Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Twelfth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan, 37069-37071 [E9-17763]

Download as PDF Federal Register / Vol. 74, No. 142 / Monday, July 27, 2009 / Notices jlentini on DSKJ8SOYB1PROD with 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. In addition, the Commission seeks comment generally on whether the proposed assessment of transaction fees is consistent with the Act, in particular whether the proposal provides for an equitable allocation of reasonable dues, fees, and other charges among its members and issuers and other persons using its facilities under Section 6(b)(4) of the Act or whether the proposal permits unfair discrimination between customers, issuers, brokers, or dealers under Section 6(b)(5) of the Act. Specifically: 1. The Exchange has determined that the previous $0.20 rebate for a Customer account for removing liquidity resulted in disproportionate payment for Customer orders relative to order volume growth. Do commenters believe that eliminating the rebate to Customers removing liquidity in non-Penny Pilot options when that Customer trades against a Customer order, while retaining the rebate to Customers that trade against a Firm or Market Maker order is consistent with the Act, including whether it is an equitable allocation of fees under Section 6(b)(4) and not unfairly discriminatory under Section 6(b)(5)? Why or why not? 2. The Commission notes that the fee schedules of some options exchanges provide for different levels of transaction fees for different categories of market participants. Generally, if there is a distinction between transaction fees for market makers and other non-customers (e.g. brokerdealers, firms), the market maker transaction fee is less than the noncustomer fee. However, the Exchange notes that one exchange charges away market makers more than non-customer orders.13 The Exchange proposes to charge Market Makers $0.45 per contract to remove orders in non-Penny Pilot options and to charge Firms $0.20 per contract to remove such orders. Is this fee differential consistent with the Act, including whether it is an equitable allocation of fees under Section 6(b)(4) and not unfairly discriminatory under Section 6(b)(5)? Why or why not? 3. In non-Penny Pilot options, the Exchange proposes to lower the fees charged to firms that remove liquidity 13 See supra note 10 and accompanying text. VerDate Nov<24>2008 19:02 Jul 24, 2009 Jkt 217001 from $0.45 to $0.20. The Exchange, however, maintains the fee of $0.45 for sending orders via the Options Intermarket Linkage that execute on NOM. Is creating a differential in this manner consistent with the Act, including whether it is an equitable allocation of fees under Section 6(b)(4) and not unfairly discriminatory under Section 6(b)(5)? Why or why not? 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–NASDAQ–2009–059 on the subject line. 37069 For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.14 Florence E. Harmon, Deputy Secretary. [FR Doc. E9–17819 Filed 7–24–09; 8:45 am] BILLING CODE 8010–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–60320; File No. SR–CTA– 2009–01] Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Twelfth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan July 16, 2009. Pursuant to Section 11A of the Securities Exchange Act of 1934 Paper Comments (‘‘Act’’),1 and Rule 608 thereunder,2 notice is hereby given that on July 13, • Send paper comments in triplicate 2009, the Consolidated Tape to Elizabeth M. Murphy, Secretary, Association (‘‘CTA’’) Plan Participants Securities and Exchange Commission, (‘‘Participants’’) 3 filed with the 100 F Street, NE., Washington DC Securities and Exchange Commission 20549–1090. (‘‘Commission’’) a proposal to amend the Second Restatement of the CTA Plan All submissions should refer to File (the ‘‘CTA Plan’’). The proposal Number SR–NASDAQ–2009–059. This represents the twelfth charges file number should be included on the subject line if e-mail is used. To help the amendment to the Plan (‘‘Twelfth Charges Amendment’’) and reflects Commission process and review your changes unanimously adopted by the comments more efficiently, please use only one method. The Commission will Participants. The Twelfth Charges post all comments on the Commission’s Amendment would delete the ticker display charge from Schedule A–1 of Internet Web site (https://www.sec.gov/ Exhibit E of the CTA Plan. rules/sro.shtml). Copies of the Pursuant to Rule 608(b)(3)(ii) under submission, all subsequent the Act,4 the Participants designated the amendments, all written statements Amendment as concerned solely with with respect to the proposed rule the administration of the Plan. As a change that are filed with the result, the Amendment has become Commission, and all written effective upon filing with the communications relating to the Commission. At any time within 60 proposed rule change between the Commission and any person, other than days of the filing of the Amendment, the Commission may summarily abrogate those that may be withheld from the the Amendment and require that the public in accordance with the Amendment be refiled in accordance provisions of 5 U.S.C. 552, will be with paragraph (a)(1) of Rule 608 and available for inspection and copying in reviewed in accordance with paragraph the Commission’s Public Reference (b)(2) of Rule 608, if it