Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Adopt FINRA Rules 2262 (Disclosure of Control Relationship With Issuer), 2269 (Disclosure of Participation or Interest in Primary or Secondary Distribution) and 5260 (Prohibition on Transactions, Publication of Quotations, or Publication of Indications of Interest During Trading Halts) in the Consolidated FINRA Rulebook, 48117-48118 [E9-22514]
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Federal Register / Vol. 74, No. 181 / Monday, September 21, 2009 / Notices
C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received From
Members, Participants or Others
Written comments were neither
solicited nor received.
III. Date of Effectiveness of the
Proposed Rule Change and Timing for
Commission Action
Because the foregoing proposed rule
change 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, it has
become effective pursuant to Section
19(b)(3)(A) of the Act 7 and Rule 19b–
4(f)(6) thereunder.8
At any time within 60 days of the
filing of the 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 DSKH9S0YB1PROD with NOTICES
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–BX–2009–053 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 SR–BX–2009–053. 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
7 15
8 17
U.S.C. 78s(b)(3)(A).
CFR 240.19b–4(f)(6).
VerDate Nov<24>2008
17:24 Sep 18, 2009
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, 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 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 publicly available. All
submissions should refer to File
Number SR–BX–2009–053 and should
be submitted on or before October 13,
2009.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.9
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–22682 Filed 9–18–09; 8:45 am]
BILLING CODE 8010–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–60659; File No. SR–FINRA–
2009–044]
Self-Regulatory Organizations;
Financial Industry Regulatory
Authority, Inc.; Order Approving
Proposed Rule Change, as Modified by
Amendment No. 1, To Adopt FINRA
Rules 2262 (Disclosure of Control
Relationship With Issuer), 2269
(Disclosure of Participation or Interest
in Primary or Secondary Distribution)
and 5260 (Prohibition on Transactions,
Publication of Quotations, or
Publication of Indications of Interest
During Trading Halts) in the
Consolidated FINRA Rulebook
thereunder,2 a proposed rule change to
adopt without material change NASD
Rules 2240 (Disclosure of Control
Relationship with Issuer), 2250
(Disclosure of Participation or Interest
in Primary or Secondary Distribution)
and 3340 (Prohibition on Transactions,
Publication of Quotations, or
Publication of Indications of Interest
During Trading Halts) as FINRA rules in
the Consolidated FINRA Rulebook and
to delete NYSE Rules 312(f)(1) through
312(f)(3) and 321.24. The proposed rule
change would renumber NASD Rules
2240, 2250 and 3340 as FINRA Rules
2262, 2269 and 5260, respectively, in
the Consolidated FINRA Rulebook.
The proposed rule change was
published for comment in the Federal
Register on July 24, 2009.3 FINRA filed
Amendment No. 1 to the proposed rule
change on September 11, 2009.4 The
Commission received no comment
letters on the proposed rule change.
This order approves the proposed rule
change, as modified by Amendment No.
1.
After careful review, the Commission
finds that the proposed rule change is
consistent with the requirements of the
Act and the rules and regulations
thereunder applicable to a national
securities association.5 In particular, the
Commission finds that the proposed
rule change is consistent with the
provisions of Section 15A(b)(6) of the
Act,6 which requires, among other
things, that FINRA rules be designed to
prevent fraudulent and manipulative
acts and practices, to promote just and
equitable principles of trade, and, in
general, to protect investors and the
public interest.
The Commission believes that
transferring NASD Rules 2240 and 2250
into the Consolidated FINRA Rulebook
as FINRA Rules 2262 and 2269 will
ensure that disclosures or notifications
that member firms must provide to
customers in connection with certain
securities transactions will continue to
be made. These rules are intended to
provide disclosure to a customer about
certain relationships involving the
member that may present a conflict of
interest. The Commission believes that
repealing NYSE Rules 312(f) and 321.24
September 11, 2009.
