Culturally Significant Objects Imported for Exhibition Determinations: “Art of the Samurai: Japanese Arms and Armor, 1156-1868”, 47303 [E9-22173]
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Federal Register / Vol. 74, No. 177 / Tuesday, September 15, 2009 / Notices
FINRA’s argument that the rule, as
currently written, may be overbroad.
There have been a number of changes in
the markets since the time the rule was
adopted by the NASD in 1968. However,
the Commission believes that there
continue to be opportunities for
unscrupulous participants in the
marketplace to interposition third
parties in a securities transaction
between themselves and their customers
to the disadvantage of those
customers.13 The Commission expects
FINRA, when it finds evidence of
interpositioning by members that was
detrimental to the customer, to charge
member firms or associated persons, as
appropriate, with violations of its rules.
The Commission notes that its
approval of this rule change is not an
indication that interpositioning is no
longer an issue. Rather, it is meant to
reflect changes in the market place that
have occurred since 1968 when the rule
was adopted.14 The Commission notes
that, even with this rule change, the cost
to the customer under the proposed rule
will ‘‘remain a crucial factor in
determining whether a member has
fulfilled its best execution obligations
under Rule 2320,’’ including
transactions involving interposed third
parties.15 The Commission also notes
that interpositioning ‘‘that is
unnecessary or violates a member’s
general best execution obligations—
either because of unnecessary costs to
the customer or improperly delayed
executions—would still be
prohibited.’’ 16 In this respect, the
Commission takes comfort from
FINRA’s representations that
interpositioning that harms a customer
violates NASD Rule 2440 and FINRA
Rule 2010.17
The proposed rule will thus continue
to prohibit interpositioning that
adversely affects the customer, and the
cost to the customer will remain a
central part of that determination. The
Commission expects FINRA to
diligently pursue such conduct by
members.18
sroberts on DSKD5P82C1PROD with NOTICES
13 See,
e.g., In re Andrew P. Gonchar and
Polyvious T. Polyviou, Securities Exchange Act
Release No. 34–60506 (August 14, 2009).
14 See Notice, supra note 3, at 18778.
15 Id. at 18778.
16 Id. at 18779.
In addition to the proposed rule language, other
FINRA and NASD rules would continue to govern
the handling of customer orders. In particular,
FINRA Rule 2010 requires that members observe
high standards of commercial honor and just and
equitable principles of trade, and NASD Rule 2440
requires that members charge fair prices and
commissions in their dealings with customers.
17 Id. at 18778 n.4.
18 See In re Andrew P. Gonchar and Polyvious T.
Polyviou, supra note 13.
VerDate Nov<24>2008
19:12 Sep 14, 2009
Jkt 217001
It is therefore ordered, pursuant to
Section 19(b)(2) of the Act, that the
proposed rule change (SR–FINRA–
2007–024), as modified by Amendment
No. 1, be, and it hereby is, approved.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.19
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–22109 Filed 9–14–09; 8:45 am]
47303
Dated: September 8, 2009.
Maura M. Pally,
Deputy Assistant Secretary for Professional
and Cultural Exchanges, Bureau of
Educational and Cultural Affairs, Department
of State.
[FR Doc. E9–22173 Filed 9–14–09; 8:45 am]
BILLING CODE 4710–05–P
DEPARTMENT OF STATE
[Public Notice 6761]
BILLING CODE 8010–01–P
Determination and Certification
Related to Colombian Armed Forces
Under Section 7046(B) of the
Department of State, Foreign
Operations, and Related Programs
Appropriations Act, 2009 (DiV. H, Pub.
L. 111–8)
DEPARTMENT OF STATE
[Public Notice 6760]
Culturally Significant Objects Imported
for Exhibition Determinations: ‘‘Art of
the Samurai: Japanese Arms and
Armor, 1156–1868’’
SUMMARY: Notice is hereby given of the
following determinations: Pursuant to
the authority vested in me by the Act of
October 19, 1965 (79 Stat. 985; 22 U.S.C.
2459), Executive Order 12047 of March
27, 1978, the Foreign Affairs Reform and
Restructuring Act of 1998 (112 Stat.
2681, et seq.; 22 U.S.C. 6501 note, et
seq.), Delegation of Authority No. 234 of
October 1, 1999, Delegation of Authority
No. 236 of October 19, 1999, as
amended, and Delegation of Authority
No. 257 of April 15, 2003 [68 FR 19875],
I hereby determine that the objects to be
included in the exhibition ‘‘Art of the
Samurai,’’ imported from abroad for
temporary exhibition within the United
States, are of cultural significance. The
objects are imported pursuant to loan
agreements with the foreign owners or
custodians. I also determine that the
exhibition or display of the exhibit
objects at the Metropolitan Museum of
Art, New York, NY, from on or about
October 19, 2009, until on or about
January 10, 2010, and at possible
additional exhibitions or venues yet to
be determined, is in the national
interest. Public Notice of these
Determinations is ordered to be
published in the Federal Register.