appears to the Room, 100 F Street, NE., Washington, DC 20549, on official business days 14 17 CFR 200.30–3(a)(12). between the hours of 10 a.m. and 3 p.m. 1 15 U.S.C. 78k–1. Copies of such filing also will be 2 17 CFR 242.608. available for inspection and copying at 3 Each Participant executed the proposed the principal office of the Exchange. All amendment. The Participants are the American comments received will be posted Stock Exchange LLC (n/k/a NYSE Amex LLC); Boston Stock Exchange, Inc. (n/k/a NASDAQ OMX without change; the Commission does BX, Inc.); Chicago Board Options Exchange, not edit personal identifying Incorporated; Chicago Stock Exchange, Inc.; information from submissions. You Financial Industry Regulatory Authority, Inc., should submit only information that International Securities Exchange, LLC; The you wish to make available publicly. All NASDAQ Stock Market LLC; National Stock Exchange, Inc.; New York Stock Exchange LLC; submissions should refer to File No. NYSE Arca, Inc.; and Philadelphia Stock Exchange, SR–NASDAQ–2009–059 and should be Inc. (n/k/a NASDAQ OMX PHLX, Inc.). submitted on or before August 17, 2009. 4 17 CFR 242.608(b)(3)(ii). PO 00000 Frm 00073 Fmt 4703 Sfmt 4703 E:\FR\FM\27JYN1.SGM 27JYN1 37070 Federal Register / Vol. 74, No. 142 / Monday, July 27, 2009 / Notices 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. The Commission is publishing this notice to solicit comments from interested persons on the proposed Twelfth Charges Amendment to the CTA Plan. I. Rule 608(a) A. Description and Purpose of the Amendment Schedule A–1 of Exhibit E to the CTA Plan sets forth the fees applicable to CTA Network A market data display services. The amendment proposes to delete from that schedule the monthly $30 nonprofessional subscriber ticker display charge. That charge applied to a nonprofessional subscriber’s receipt of a Network A ticker feed from a ticker network that Network A formerly maintained. Network A phased out that ticker network a number of years ago, but the Participants did not delete the charge from the fee schedule once they completed the phaseout. The Network A Participants have not imposed the nonprofessional subscriber ticker fee since then. The text of the proposed Amendment 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. The Participants do not believe that the proposed Amendment introduces terms that are unreasonably discriminatory for the purposes of Section 11A(c)(1)(D) of the Act.5 5. Written Understanding or Agreements Relating to Interpretation of, or Participation in, Plan Not applicable. 6. Approval by Sponsors in Accordance With Plan See Item I.B(2) above. 7. Description of Operation of Facility Contemplated by the Proposed Amendment a. Terms and Conditions of Access Not applicable. See Item I.A above. 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. jlentini on DSKJ8SOYB1PROD with NOTICES 2. Implementation of the Amendments Because the Amendment constitutes a ‘‘Ministerial Amendment’’ under clause (ii) of Section IV(b) of the CTA Plan, the Chairman of CTA may submit this amendment to the Commission on behalf of the CTA Plan Participants. Because the Participants designate the Amendment as concerned solely with the administration of the Plan, the Amendment becomes effective upon filing with the Commission. D. Manner of Consolidation 3. Development and Implementation Phases Not applicable. G. Terms of Access to Transaction Reports 4. Analysis of Impact on Competition The proposed Amendment does not impose any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. H. Identification of Marketplace Execution VerDate Nov<24>2008 19:02 Jul 24, 2009 Jkt 217001 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. Not applicable. PO 00000 Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed Plan Amendment 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 rulecomments@sec.gov. Please include File Number SR–CTA–2009–01 on the subject line. Paper Comments b. Method of Determination and Imposition, and Amount of, Fees and Charges Not applicable. 5 15 III. Solicitation of 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–2009–01. 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 Plan Amendment that are filed with the Commission, and all written communications relating to the proposed Plan Amendment 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 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 publicly available. All submissions should refer to File Number SR–CTA–2009–01 and should be submitted on or before August 17, 2009. U.S.C. 78k-1(c)(1)(D). Frm 00074 Fmt 4703 Sfmt 4703 E:\FR\FM\27JYN1.SGM 27JYN1 Federal Register / Vol. 74, No. 142 / Monday, July 27, 2009 / Notices For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.6 Florence E. Harmon, Deputy Secretary. [FR Doc. E9–17763 Filed 7–24–09; 8:45 am] BILLING CODE 8010–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–60349; File No. SR–BX– 2009–035] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Procedures To Prevent Information Advantages Resulting From the Affiliation Between BOX and NOS July 20, 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 July 17, 2009, NASDAQ OMX BX, Inc. (the ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘Commission’’ or ‘‘SEC’’) the proposed rule change as described in Items I, II, and III below, which Items have been prepared by the Exchange. The Exchange