On June 29, 2009, Financial Industry
Regulatory Authority, Inc. (‘‘FINRA’’) (f/
k/a National Association of Securities
Dealers, Inc. (‘‘NASD’’)) filed with the
Securities and Exchange Commission
(‘‘Commission’’), pursuant to Section
19(b)(1) of the Securities Exchange Act
of 1934 (‘‘Act’’) 1 and Rule 19b–4
9 17
1 15
Jkt 217001
48117
PO 00000
CFR 200.30–3(a)(12).
U.S.C. 78s(b)(1).
Frm 00067
Fmt 4703
Sfmt 4703
2 17
CFR 240.19b–4.
Securities Exchange Act Release No. 60330
(July 17, 2009), 74 FR 36787.
4 Amendment No. 1 is a technical amendment
that clarifies that the proposed rule change would
not change Incorporated NYSE Rule 312(h);
therefore, Amendment No. 1 does not require notice
and comment.
5 In approving this proposal, the Commission has
considered the proposed rule’s impact on
efficiency, competition, and capital formation. See
15 U.S.C. 78c(f).
6 15 U.S.C. 78o–3(b)(6).
3 See
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21SEN1
48118
Federal Register / Vol. 74, No. 181 / Monday, September 21, 2009 / Notices
is appropriate because the purposes
they serve are addressed by proposed
FINRA Rules 2262 and 2269, other
FINRA rules or Commission Rules. The
Commission believes that transferring
NASD Rule 3340 into the Consolidated
FINRA Rulebook as FINRA Rule 5260
will ensure that members are aware that
the trading and quoting conduct
prohibited by this rule when a trading
halt is in effect will continue to be
prohibited under the new FINRA rules.
The proposed rule change makes nonmaterial changes to NASD rules that
have been useful in protecting investors.
It is therefore ordered, pursuant to
Section 19(b)(2) of the Act,7 that the
proposed rule change, as modified by
Amendment No. 1 (SR–FINRA–2009–
044) be, and hereby is, approved.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.8
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–22514 Filed 9–18–09; 8:45 am]
BILLING CODE 8010–01–P
DEPARTMENT OF STATE
[Public Notice 6766]
Notice of Request for Public Comment
and Submission to OMB of Proposed
Collection of Information
mstockstill on DSKH9S0YB1PROD with NOTICES
Title: 30-Day Notice of Proposed
Information Collection: DS–3013 and
3013–s, Application Under the Hague
Convention on the Civil Aspects of
International Child Abduction, OMB
1405–0076.
ACTION: Notice of request for public
comment and submission to OMB of
proposed collection of information.
SUMMARY: The Department of State has
submitted the following information
collection request to the Office of
Management and Budget (OMB) for
approval in accordance with the
Paperwork Reduction Act of 1995.
• Title of Information Collection:
Application Under the Hague
Convention on the Civil Aspects of
International Child Abduction.
• OMB Control Number: 1405–0076.
• Type of Request: Revision.
• Originating Office: CA/OCS/PRI.
• Form Number: DS–3013, 3013–s.
• Respondents: Person seeking return
of, or access to, a child.
• Estimated Number of Respondents:
2,355.
• Estimated Number of Responses:
2,355.
7 15
8 17
U.S.C. 78s(b)(2).
CFR 200.30–3(a)(12).
VerDate Nov<24>2008
17:24 Sep 18, 2009
Jkt 217001
• Average Hours per Response: 1
hour.
• Total Estimated Burden: 2,355.
• Frequency: On occasion.
• Obligation to Respond: Voluntary.
DATES: Submit comments to the Office
of Management and Budget (OMB) for
up to 30 days from September 21, 2009.
ADDRESSES: Direct comments to the
Department of State Desk Officer in the
Office of Information and Regulatory
Affairs at the Office of Management and
Budget (OMB). You may submit
comments by the following methods:
• E-mail:
oira_submission@omb.eop.gov. You
must include the DS form number,
information collection title, and OMB
control number in the subject line of
your message.
