Submission for OMB Review; Comment Request, 15010 [E9-7356]
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15010
Federal Register / Vol. 74, No. 62 / Thursday, April 2, 2009 / Notices
PRA_Mailbox@sec.gov. Comments must
be submitted to OMB within 30 days of
this notice.
Dated: March 27, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–7355 Filed 4–1–09; 8:45 am]
BILLING CODE 8010–01–P
SECURITIES AND EXCHANGE
COMMISSION
Submission for OMB Review;
Comment Request
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of Investor
Education and Advocacy,
Washington, DC 20549–0213.
mstockstill on PROD1PC66 with NOTICES
Extension:
Regulation FD; OMB Control No. 3235–
0536; SEC File No. 270–475.
Notice is hereby given that pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.) the Securities
and Exchange Commission
(‘‘Commission’’) has submitted to the
Office of Management and Budget a
request for an extension of the
previously approved collection of
information discussed below.
Regulation FD (17 CFR 243.100 et
seq.)—Other Disclosure Materials
requires public disclosure of material
information from issuers of publicly
traded securities so that investors have
current information upon which to base
investment decisions. The purpose of
the regulation is to require that: (1)
When an issuer intentionally discloses
material information, it does so through
public disclosure, not selective
disclosure; and (2) whenever an issuer
learns that it has made a non-intentional
material selective disclosure, the issuer
makes prompt public disclosure of that
information. Regulation FD was adopted
due to a concern that the practice of
selective disclosure leads to a loss of
investor confidence in the integrity of
our capital markets. All information is
provided to the public for review. The
information required is filed on
occasion and is mandatory. We estimate
that approximately 13,000 issuers make
Regulation FD disclosures
approximately five times a year for a
total of 58,000 submissions annually,
not including an estimated 7,000 issuers
who file Form 8–K (17 CFR 249.308) to
comply with Regulation FD. We
estimate that it takes approximately 5
hours per response (58,000 responses ×
5 hours) for an estimated total burden of
290,000 hours annually. In addition, we
estimate that 25% of the 5 hours (1.25
VerDate Nov<24>2008
17:43 Apr 01, 2009
Jkt 217001
hours) is prepared by the filer for an
estimated annual reporting burden of
72,500 hours (1.25 hours per response ×
58,000 responses).
An agency may not conduct or
sponsor, and a person is not required to
respond to, a collection of information
unless it displays a currently valid
control number.
Written comments regarding the
above information should be directed to
the following persons: (i) Desk Officer
for the Securities and Exchange
Commission, Office of Information and
Regulatory Affairs, Office of
Management and Budget, Room 10102,
New Executive Office Building,
Washington DC 20503 or send an e-mail
to Shagufta_Ahmed@omb.eop.gov; and
(ii) Charles Boucher, Director/CIO,
Securities and Exchange Commission,
C/O Shirley Martinson, 6432 General
Green Way, Alexandria VA 22312; or
send an e-mail to:
PRA_Mailbox@sec.gov. Comments must
be submitted to OMB within 30 days of
this notice.
Dated: March 27, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–7356 Filed 4–1–09; 8:45 am]
BILLING CODE
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–59647; File No. 4–546]
Joint Industry Plan; Chicago Board
Options Exchange, Incorporated,
International Securities Exchange,
LLC, The NASDAQ Stock Market LLC,
NASDAQ OMX BX, Inc., NASDAQ OMX
PHLX, Inc., NYSE Amex LLC, and
NYSE Arca, Inc.; Notice of Filing of
Proposed Options Order Protection
and Locked/Crossed Market Plan
March 30, 2009.
I. Introduction
On September 13, 2007, and
September 18, 2007, pursuant to Rule
608 of Regulation NMS under the
Securities Exchange Act of 1934 (‘‘Act’’)
(‘‘Rule 608’’),1 the International
Securities Exchange, LLC (‘‘ISE’’) and
NYSE Arca, Inc. (‘‘NYSE Arca’’),
respectively, filed with the Securities
and Exchange Commission
(‘‘Commission’’) the proposed Options
Order Protection and Locked/Crossed
Market Plan.2 On December 11, 2007,
1 17
CFR 242.608.
letter from Michael J. Simon, General
Counsel, ISE, to Nancy M. Morris, Secretary,
Commission, dated September 12, 2007 (‘‘ISE Letter
1’’); and letter from Peter G. Armstrong, Managing
2 See
PO 00000
Frm 00059
Fmt 4703
Sfmt 4703
ISE and NYSE Arca separately filed
Amendment No. 1 to the Proposed
Plan.3 On April 24, 2008, and April 17,
2008, ISE and NYSE Arca, respectively,
filed Amendment No. 2 to the Proposed
Plan.4 On November 10, 2008 and
October 31, 2008, ISE and NYSE Arca,
respectively, filed Amendment No. 3 to
the Proposed Plan.5 On April 30, 2008,
May 8, 2008, June 18, 2008, June 18,
2008, and July 9, 2008, respectively,
Chicago Board Options Exchange,
Incorporated (‘‘CBOE’’), The NASDAQ
Stock Market LLC (‘‘Nasdaq’’),
American Stock Exchange LLC
(‘‘Amex’’) (f/k/a NYSE Alternext US
LLC, ‘‘NYSE Alternext,’’ n/k/a NYSE
Amex LLC, ‘‘NYSE Amex’’),
Philadelphia Stock Exchange,
Incorporated (n/k/a NASDAQ OMX
PHLX, Inc., ‘‘Phlx’’), and Boston Stock
Exchange, Inc. (‘‘BSE’’) (n/k/a NASDAQ
OMX BX, Inc., ‘‘BX’’ and together with
ISE, NYSE Arca, CBOE, Nasdaq, NYSE
Amex, and Phlx, the ‘‘Proposing
Exchanges’’) filed with the Commission
the Proposed Plan.6 On November 25,
2008, November 26, 2008, December 2,
2008, December 4, 2008, and December
5, 2008, CBOE, NYSE Alternext, BSE,
Director, Options, NYSE Arca, to Nancy M. Morris,
Secretary, Commission, dated September 14, 2007
(‘‘NYSE Arca Letter 1’’). The proposed Options
Order Protection and Locked/Crossed Market Plan,
as amended, is defined herein as the ‘‘Proposed
Plan.’’