FOR FURTHER INFORMATION CONTACT: For
further information, including a list of
the exhibit objects, contact Carol B.
Epstein, Attorney-Adviser, Office of the
Legal Adviser, U.S. Department of State
(telephone: 202/632–6473). The address
is U.S. Department of State, SA–5, L/PD,
Fifth Floor, Washington, DC 20522–
0505.
19 17
PO 00000
CFR 200.30–3(a)(12).
Frm 00119
Fmt 4703
Sfmt 4703
Pursuant to the authority vested in the
Secretary of State, including under
section 7046 (b)(1)(B) and section
7046(b)(2) of the Department of State,
Foreign Operations, and Related
Programs Appropriations Act, 2009
(Div. H, Pub. L. 111–8 (‘‘FY 2009
SFOAA’’), I hereby determine, certify,
and report that the Colombian Armed
Forces are meeting the conditions
contained in section 7046(b)(1)(B) and
section 7046(b)(2).
The Department of State has
periodically consulted with
internationally recognized human rights
organizations regarding the Colombian
Armed Forces’ progress in meeting the
above-mentioned conditions, as
provided in section 7046(c) of the FY
2009 SFOAA.
This Determination and Certification
shall be published in the Federal
Register and copies shall be transmitted
to the appropriate committees of
Congress.
Dated: September 8, 2009.
James B. Steinberg,
Deputy Secretary of State.
[FR Doc. E9–22174 Filed 9–14–09; 8:45 am]
BILLING CODE 4710–29–P
DEPARTMENT OF STATE
[Public Notice 6759]
Determination Under the Foreign
Assistance Act and the Department of
State, Foreign Operations, and Related
Programs Appropriations Acts
Pursuant to section 654(c) of the
Foreign Assistance Act of 1961, as
amended, notice is hereby given that the
Deputy Secretary of State has made a
determination pursuant to section 620H
of the Foreign Assistance Act, and
section 7021 of the Department of State,
E:\FR\FM\15SEN1.SGM
15SEN1
]]>Agencies
[Federal Register Volume 74, Number 177 (Tuesday, September 15, 2009)]
[Notices]
[Page 47303]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-22173]
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DEPARTMENT OF STATE
[Public Notice 6760]
Culturally Significant Objects Imported for Exhibition
Determinations: ``Art of the Samurai: Japanese Arms and Armor, 1156-
1868''
SUMMARY: Notice is hereby given of the following determinations:
Pursuant to the authority vested in me by the Act of October 19, 1965
(79 Stat. 985; 22 U.S.C. 2459), Executive Order 12047 of March 27,
1978, the Foreign Affairs Reform and Restructuring Act of 1998 (112
Stat. 2681, et seq.; 22 U.S.C. 6501 note, et seq.), Delegation of
Authority No. 234 of October 1, 1999, Delegation of Authority No. 236
of October 19, 1999, as amended, and Delegation of Authority No. 257 of
April 15, 2003 [68 FR 19875], I hereby determine that the objects to be
included in the exhibition ``Art of the Samurai,'' imported from abroad
for temporary exhibition within the United States, are of cultural
significance. The objects are imported pursuant to loan agreements with
the foreign owners or custodians. I also determine that the exhibition
or display of the exhibit objects at the Metropolitan Museum of Art,
New York, NY, from on or about October 19, 2009, until on or about
January 10, 2010, and at possible additional exhibitions or venues yet
to be determined, is in the national interest. Public Notice of these
Determinations is ordered to be published in the Federal Register.
FOR FURTHER INFORMATION CONTACT: For further information, including a
list of the exhibit objects, contact Carol B. Epstein, Attorney-
Adviser, Office of the Legal Adviser, U.S. Department of State
(telephone: 202/632-6473). The address is U.S. Department of State, SA-
5, L/PD, Fifth Floor, Washington, DC 20522-0505.
Dated: September 8, 2009.
Maura M. Pally,
Deputy Assistant Secretary for Professional and Cultural Exchanges,
Bureau of Educational and Cultural Affairs, Department of State.
[FR Doc. E9-22173 Filed 9-14-09; 8:45 am]
BILLING CODE 4710-05-P