• Fax: 202–395–5806. Attention: Desk
Officer for Department of State.
FOR FURTHER INFORMATION CONTACT: You
may obtain copies of the proposed
information collection and supporting
documents from Derek A. Rivers,
Bureau of Consular Affairs, Overseas
Citizens Services (CA/OCS/PRI), U.S.
Department of State, SA–29, 4th Floor,
Washington, DC 20520, who may be
reached on (202) 736–9082 or at
ASKPRI@state.gov.
SUPPLEMENTARY INFORMATION: We are
soliciting public comments to permit
the Department to:
• Evaluate whether the proposed
information collection is necessary to
properly perform our functions;
• Evaluate the accuracy of our
estimate of the burden of the proposed
collection; including the validity of the
methodology and assumptions used;
• Enhance the quality, utility, and
clarity of the information to be
collected;
• Minimize the reporting burden on
those who are to respond.
Abstract of proposed collection: The
Application Under the Hague
Convention on the Civil Aspects of
International Child Abduction (DS–3013
and DS 3013–s) is used by parents or
legal guardians who are asking the State
Department’s assistance in seeking the
return of, or access to, a child or
children alleged to be wrongfully
removed from, or retained outside of,
the child’s habitual residence and
currently located in another country
that is also party to the Hague
Convention on the Civil Aspects of
International Child Abduction. The
application requests information
regarding the identities of the applicant,
the child or children, and the person
alleged to have wrongfully removed or
retained the child or children. In
addition, the application requires that
PO 00000
Frm 00068
Fmt 4703
Sfmt 4703
the applicant provide the circumstances
of the alleged wrongful removal or
retention, and the legal justification for
the request for return or access. The
State Department, as the U.S. Central
Authority, uses this information to
establish, if possible, the applicants’
claims under the Convention; to advise
applicants about available remedies
under the Convention; and to provide
the information necessary to the foreign
Central Authority in its efforts to locate
the child or children, and to facilitate
return of or access to the child or
children pursuant to the Convention.
Methodology: The completed form
DS–3013 and DS 3013–s may be filled
out electronically or manually and then
submitted to the Office of Children’s
Issues by e-mail, mail, or fax.
Dated: August 4, 2009.
Mary Ellen Hickey,
Managing Director, Bureau of Consular
Affairs, Department f State.
[FR Doc. E9–22638 Filed 9–18–09; 8:45 am]
BILLING CODE 4710–06–P
DEPARTMENT OF STATE
[Public Notice 6763]
Culturally Significant Object Imported
for Exhibition Determinations:
‘‘Caravaggio’s, The Supper at
Emmaus’’
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 object in the
exhibition: ‘‘Caravaggio’s, The Supper at
Emmaus,’’ imported from abroad for
temporary exhibition within the United
States, is of cultural significance. The
object is imported pursuant to a loan
agreement with the foreign owner or
custodian. I also determine that the
exhibition or display of the exhibit
object at the Art Institute of Chicago,
Chicago, IL, from on or about October 8,
2009, until on or about January 31,
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.
E:\FR\FM\21SEN1.SGM
21SEN1
]]>Agencies
[Federal Register Volume 74, Number 181 (Monday, September 21, 2009)]
[Notices]
[Pages 48117-48118]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-22514]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-60659; File No. SR-FINRA-2009-044]
Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Order Approving Proposed Rule Change, as Modified by
Amendment No. 1, To Adopt FINRA Rules 2262 (Disclosure of Control
Relationship With Issuer), 2269 (Disclosure of Participation or
Interest in Primary or Secondary Distribution) and 5260 (Prohibition on
Transactions, Publication of Quotations, or Publication of Indications
of Interest During Trading Halts) in the Consolidated FINRA Rulebook
September 11, 2009.