has designated the proposed rule change as constituting a noncontroversial rule change under Rule 19b–4(f)(6) under the Act,3 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. jlentini on DSKJ8SOYB1PROD with NOTICES I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes a rule change to establish procedures designed to prevent potential informational advantages resulting from the affiliation between the Boston Options Exchange (‘‘BOX’’), a facility of the Exchange, and NASDAQ Options Services, LLC (‘‘NOS’’), a registered broker-dealer and a BOX market participant. The text of the proposed rule change is available from the principal office of the Exchange, at the Commission’s Public Reference Room and also on the Exchange’s Internet Web site at https:// nasdaqomxbx.cchwallstreet.com/ NASDAQOMXBX/Filings/. 6 17 CFR 200.30–3(a)(12). U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. 3 17 CFR 240.19b–4(f)(6). 1 15 VerDate Nov<24>2008 19:02 Jul 24, 2009 Jkt 217001 II. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the Exchange 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. The Exchange 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 NASDAQ OMX Group, Inc. (‘‘NASDAQ OMX’’) acquired the Exchange in August 2008. Prior to the acquisition, the Exchange owned a 21.87% interest in Boston Options Exchange Group, LLC (‘‘BOX LLC’’), the operator of BOX, a facility of the Exchange. Boston Options Exchange Regulation, LLC (‘‘BOXR’’) is a whollyowned subsidiary of the Exchange, to which the Exchange has delegated, pursuant to a delegation plan, certain self-regulatory responsibilities related to BOX. At the closing of the acquisition by NASDAQ OMX, the Exchange transferred its interest in BOX LLC to MX US, a wholly-owned subsidiary of the Montreal Exchange Inc. Although the Exchange no longer holds an ownership interest in BOX LLC, it continues to hold self-regulatory obligations with respect to BOX. The Exchange, together with BOXR, retains regulatory control over BOX and the Exchange, as the SRO, remains responsible for ensuring compliance with the federal securities laws and all applicable rules and regulations. NASDAQ OMX also currently indirectly owns NASDAQ Options Services, LLC (‘‘NOS’’), a registered broker-dealer and a BOX market participant. Thus, NOS is deemed an affiliate of the Exchange, BOX and BOXR. The Exchange is proposing that NOS be permitted to route certain orders from The NASDAQ Option Market (‘‘NOM’’) to BOX without checking the NOM book prior to routing. NOM is an options market operated by The NASDAQ Stock Market (the ‘‘NASDAQ Exchange’’) and NOS is the approved outbound routing facility of the NASDAQ Exchange for NOM. With the PO 00000 Frm 00075 Fmt 4703 Sfmt 4703 37071 exception of Exchange Direct Orders, all routable orders for options that are trading on NOM check the NOM book prior to routing. In addition, NOS also routes orders in options that are not trading on NOM (referred to in the NOM Rules as ‘‘Non-System Securities’’). When routing orders in options that are not listed and open for trading on NOM, NOS is not regulated as a facility of the NASDAQ Exchange but rather as a broker-dealer regulated by its designated examining authority. As provided by Chapter IV, Section 5 of the NOM Rules, all orders routed by NOS under these circumstances are routed to away markets that are at the best price, and solely on an immediate-or-cancel basis. Under NOM Rule Chapter VI, Section 11: (1) NOM routes orders in options via NOS, which serves as the sole ‘‘routing facility’’ of NOM; (2) the sole function of the routing facility is to route orders in options to away markets pursuant to NOM rules, solely on behalf of NOM; (3) NOS is a member of an unaffiliated selfregulatory organization, which is the designated examining authority for the broker-dealer; (4) the routing facility is subject to regulation as a facility of the NASDAQ Exchange, including the requirement to file proposed rule changes under Section 19 of the Act; (5) NOM must establish and maintain procedures and internal controls reasonably designed to adequately restrict the flow of confidential and proprietary information between the NASDAQ Exchange and its facilities (including the routing facility), and any other entity; and (6) the books, records, premises, officers, directors, agents, and employees of the routing facility, as a facility of the NASDAQ Exchange, shall be deemed to be the books, records, premises, officers, directors, agents, and employees of the NASDAQ Exchange for purposes of and subject to oversight pursuant to the Act, and the books and records of the routing facility, as a facility of the NASDAQ Exchange, shall be subject at all times to inspection and copying by the NASDAQ Exchange and the Commission. The Commission has approved NOS’s affiliation with the Exchange subject to the conditions that: (1) NOS is a facility of the NASDAQ Exchange; (2) use of NOS’s routing function by NASDAQ Exchange members is optional 4 and (3) 4 Because only NASDAQ Exchange members who are Options Participants may enter orders into NOM, it also follows that routing by NOS is available only to NASDAQ Exchange members who are Options Participants. Pursuant to Chapter I, Section 1(a)(40) of the NOM Rules, the term ‘‘Options Participant’’ means a firm, or organization that is registered with the NASDAQ Exchange for E:\FR\FM\27JYN1.SGM Continued 27JYN1

