EDGX Exchange, Inc., and EDGA Exchange, Inc.; Notice of Filing of Applications, as Amended, for Registration as National Securities Exchanges Under Section 6 of the Securities Exchange Act of 1934, 47827-47828 [E9-22347]

Download as PDF cprice-sewell on DSK2BSOYB1PROD with NOTICES Federal Register / Vol. 74, No. 179 / Thursday, September 17, 2009 / Notices opportunity to make the Board and/or the participants aware of their concerns about matters at issue in the proceeding. A written limited appearance statement can be submitted at any time and should be sent to the Office of the Secretary using one of the methods prescribed below: Mail to: Office of the Secretary, Rulemakings and Adjudications Staff, U.S. Nuclear Regulatory Commission, Washington, DC 20555–0001. Fax to: (301) 415–1101 (verification (301) 415–1966). E-mail to: hearing.docket@nrc.gov. In addition, a copy of the limited appearance statement should be sent to the Licensing Board Chairman using the same method at the address below: Mail to: Administrative Judge G. Paul Bollwerk, III, Atomic Safety and Licensing Board Panel, Mail Stop T– 3F23, U.S. Nuclear Regulatory Commission, Washington, DC 20555– 0001. Fax to: (301) 415–5599 (verification (301) 415–7550). E-mail to: paul.bollwerk@nrc.gov. Additionally, in conjunction with consideration of the then-pending SNC application for a 10 CFR part 52 early site permit (ESP) for proposed Units 3 and 4 on the VEGP site, on March 22 and 23, 2009, the Board conducted oral limited appearance statement sessions in Waynesboro, Georgia, during which members of the public provided the Board and the parties with their views regarding the ESP and COL proceedings. At a later date, the Board may conduct additional oral limited appearance sessions regarding this COL proceeding at a location, or locations, in the vicinity of the VEGP site. Notice of any oral limited appearance sessions will be published in the Federal Register and/ or made available to the public at the NRC PDR and on the NRC Web site, https://www.nrc.gov. Documents relating to this proceeding are available for public inspection at the Commission’s PDR or electronically from the publicly available records component of NRC’s document system (ADAMS). ADAMS, including its adjudicatory proceeding-related Electronic Hearing Docket, is accessible from the NRC Web site at https:// www.nrc.gov/reading-rm/adams.html (the Public Electronic Reading Room). Persons who do not have access to ADAMS, or who encounter problems in accessing the documents located in ADAMS, should contact the NRC PDR Reference staff by telephone at 1–800– 397–4209, 301–415–4737, or by e-mail to pdr.resource@nrc.gov. It is so ordered. VerDate Nov<24>2008 14:35 Sep 16, 2009 Jkt 217001 Dated: September 11, 2009. For the Atomic Safety and Licensing Board.2 G. Paul Bollwerk, III, Chairman, Rockville, Maryland. [FR Doc. E9–22383 Filed 9–16–09; 8:45 am] BILLING CODE 7590–01–P SMALL BUSINESS ADMINISTRATION [Disaster Declaration #11868 and #11869] New York Disaster Number NY–00079 AGENCY: U.S. Small Business Administration. ACTION: Amendment 1. SUMMARY: This is an amendment of the Presidential declaration of a major disaster for Public Assistance Only for the State of New York (FEMA–1857– DR), dated 09/01/2009 . Incident: Severe Storms and Flooding. Incident Period: 08/08/2009 through 08/10/2009. DATES: Effective Date: 09/10/2009. Physical Loan Application Deadline Date: 11/02/2009. Economic Injury (EIDL) Loan Application Deadline Date: 06/01/2010. ADDRESSES: Submit completed loan applications to: U.S. Small Business Administration, Processing and Disbursement Center, 14925 Kingsport Road, Fort Worth, TX 76155. FOR FURTHER INFORMATION CONTACT: Alan Escobar, Office of Disaster Assistance, U.S. Small Business Administration, 409 3rd Street, SW., Suite 6050, Washington, DC 20416. SUPPLEMENTARY INFORMATION: The notice of the President’s major disaster declaration for Private Non-Profit organizations in the State of New York, dated 09/01/2009, is hereby amended to include the following areas as adversely affected by the disaster. Primary Counties: Chenango, Cortland. All other information in the original declaration remains unchanged. (Catalog of Federal Domestic Assistance Numbers 59002 and 59008) James E. Rivera, Acting Associate Administrator for Disaster Assistance. [FR Doc. E9–22362 Filed 9–16–09; 8:45 am] BILLING CODE 8025–01–P 2 Copies of this