Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change Relating to the Adoption of FINRA Rule 2140 (Interfering With the Transfer of Customer Accounts in the Context of Employment Disputes) in the Consolidated FINRA Rulebook; Correction, 12417 [E9-6353]

Download as PDF Federal Register / Vol. 74, No. 55 / Tuesday, March 24, 2009 / Notices Electronic Comments seeking automated handling of conversions and reversals. B. Self-Regulatory Organization’s Statement on Burden on Competition CBOE does not believe that the proposed rule change will impose any burden on competition 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 Paper Comments • Send paper comments in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549–1090. The Exchange neither solicited nor received comments on the proposal. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Because the foregoing rule does not (i) significantly affect the protection of investors or the public interest; (ii) impose any significant burden on competition; and (iii) become operative for 30 days from the date on which it was filed, or such shorter time as the Commission may designate if consistent with the protection of investors and the public interest, provided that the selfregulatory organization has given the Commission written notice of its intent to file 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, the proposed rule change has become effective pursuant to Section 19(b)(3)(A) of the Act 12 and Rule 19b–4(f)(6) thereunder.13 At any time within 60 days of the filing of such 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: mstockstill on PROD1PC66 with NOTICES • 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–CBOE–2009–017 on the subject line. All submissions should refer to File Number SR–CBOE–2009–017. 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 SR–CBOE– 2009–017 and should be submitted on or before April 14, 2009. 12 15 For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.14 Florence E. Harmon, Deputy Secretary. [FR Doc. E9–6404 Filed 3–23–09; 8:45 am] 13 17 BILLING CODE 8010–01–P U.S.C. 78s(b)(3)(A). CFR 240.19b–4(f)(6). The CBOE satisfied the requirement under Rule 19b–4(f)(6)(iii) that the CBOE give the Commission 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. VerDate Nov<24>2008 01:06 Mar 24, 2009 Jkt 217001 SECURITIES AND EXCHANGE COMMISSION [Release No. 34–59495A; File No. SR– FINRA–2008–052] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change Relating to the Adoption of FINRA Rule 2140 (Interfering With the Transfer of Customer Accounts in the Context of Employment Disputes) in the Consolidated FINRA Rulebook; Correction March 18, 2009. In FR Doc. E9–5212, for Tuesday, March 11, 2009, on page 10633, third column, footnote 8, the text is revised to read: The text of the proposed new FINRA rule, marked to show changes from NASD IM–2110–7 and to show that NASD IM–2110–7 is to be deleted in its entirety from the Transitional Rulebook, is attached as Exhibit 5 to the proposed rule change and is available at https:// www.finra.org/Industry/Regulation/ RuleFilings/2008/P117330. FINRA has transferred NASD Rule 2110 to the Consolidated FINRA Rulebook without change as FINRA Rule 2010. Securities Exchange Act Release No. 58643 (September 25, 2008), 73 FR 57174 (October 1, 2008) [File No. SR–FINRA– 2008–028]. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.1 Florence E. Harmon, Deputy Secretary. [FR Doc. E9–6353 Filed 3–23–09; 8:45 am] BILLING CODE 8010–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–59592; File No. SR–NYSE– 2009–29] Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending the NYSE Rule Book To Delete References to Specific Exchange Systems and To Remove the Requirement That Opening Transactions Receive Specific Designations Pursuant to NYSE Rules 79A and 115A March 17, 2009. Pursuant to Section 19(b)(1) 1 of the Securities Exchange Act of 1934 (the 1 17 14 17 PO 00000 CFR 200.30–3(a)(12). Frm 00115 Fmt 4703 12417 Sfmt 4703 1 15 CFR 200.30–(a)(12). U.S.C.78s(b)(1). E:\FR\FM\24MRN1.SGM 24MRN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 74, Number 55 (Tuesday, March 24, 2009)]
[Notices]
[Page 12417]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-6353]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-59495A; File No. SR-FINRA-2008-052]


Self-Regulatory Organizations; Financial Industry Regulatory 
Authority, Inc.; Order Granting Approval of a Proposed Rule Change 
Relating to the Adoption of FINRA Rule 2140 (Interfering With the 
Transfer of Customer Accounts in the Context of Employment Disputes) in 
the Consolidated FINRA Rulebook; Correction

March 18, 2009.
    In FR Doc. E9-5212, for Tuesday, March 11, 2009, on page 10633, 
third column, footnote 8, the text is revised to read:
    The text of the proposed new FINRA rule, marked to show changes 
from NASD IM-2110-7 and to show that NASD IM-2110-7 is to be deleted in 
its entirety from the Transitional Rulebook, is attached as Exhibit 5 
to the proposed rule change and is available at https://www.finra.org/Industry/Regulation/RuleFilings/2008/P117330. FINRA has transferred 
NASD Rule 2110 to the Consolidated FINRA Rulebook without change as 
FINRA Rule 2010. Securities Exchange Act Release No. 58643 (September 
25, 2008), 73 FR 57174 (October 1, 2008) [File No. SR-FINRA-2008-028].
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    \1\ 17 CFR 200.30-(a)(12).

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\1\
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-6353 Filed 3-23-09; 8:45 am]
BILLING CODE 8010-01-P

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