washington, DC 20416.
Internet Web site (https://www.sec.gov/
SUPPLEMENTARY INFORMATION: Notice is
rules/sro.shtml). Copies of the
hereby given that as a result of the
submission, all subsequent
Administrator’s disaster declaration,
amendments, all written statements
applications for disaster loans may be
with respect to the proposed rule
filed at the address listed above or other
change that are filed with the
locally announced locations.
Commission, and all written
The following areas have been
communications relating to the
determined to be adversely affected by
proposed rule change between the
the disaster:
Commission and any person, other than Primary Counties: Chester.
those that may be withheld from the
Contiguous Counties:
public in accordance with the
Delaware: New Castle.
Maryland: Cecil.
provisions of 5 U.S.C. 552, will be
Pennsylvania: Berks, Delaware,
available for inspection and copying in
Lancaster, and Montgomery.
the Commission’s Public Reference
The Interest Rates are:
Room, 100 F Street, NE., Washington,
DC 20549, on official business days
Percent
between the hours of 10 a.m. and 3 p.m.
Copies of such filing also will be
Homeowners With Credit Availavailable for inspection and copying at
able Elsewhere .........................
5.375
the principal office of NYSEALTR. All
Homeowners
Without
Credit
comments received will be posted
Available Elsewhere ..................
2.687
Businesses With Credit Available
without change; the Commission does
Elsewhere .................................
7.750
not edit personal identifying
Businesses & Small Agricultural
information from submissions. You
Cooperatives Without Credit
should submit only information that
Available Elsewhere ..................
4.000
you wish to make available publicly. All Other (Including Non-Profit Orgasubmissions should refer to File
nizations) With Credit Available
Number SR–NYSEALTR–2009–24 and
Elsewhere .................................
4.500
should be submitted on or before April
9, 2009.
9 17 CFR 200.30–3(a)(12).
VerDate Nov<24>2008
17:17 Mar 18, 2009
Jkt 217001
PO 00000
Frm 00096
Fmt 4703
Sfmt 4703
Percent
Businesses And Non-Profit Organizations Without Credit Available Elsewhere .........................
4.000
The number assigned to this disaster
for physical damage is 11692 5 and for
economic injury is 11693 0.
The States which received an EIDL
Declaration # are: Pennsylvania,
Delaware, and Maryland.
(Catalog of Federal Domestic Assistance
Numbers 59002 and 59008)
Dated: March 12, 2009.
Darryl K. Hairston,
Acting Administrator.
[FR Doc. E9–5974 Filed 3–18–09; 8:45 am]
BILLING CODE 8025–01–P
SOCIAL SECURITY ADMINISTRATION
Agency Information Collection
Activities: Proposed Request and
Comment Request
The Social Security Administration
(SSA) publishes a list of information
collection packages requiring clearance
by the Office of Management and
Budget (OMB) in compliance with
Public Law (Pub. L.) 104–13, the
Paperwork Reduction Act of 1995,
effective October 1, 1995. This notice
includes revisions and extensions of
OMB-approved Information Collections.
SSA is soliciting comments on the
accuracy of the agency’s burden
estimate; the need for the information;
its practical utility; ways to enhance its
quality, utility, and clarity; and ways to
minimize the burden on respondents,
including the use of automated
collection techniques or other forms of
information technology. Mail, e-mail, or
fax your comments and
recommendations on the information
collection(s) to the OMB Desk Officer
and the SSA Reports Clearance Officer
to the addresses or fax numbers listed
below.
(OMB) Office of Management and
Budget, Attn: Desk Officer for SSA,
Fax: 202–395–6974. E-mail address:
OIRA_Submission@omb.eop.gov.
(SSA) Social Security Administration,
DCBFM, Attn: Reports Clearance
Officer, 1332 Annex Building, 6401
Security Blvd., Baltimore, MD 21235.
Fax: 410–965–6400, E-mail address:
OPLM.RCO@ssa.gov.
I. The information collection below is
pending at SSA. SSA will submit it to
OMB within 60 days from the date of
this notice. To be sure that we consider
your comments, we must receive them
no later than May 18, 2009. Individuals
E:\FR\FM\19MRN1.SGM
19MRN1
]]>Agencies
[Federal Register Volume 74, Number 52 (Thursday, March 19, 2009)]
[Notices]
[Pages 11803-11804]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-5979]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-59575; File No. SR-NYSEALTR-2009-24]
Self-Regulatory Organizations; NYSE Alternext U.S. LLC; Notice of
Filing and Immediate Effectiveness of Proposed Rule Change Amending
Certificate of Formation, Amended and Restated Operating Agreement,
Rules, and Company Guide To Change the Name of the Exchange to NYSE
Amex LLC
March 13, 2009.