memorandum and order were sent this date by the agency’s E–Filing system to counsel for (1) Applicant SNC; (2) Joint Intervenors; and (3) the staff. PO 00000 Frm 00051 Fmt 4703 Sfmt 4703 47827 SMALL BUSINESS ADMINISTRATION C3 Capital Partners II, L.P. (License No. 07/07–0113); Notice Seeking Exemption Under 312 of the Small Business Investment Act, Conflicts of Interest Notice is hereby given that C3 Capital Partners II, L.P., 4520 Main Street, Suite 1600, Kansas City, Missouri 64111– 7700, a Federal Licensee under the Small Business Investment Act of 1958, as amended (‘‘the Act’’), in connection with the financing of a small concern, has sought an exemption under section 312 of the Act and section 107.730, Financings Which Constitute Conflicts of Interest of the Small Business Administration (‘‘SBA’’) rules and regulations (13 CFR 107.730). C3 Capital Partners II, L.P., proposes to provide financing to Findett LLC, P.O. Box 0960, St. Charles, MO 63302–0960. The financing is contemplated for the acquisition of a new production facility and to provide working capital. The financing is brought within the purview of Sec. 107.730(a)(1) of the Regulations because C3 Capital Partners, L.P., an Associate of C3 Capital Partners II, L.P., currently owns greater than 10 percent of Findett LLC, and therefore, Findett LLC, is considered an Associate of C3 Capital Partners II, L.P. as defined in Sec. 105.50 of the regulations. Notice is hereby given that any interested person may submit written comments on the transaction, within 15 days, to the Acting Associate Administrator for Investment, U.S. Small Business Administration, 409 Third Street, SW., Washington, DC 20416. Dated: September 11, 2009. Harry E. Haskins, Acting Associate Administrator for Investment. [FR Doc. E9–22363 Filed 9–16–09; 8:45 am] BILLING CODE M SECURITIES AND EXCHANGE COMMISSION [Release No. 34–60651; File Nos. 10–193 and 10–194] EDGX Exchange, Inc., and EDGA Exchange, Inc.; Notice of Filing of Applications, as Amended, for Registration as National Securities Exchanges Under Section 6 of the Securities Exchange Act of 1934 September 11, 2009. On May 7, 2009, EDGX Exchange, Inc. (‘‘EDGX’’), and EDGA Exchange, Inc. (‘‘EDGA,’’ and, together with EDGX, the E:\FR\FM\17SEN1.SGM 17SEN1 47828 Federal Register / Vol. 74, No. 179 / Thursday, September 17, 2009 / Notices cprice-sewell on DSK2BSOYB1PROD with NOTICES ‘‘Exchanges’’) submitted to the Securities and Exchange Commission (‘‘Commission’’) Form 1 applications under the Securities Exchange Act of 1934 (‘‘Exchange Act’’), seeking registration as national securities exchanges under Section 6 of the Exchange Act.1 On July 30, 2009, the Exchanges each submitted Amendment No. 1 to their Form 1 applications. The Commission is publishing this notice to solicit comments on the Exchanges’ Form 1 applications, as amended. The Commission will take these comments into consideration in making its determination about whether to grant the Exchanges’ requests to be registered as national securities exchanges. The Commission will grant the registrations if it finds that the requirements of the Exchange Act and the rules and regulations thereunder with respect to the Exchanges are satisfied.2 The Exchanges’ Form 1 applications, as amended, provide detailed information on how they propose to satisfy the requirements of the Exchange Act. In general, the Exchanges, which are wholly-owned subsidiaries of Direct Edge Holdings LLC, will each operate separate fully automated electronic books for orders to buy or sell securities with continuous, automated matching functions.3 Liquidity on the Exchanges will be derived from orders to buy and orders to sell submitted to the Exchanges electronically by their respective members from remote locations. Neither EDGX nor EDGA will have a trading floor, nor will they have exchange specialists or market makers. The Exchanges’ Form 1 applications, as amended, are available at the Commission’s Public Reference Room and https://www.sec.gov. Interested persons are invited to submit written data, views, and arguments concerning the Exchanges’ Form 1 applications, as amended, including whether the Exchanges’ applications, as amended, are consistent with the Exchange Act. Comments may 1 On September 11, 2009, the Commission issued an order granting EDGX and EDGA exemptive relief, subject to certain conditions, in connection with the filing of their Form 1 applications. See Securities Exchange Act Release No. 60650. 