Draft 2010-2015 Strategic Plan for Securities and Exchange Commission, 52993 [E9-24713]

Download as PDF Federal Register / Vol. 74, No. 198 / Thursday, October 15, 2009 / Notices SBIC, L.P., own more than ten percent of AltheaDx, Inc. Therefore, this transaction is considered a financing of an Associate requiring an exemption. Notice is hereby given that any interested person may submit written comments on the transaction within fifteen days of the date of this publication to the Associate Administrator for Investment, U.S. Small Business Administration, 409 Third Street, SW., Washington, DC 20416. Dated: September 24, 2009. Sean J. Greene, Associate Administrator for Investment. [FR Doc. E9–24844 Filed 10–14–09; 8:45 am] Kenneth A. Johnson, Management and Program Analyst, Office of the Executive Director, at (202) 551–4300, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549– 2521. Dated: October 8, 2009. By the Commission. Elizabeth M. Murphy, Secretary. [FR Doc. E9–24713 Filed 10–14–09; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION BILLING CODE 8025–01–P [Release No. 34–60800; File No. SR– NYSEAmex–2009–66] SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; NYSE Amex LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Schedule of Transaction Fees and Rebates [Release No. 34–60799] Draft 2010–2015 Strategic Plan for Securities and Exchange Commission Securities and Exchange Commission. ACTION: Request for comment. AGENCY: SUMMARY: The Securities and Exchange Commission (SEC) is providing notice that it is seeking comments on its draft 2010–2015 Strategic Plan. The draft Strategic Plan includes a draft of the SEC’s mission, vision, values, strategic goals, planned initiatives, and performance metrics. DATES: Comments should be received on or before November 16, 2009. ADDRESSES: Comments may be submitted by any of the following methods: Electronic Comments • Send an e-mail to strategicplan@sec.gov. mstockstill on DSKH9S0YB1PROD with NOTICES • Send paper comments in triplicate to Kenneth A. Johnson, Management and Program Analyst, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549–2521. FOR FURTHER INFORMATION CONTACT: Kenneth A. Johnson, Management and Program Analyst, Office of the Executive Director, at (202) 551–4300, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549– 2521. The draft strategic plan is available at the Commission’s Web site at https:// www.sec.gov/about/ secstratplan1015.htm or by contacting SUPPLEMENTARY INFORMATION: 19:13 Oct 14, 2009 Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (the ‘‘Act’’) 1 and Rule 19b–4 thereunder,2 notice is hereby given that, on September 30, 2009, NYSE Amex LLC (‘‘NYSE Amex’’ or the ‘‘Exchange’’) filed with the Securities and Exchange Commission (the ‘‘Commission’’) the proposed rule change as described in Items I, II, and III below, which Items have been prepared by the Exchange. The Exchange filed this proposal pursuant to Section 19(b)(3)(A) of the Act 3 and Rule 19b–4(f)(2) thereunder,4 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. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change Paper Comments VerDate Nov<24>2008 October 8, 2009. Jkt 220001 The Exchange proposes to (i) increase from $0.0015 per share to $0.0030 per share the rebate it provides to customers adding liquidity and (ii) increase from $0.0020 per share to $0.0025 per share the fee charged to floor brokers when taking liquidity from the Exchange. These changes will take effect on October 1, 2009. The text of the proposed rule change is available at the Exchange, the Commission’s Public Reference Room, and https:// www.nyse.com. 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 15 U.S.C. 78s(b)(3)(A). 4 17 CFR 240.19b–4(f)(2). 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 self-regulatory organization 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 those 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 parts of such statements. A. Self-Regulatory Organization’s Statement of the Purpose of, and the Statutory Basis for, the Proposed Rule Change 1. Purpose NYSE Amex currently pays a rebate of $0.0015 per share to customers providing liquidity in securities with a trading price of at least $1.00 per share. With effect from October 1, 2009, this rebate will increase to $0.0030 per share. The Exchange intends to reevaluate this rebate again in three months time and will submit an additional rule filing if it decides to change its rebate policy at that time. The description of the rebate in the 2009 NYSE Amex Price List is also amended to clarify that it applies to both displayed and non-displayed orders. Floor brokers currently pay a fee of $0.0020 per share when taking liquidity from the Exchange. Effective October 1, 2009, this fee will be increased to $0.0025 per share. 2. Statutory Basis The Exchange believes that the proposed rule change is consistent with the provisions of Section 6 of the Act,5 in general, and Section 6(b)(4) of the Act,6 in particular, in that it is designed to provide for the equitable allocation of reasonable dues, fees, and other charges among its members and other persons using its facilities. The Exchange believes that the proposal does not constitute an inequitable allocation of dues, fees and other charges as all similarly situated member organizations will be subject to the same fee structure. B. Self-Regulatory Organization’s Statement on Burden on Competition The Exchange does not believe that the proposed rule change will impose any burden on competition that is not 2 17 PO 00000 Frm 00050 Fmt 4703 5 15 6 15 Sfmt 4703 52993 E:\FR\FM\15OCN1.SGM U.S.C. 78f(b). U.S.C. 78f(b)(4). 15OCN1

Agencies

SECURITIES AND EXCHANGE COMMISSION

[Federal Register Volume 74, Number 198 (Thursday, October 15, 2009)]
[Notices]
[Page 52993]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-24713]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-60799]


Draft 2010-2015 Strategic Plan for Securities and Exchange 
Commission

AGENCY: Securities and Exchange Commission.

ACTION: Request for comment.

-----------------------------------------------------------------------

SUMMARY: The Securities and Exchange Commission (SEC) is providing 
notice that it is seeking comments on its draft 2010-2015 Strategic 
Plan. The draft Strategic Plan includes a draft of the SEC's mission, 
vision, values, strategic goals, planned initiatives, and performance 
metrics.

DATES: Comments should be received on or before November 16, 2009.

ADDRESSES: Comments may be submitted by any of the following methods:

Electronic Comments

     Send an e-mail to strategicplan@sec.gov.

Paper Comments

     Send paper comments in triplicate to Kenneth A. Johnson, 
Management and Program Analyst, Securities and Exchange Commission, 100 
F Street, NE., Washington, DC 20549-2521.

FOR FURTHER INFORMATION CONTACT: Kenneth A. Johnson, Management and 
Program Analyst, Office of the Executive Director, at (202) 551-4300, 
Securities and Exchange Commission, 100 F Street, NE., Washington, DC 
20549-2521.

SUPPLEMENTARY INFORMATION: The draft strategic plan is available at the 
Commission's Web site at https://www.sec.gov/about/secstratplan1015.htm 
or by contacting Kenneth A. Johnson, Management and Program Analyst, 
Office of the Executive Director, at (202) 551-4300, Securities and 
Exchange Commission, 100 F Street, NE., Washington, DC 20549-2521.

    Dated: October 8, 2009.

    By the Commission.
Elizabeth M. Murphy,
Secretary.
[FR Doc. E9-24713 Filed 10-14-09; 8:45 am]
BILLING CODE 8011-01-P

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