Agencies

[Federal Register Volume 74, Number 142 (Monday, July 27, 2009)]
[Notices]
[Pages 37069-37071]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-17763]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-60320; File No. SR-CTA-2009-01]


Consolidated Tape Association; Notice of Filing and Immediate 
Effectiveness of the Twelfth Charges Amendment to the Second 
Restatement of the Consolidated Tape Association Plan

July 16, 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 July 13, 2009, the Consolidated Tape Association (``CTA'') Plan 
Participants (``Participants'') \3\ filed with the Securities and 
Exchange Commission (``Commission'') a proposal to amend the Second 
Restatement of the CTA Plan (the ``CTA Plan''). The proposal represents 
the twelfth charges amendment to the Plan (``Twelfth Charges 
Amendment'') and reflects changes unanimously adopted by the 
Participants. The Twelfth Charges Amendment would delete the ticker 
display charge from Schedule A-1 of Exhibit E of the CTA Plan.
---------------------------------------------------------------------------

    \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 Amex 
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 
Arca, Inc.; and Philadelphia Stock Exchange, Inc. (n/k/a NASDAQ OMX 
PHLX, Inc.).
---------------------------------------------------------------------------

    Pursuant to Rule 608(b)(3)(ii) under the Act,\4\ the Participants 
designated the Amendment as concerned solely with the administration of 
the Plan. As a result, the Amendment has become effective upon filing 
with the Commission. At any time within 60 days of the filing of the 
Amendment, the Commission may summarily abrogate the Amendment and 
require that the Amendment be refiled in accordance with paragraph 
(a)(1) of Rule 608 and reviewed in accordance with paragraph (b)(2) of 
Rule 608, if it appears to the

[[Page 37070]]

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. The Commission is publishing this notice to 
solicit comments from interested persons on the proposed Twelfth 
Charges Amendment to the CTA Plan.
---------------------------------------------------------------------------

    \4\ 17 CFR 242.608(b)(3)(ii).
---------------------------------------------------------------------------

I. Rule 608(a)

A. Description and Purpose of the Amendment

    Schedule A-1 of Exhibit E to the CTA Plan sets forth the fees 
applicable to CTA Network A market data display services. The amendment 
proposes to delete from that schedule the monthly $30 nonprofessional 
subscriber ticker display charge. That charge applied to a 
nonprofessional subscriber's receipt of a Network A ticker feed from a 
ticker network that Network A formerly maintained. Network A phased out 
that ticker network a number of years ago, but the Participants did not 
delete the charge from the fee schedule once they completed the 
phaseout. The Network A Participants have not imposed the 
nonprofessional subscriber ticker fee since then.
    The text of the proposed Amendment 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 Amendments
    Because the Amendment constitutes a ``Ministerial Amendment'' under 
clause (ii) of Section IV(b) of the CTA Plan, the Chairman of CTA may 
submit this amendment to the Commission on behalf of the CTA Plan 
Participants. Because the Participants designate the Amendment as 
concerned solely with the administration of the Plan, the Amendment 
becomes effective upon filing with the Commission.
3. Development and Implementation Phases
    Not applicable.
4. Analysis of Impact on Competition
    The proposed Amendment does not impose any burden on competition 
that is not necessary or appropriate in furtherance of the purposes of 
the Act. The Participants do not believe that the proposed Amendment 
introduces terms that are unreasonably discriminatory for the purposes 
of Section 11A(c)(1)(D) of the Act.\5\
---------------------------------------------------------------------------

    \5\ 15 U.S.C. 78k-1(c)(1)(D).
---------------------------------------------------------------------------

5. Written Understanding or Agreements Relating to Interpretation of, 
or Participation in, Plan
    Not applicable.
6. Approval by Sponsors in Accordance With Plan
    See Item I.B(2) above.
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
    See Item I.A above.
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 Plan 
Amendment 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-CTA-2009-01 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-2009-01. 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 Plan Amendment that are 
filed with the Commission, and all written communications relating to 
the proposed Plan Amendment 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 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 publicly available. All 
submissions should refer to File Number SR-CTA-2009-01 and should be 
submitted on or before August 17, 2009.


[[Page 37071]]


    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\6\
Florence E. Harmon,
Deputy Secretary.
---------------------------------------------------------------------------

    \6\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

[FR Doc. E9-17763 Filed 7-24-09; 8:45 am]
BILLING CODE 8010-01-P
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