2 15 U.S.C. 78s(a). 3 EDGX and EDGA represented that the Step-Up functionality, set forth in the Form 1 applications, is the same functionality as Enhanced Liquidity Provider (‘‘ELP’’) functionality offered by Direct Edge ECN LLC (‘‘DECN’’). EDGX and EDGA also agreed to amend the Form 1 applications to comply with any Commission rulemaking in this area. See Letter from William O’Brien, Chief Executive Officer, Direct Edge Holdings LLC, DECN, EDGX, and EDGA, to James Brigagliano, Co-Acting Director, Division of Trading and Markets, Commission, dated August 10, 2009. VerDate Nov<24>2008 14:35 Sep 16, 2009 Jkt 217001 be submitted by any of the following methods: SECURITIES AND EXCHANGE COMMISSION Electronic Comments [Release No. 34–60650] • Use the Commission’s Internet comment form (https://www.sec.gov/ rules/other.shtml); or • Send an e-mail to rulecomments@sec.gov. Please include File Number(s) 10–193 (for EDGX) and 10– 194 (for EDGA) on the subject line. Order Granting Application by EDGX Exchange, Inc. and EDGA Exchange, Inc. for a Conditional Exemption Pursuant to Section 36(a) of the Exchange Act From Certain Requirements of Rules 6a–1 and 6a–2 Under the Exchange Act Paper Comments September 11, 2009. • Send paper comments in triplicate to Elizabeth M. Murphy, Secretary, Securities and Exchange Commission, Station Place, 100 F Street, NE., Washington, DC 20549–1090. I. Introduction All submissions should refer to File Number(s) 10–193 (for EDGX) and 10– 194 (for EDGA). These file number(s) 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/other.shtml). Copies of the submission, all subsequent amendments, all written statements with respect to the Exchanges’ Form 1 applications filed with the Commission, and all written communications relating to the application 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. 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(s) 10–193 (for EDGX) and 10– 194 (for EDGA) and should be submitted on or before November 2, 2009. By the Commission. Elizabeth M. Murphy, Secretary. [FR Doc. E9–22347 Filed 9–16–09; 8:45 am] BILLING CODE 8010–01–P PO 00000 Frm 00052 Fmt 4703 Sfmt 4703 EDGX Exchange, Inc. (‘‘EDGX’’) and EDGA Exchange, Inc. (‘‘EDGA,’’ and, together with EDGX, the ‘‘Applicants’’) each submitted to the Securities and Exchange Commission (‘‘Commission’’) an application on Form 1 under the Securities Exchange Act of 1934 (‘‘Exchange Act’’) to register as a national securities exchange. In addition, the Applicants, pursuant to Rule 0–12 1 under the Exchange Act, have requested an exemption under Section 36(a)(1) of the Exchange Act 2 from certain requirements of Rules 6a– 1(a) and 6a–2 under the Exchange Act.3 This order grants the Applicants’ request for exemptive relief, subject to the satisfaction of certain conditions, which are outlined below. II. Application for Conditional Exemption From Certain Requirements of Exchange Act Rules 6a–1 and 6a–2 A. Filing Requirements Under Exchange Act Rule 6a–1(a) Exchange Act Rule 6a–1(a) requires an applicant for registration as a national securities exchange to file an application with the Commission on Form 1. Exhibit C to Form 1 requires the applicant to provide certain information with respect to each of its subsidiaries and affiliates.4 For purposes of Form 1, 1 17 CFR 240.0–12. U.S.C. 78mm(a)(1). 3 17 CFR 240.6a–1(a) and 6a–2. See letter from Eric W. Hess, General Counsel and Secretary, EDGA and EDGX, to Elizabeth Murphy, Secretary, Commission, dated July 30, 2009 (‘‘Exemption Request’’). 4 Specifically, Exhibit C requires the applicant to provide, for each subsidiary or affiliate, and for any entity that operates an electronic trading system used to effect transactions on the exchange: (1) The name and address of the organization; (2) the form of organization; (3) the name of the State and statute citation under which it is organized, and the date of its incorporation in its present form; (4) a brief description of the nature and extent of the affiliation; (5) a brief description of the organization’s business or function; (6) a copy of the organization’s constitution; (7) a copy of the organization’s articles of incorporation or association, including all amendments; (8) a copy of the organization’s by-laws or corresponding rules or instruments; (9) the name and title of the 2 15 E:\FR\FM\17SEN1.SGM 17SEN1