On June 29, 2009, Financial Industry Regulatory Authority, Inc.
(``FINRA'') (f/k/a National Association of Securities Dealers, Inc.
(``NASD'')) filed with the Securities and Exchange Commission
(``Commission''), pursuant to Section 19(b)(1) of the Securities
Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4 thereunder,\2\ a
proposed rule change to adopt without material change NASD Rules 2240
(Disclosure of Control Relationship with Issuer), 2250 (Disclosure of
Participation or Interest in Primary or Secondary Distribution) and
3340 (Prohibition on Transactions, Publication of Quotations, or
Publication of Indications of Interest During Trading Halts) as FINRA
rules in the Consolidated FINRA Rulebook and to delete NYSE Rules
312(f)(1) through 312(f)(3) and 321.24. The proposed rule change would
renumber NASD Rules 2240, 2250 and 3340 as FINRA Rules 2262, 2269 and
5260, respectively, in the Consolidated FINRA Rulebook.
---------------------------------------------------------------------------
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------
The proposed rule change was published for comment in the Federal
Register on July 24, 2009.\3\ FINRA filed Amendment No. 1 to the
proposed rule change on September 11, 2009.\4\ The Commission received
no comment letters on the proposed rule change. This order approves the
proposed rule change, as modified by Amendment No. 1.
---------------------------------------------------------------------------
\3\ See Securities Exchange Act Release No. 60330 (July 17,
2009), 74 FR 36787.
\4\ Amendment No. 1 is a technical amendment that clarifies that
the proposed rule change would not change Incorporated NYSE Rule
312(h); therefore, Amendment No. 1 does not require notice and
comment.
---------------------------------------------------------------------------
After careful review, the Commission finds that the proposed rule
change is consistent with the requirements of the Act and the rules and
regulations thereunder applicable to a national securities
association.\5\ In particular, the Commission finds that the proposed
rule change is consistent with the provisions of Section 15A(b)(6) of
the Act,\6\ which requires, among other things, that FINRA rules be
designed to prevent fraudulent and manipulative acts and practices, to
promote just and equitable principles of trade, and, in general, to
protect investors and the public interest.
---------------------------------------------------------------------------
\5\ In approving this proposal, the Commission has considered
the proposed rule's impact on efficiency, competition, and capital
formation. See 15 U.S.C. 78c(f).
\6\ 15 U.S.C. 78o-3(b)(6).
---------------------------------------------------------------------------
The Commission believes that transferring NASD Rules 2240 and 2250
into the Consolidated FINRA Rulebook as FINRA Rules 2262 and 2269 will
ensure that disclosures or notifications that member firms must provide
to customers in connection with certain securities transactions will
continue to be made. These rules are intended to provide disclosure to
a customer about certain relationships involving the member that may
present a conflict of interest. The Commission believes that repealing
NYSE Rules 312(f) and 321.24
[[Page 48118]]
is appropriate because the purposes they serve are addressed by
proposed FINRA Rules 2262 and 2269, other FINRA rules or Commission
Rules. The Commission believes that transferring NASD Rule 3340 into
the Consolidated FINRA Rulebook as FINRA Rule 5260 will ensure that
members are aware that the trading and quoting conduct prohibited by
this rule when a trading halt is in effect will continue to be
prohibited under the new FINRA rules. The proposed rule change makes
non-material changes to NASD rules that have been useful in protecting
investors.
It is therefore ordered, pursuant to Section 19(b)(2) of the
Act,\7\ that the proposed rule change, as modified by Amendment No. 1
(SR-FINRA-2009-044) be, and hereby is, approved.
---------------------------------------------------------------------------
\7\ 15 U.S.C. 78s(b)(2).
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\8\
Florence E. Harmon,
Deputy Secretary.
---------------------------------------------------------------------------
\8\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------
[FR Doc. E9-22514 Filed 9-18-09; 8:45 am]
BILLING CODE 8010-01-P