3 See letter from Michael J. Simon, General
Counsel, ISE, to Nancy M. Morris, Secretary,
Commission, dated December 10, 2007; and letter
from Peter G. Armstrong, Managing Director,
Options, NYSE Arca, to Nancy M. Morris, Secretary,
Commission, dated December 10, 2007.
4 Amendment No. 2 superseded Amendment No.
1 and replaced it in its entirety. See letter from
Michael J. Simon, General Counsel, ISE, to Nancy
M. Morris, Secretary, Commission, dated April 16,
2008; and letter from Peter G. Armstrong, Managing
Director, Options, NYSE Arca, to Nancy M. Morris,
Secretary, Commission, dated April 16, 2008.
5 See letter from Michael J. Simon, General
Counsel, ISE, to Florence Harmon, Acting Secretary,
Commission, dated November 7, 2008 (‘‘ISE Letter
2’’); and letter from Peter G. Armstrong, Managing
Director, Options, NYSE Arca, to Florence Harmon,
Acting Secretary, Commission, dated October 30,
2008 (‘‘NYSE Arca Letter 2’’).
6 In their respective filings of the Proposed Plan,
Amex, BSE, CBOE, Nasdaq, and Phlx incorporated
the changes made by ISE and NYSE Arca in
Amendment No. 2. See letters from Jeffrey P. Burns,
Vice President and Associate General Counsel,
Amex, to Nancy M. Morris, Secretary, Commission,
dated June 17, 2008 (‘‘Amex Letter 1’’); Bruce
Goodhue, Chief Regulatory Officer, BSE, to Florence
Harmon, Acting Secretary, Commission, dated July
8, 2008 (‘‘BSE Letter 1’’); Edward J. Joyce, President
and Chief Operating Officer, CBOE, to Nancy M.
Morris, Secretary, Commission, dated April 29,
2008 (‘‘CBOE Letter 1’’); Jeffrey S. Davis, Vice
President and Deputy General Counsel, The
NASDAQ OMX Group, Inc., to Nancy M. Morris,
Secretary, Commission, dated May 7, 2008
(‘‘Nasdaq Letter 1’’); and Richard S. Rudolph, Vice
President and Counsel, Phlx, to Nancy M. Morris,
Secretary, Commission, dated June 17, 2008 (‘‘Phlx
Letter 1’’).
E:\FR\FM\02APN1.SGM
02APN1
]]>Agencies
[Federal Register Volume 74, Number 62 (Thursday, April 2, 2009)]
[Notices]
[Page 15010]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-7356]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
Submission for OMB Review; Comment Request
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC
20549-0213.
Extension:
Regulation FD; OMB Control No. 3235-0536; SEC File No. 270-475.
Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange Commission
(``Commission'') has submitted to the Office of Management and Budget a
request for an extension of the previously approved collection of
information discussed below.
Regulation FD (17 CFR 243.100 et seq.)--Other Disclosure Materials
requires public disclosure of material information from issuers of
publicly traded securities so that investors have current information
upon which to base investment decisions. The purpose of the regulation
is to require that: (1) When an issuer intentionally discloses material
information, it does so through public disclosure, not selective
disclosure; and (2) whenever an issuer learns that it has made a non-
intentional material selective disclosure, the issuer makes prompt
public disclosure of that information. Regulation FD was adopted due to
a concern that the practice of selective disclosure leads to a loss of
investor confidence in the integrity of our capital markets. All
information is provided to the public for review. The information
required is filed on occasion and is mandatory. We estimate that
approximately 13,000 issuers make Regulation FD disclosures
approximately five times a year for a total of 58,000 submissions
annually, not including an estimated 7,000 issuers who file Form 8-K
(17 CFR 249.308) to comply with Regulation FD. We estimate that it
takes approximately 5 hours per response (58,000 responses x 5 hours)
for an estimated total burden of 290,000 hours annually. In addition,
we estimate that 25% of the 5 hours (1.25 hours) is prepared by the
filer for an estimated annual reporting burden of 72,500 hours (1.25
hours per response x 58,000 responses).
An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid control number.
Written comments regarding the above information should be directed
to the following persons: (i) Desk Officer for the Securities and
Exchange Commission, Office of Information and Regulatory Affairs,
Office of Management and Budget, Room 10102, New Executive Office
Building, Washington DC 20503 or send an e-mail to Shagufta_Ahmed@omb.eop.gov; and (ii) Charles Boucher, Director/CIO, Securities
and Exchange Commission, C/O Shirley Martinson, 6432 General Green Way,
Alexandria VA 22312; or send an e-mail to: PRA_Mailbox@sec.gov.
Comments must be submitted to OMB within 30 days of this notice.
Dated: March 27, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-7356 Filed 4-1-09; 8:45 am]
BILLING CODE