Agencies

[Federal Register Volume 74, Number 179 (Thursday, September 17, 2009)]
[Notices]
[Pages 47827-47828]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-22347]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-60651; File Nos. 10-193 and 10-194]


EDGX Exchange, Inc., and EDGA Exchange, Inc.; Notice of Filing of 
Applications, as Amended, for Registration as National Securities 
Exchanges Under Section 6 of the Securities Exchange Act of 1934

September 11, 2009.
    On May 7, 2009, EDGX Exchange, Inc. (``EDGX''), and EDGA Exchange, 
Inc. (``EDGA,'' and, together with EDGX, the

[[Page 47828]]

``Exchanges'') submitted to the Securities and Exchange Commission 
(``Commission'') Form 1 applications under the Securities Exchange Act 
of 1934 (``Exchange Act''), seeking registration as national securities 
exchanges under Section 6 of the Exchange Act.\1\ On July 30, 2009, the 
Exchanges each submitted Amendment No. 1 to their Form 1 applications. 
The Commission is publishing this notice to solicit comments on the 
Exchanges' Form 1 applications, as amended. The Commission will take 
these comments into consideration in making its determination about 
whether to grant the Exchanges' requests to be registered as national 
securities exchanges. The Commission will grant the registrations if it 
finds that the requirements of the Exchange Act and the rules and 
regulations thereunder with respect to the Exchanges are satisfied.\2\
---------------------------------------------------------------------------

    \1\ On September 11, 2009, the Commission issued an order 
granting EDGX and EDGA exemptive relief, subject to certain 
conditions, in connection with the filing of their Form 1 
applications. See Securities Exchange Act Release No. 60650.
    \2\ 15 U.S.C. 78s(a).
---------------------------------------------------------------------------

    The Exchanges' Form 1 applications, as amended, provide detailed 
information on how they propose to satisfy the requirements of the 
Exchange Act. In general, the Exchanges, which are wholly-owned 
subsidiaries of Direct Edge Holdings LLC, will each operate separate 
fully automated electronic books for orders to buy or sell securities 
with continuous, automated matching functions.\3\ Liquidity on the 
Exchanges will be derived from orders to buy and orders to sell 
submitted to the Exchanges electronically by their respective members 
from remote locations. Neither EDGX nor EDGA will have a trading floor, 
nor will they have exchange specialists or market makers. The 
Exchanges' Form 1 applications, as amended, are available at the 
Commission's Public Reference Room and https://www.sec.gov.
---------------------------------------------------------------------------

    \3\ EDGX and EDGA represented that the Step-Up functionality, 
set forth in the Form 1 applications, is the same functionality as 
Enhanced Liquidity Provider (``ELP'') functionality offered by 
Direct Edge ECN LLC (``DECN''). EDGX and EDGA also agreed to amend 
the Form 1 applications to comply with any Commission rulemaking in 
this area. See Letter from William O'Brien, Chief Executive Officer, 
Direct Edge Holdings LLC, DECN, EDGX, and EDGA, to James 
Brigagliano, Co-Acting Director, Division of Trading and Markets, 
Commission, dated August 10, 2009.
---------------------------------------------------------------------------

    Interested persons are invited to submit written data, views, and 
arguments concerning the Exchanges' Form 1 applications, as amended, 
including whether the Exchanges' applications, as amended, are 
consistent with the Exchange 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/other.shtml); or
     Send an e-mail to rule-comments@sec.gov. Please include 
File Number(s) 10-193 (for EDGX) and 10-194 (for EDGA) on the subject 
line.

Paper Comments

     Send paper comments in triplicate to Elizabeth M. Murphy, 
Secretary, Securities and Exchange Commission, Station Place, 100 F 
Street, NE., Washington, DC 20549-1090.

All submissions should refer to File Number(s) 10-193 (for EDGX) and 
10-194 (for EDGA). These file number(s) 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/other.shtml). Copies of the submission, all 
subsequent amendments, all written statements with respect to the 
Exchanges' Form 1 applications filed with the Commission, and all 
written communications relating to the application 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. 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(s) 10-193 (for EDGX) and 10-194 
(for EDGA) and should be submitted on or before November 2, 2009.

    By the Commission.
Elizabeth M. Murphy,
Secretary.
[FR Doc. E9-22347 Filed 9-16-09; 8:45 am]
BILLING CODE 8010-01-P
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