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 March 3, 2009, NYSE Alternext U.S. LLC (``NYSEALTR'' or the
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I, II,
and III below, which Items have been prepared by NYSEALTR. The Exchange
has designated this proposal as one concerned solely with the
administration of the Exchange pursuant to Section 19(b)(3)(A)(iii) of
the Act \3\ and Rule 19b-4(f)(3) thereunder,\4\ which renders the
proposal effective upon filing with 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\ 15 U.S.C. 78s(b)(3)(A)(iii).
\4\ 17 CFR 240.19b-4(f)(3).
---------------------------------------------------------------------------
I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change
The Exchange proposes to amend its Certificate of Formation,
Amended and Restated Operating Agreement, Rules, and Company Guide to
change the name of the Exchange to NYSE Amex LLC.
The text of the proposed rule change is available at NYSE
Alternext, the Commission's Public Reference Room, and https://
www.nyse.com.
II. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change
In its filing with the Commission, NYSEALTR 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. NYSEALTR 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
The purpose of this proposed rule change is to change the name of
the Exchange to ``NYSE Amex LLC.'' At the time of the acquisition of
the American Stock Exchange LLC (``Amex'') by NYSE Euronext on October
1, 2008, the name of the Exchange, as the successor entity to Amex, was
initially established as ``NYSE Alternext U.S. LLC.'' After further
analysis following the acquisition, the Exchange has determined that
for branding purposes it would be desirable to retain some reference to
the historic Amex exchange in the name of the Exchange.
Specifically, the Certificate of Formation of the Exchange shall be
amended to remove all references to ``NYSE Alternext U.S. LLC'' and
replace them with ``NYSE Amex LLC.'' The Amended and Restated Operating
Agreement of NYSE Alternext U.S. LLC shall again be amended and
restated to become the Amended and Restated Operating Agreement of NYSE
Amex LLC, with the word ``Company'' to be redefined to represent ``NYSE
Amex LLC'' and ARTICLE I, Section 1.01 to be revised to state the name
of the limited liability company as ``NYSE Amex LLC.'' In the
Exchange's Rules and its Company Guide, all references to ``Alternext''
or ``Alternext US'' will be replaced with the word ``Amex.'' None of
the foregoing changes are substantive. Two minor non-substantive
corrections to the lettering format in one rule will also be made.
2. Statutory Basis
The Exchange believes the proposed rule change is consistent with
Section 6(b) \5\ of the Securities Exchange Act of 1934 (the ``Act''),
in general, and furthers the objectives of Section 6(b)(5) \6\ in
particular in that it is designed to prevent fraudulent and
manipulative acts and practices, to promote just and equitable
principles of trade, to foster cooperation and coordination with
persons engaged in facilitating transactions in securities, to remove
impediments to and perfect the mechanism of a free and open market and
a national market system and, in general, to protect investors and the
public interest. More specifically, changing the name of the Exchange
to include a reference to the historic Amex exchange may help eliminate
potential confusion among investors and assist in clarifying for them
the role of the Exchange in the marketplace and the types of companies
whose securities are listed here.
---------------------------------------------------------------------------
\5\ 15 U.S.C. 78f(b).
\6\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------
B. Self-Regulatory Organization's Statement on Burden on Competition
The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of purposes of the Act.
C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants or Others
No written comments were solicited or received with respect to the
proposed rule change.
III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action
Because the foregoing proposed rule change is concerned solely with
the administration of the Exchange, it has become effective pursuant to
Section 19(b)(3)(A) of the Act \7\ and subparagraph (f)(3) of Rule 19b-
4 thereunder.\8\ 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
[[Page 11804]]
interest, for the protection of investors, or otherwise in furtherance
of the purposes of the Act.
---------------------------------------------------------------------------
\7\ 15 U.S.C. 78s(b)(3)(A).
\8\ 17 CFR 240.19b-4(f)(3).
---------------------------------------------------------------------------
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-NYSEALTR-2009-24 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-NYSEALTR-2009-24. 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 NYSEALTR. 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-NYSEALTR-2009-24 and should
be submitted on or before April 9, 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,
Deputy Secretary.
[FR Doc. E9-5979 Filed 3-18-09; 8:45 am]
BILLING CODE 8011-01-P
