Self-Regulatory Organizations; NYSE Arca, Inc., Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add 75 Options Classes to the Penny Pilot Program, 56249-56251 [E9-26171]
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Federal Register / Vol. 74, No. 209 / Friday, October 30, 2009 / Notices
Shagufta_Ahmed@omb.eop.gov; and (ii)
Charles Boucher, Director/CIO,
Securities and Exchange Commission,
C/O Shirley Martinson, 6432 General
Green Way, Alexandria, VA 22312; or
send an e-mail to:
PRA_Mailbox@sec.gov. Comments must
be submitted to OMB within 30 days of
this notice.
Dated: October 26, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–26176 Filed 10–29–09; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
sroberts on DSKD5P82C1PROD with NOTICES
Sunshine Act Meeting
Notice is hereby given, pursuant to
the provisions of the Government in the
Sunshine Act, Public Law 94–409, that
the Securities and Exchange
Commission will hold a Closed Meeting
on Tuesday, November 3, 2009 at 2 p.m.
Commissioners, Counsel to the
Commissioners, the Secretary to the
Commission, and recording secretaries
will attend the Closed Meeting. Certain
staff members who have an interest in
the matters also may be present.
The General Counsel of the
Commission, or his designee, has
certified that, in his opinion, one or
more of the exemptions set forth in 5
U.S.C. 552b(c)(3), (5), (7), (8), 9(B) and
(10) and 17 CFR 200.402(a)(3), (5), (7),
(8), 9(ii) and (10), permit consideration
of the scheduled matters at the Closed
Meeting.
Commissioner Casey, as duty officer,
voted to consider the items listed for the
Closed Meeting in a closed session.
The subject matter of the Closed
Meeting scheduled for Tuesday,
November 3, 2009 will be:
Institution and settlement of injunctive
actions;
Institution and settlement of
administrative proceedings;
An adjudicatory matter;
Regulatory matters regarding financial
institutions; and
Other matters relating to enforcement
proceedings.
At times, changes in Commission
priorities require alterations in the
scheduling of meeting items.
For further information and to
ascertain what, if any, matters have been
added, deleted or postponed, please
contact:
The Office of the Secretary at (202)
551–5400.
VerDate Nov<24>2008
16:30 Oct 29, 2009
Jkt 220001
Dated: October 27, 2009.
Elizabeth M. Murphy,
Secretary.
[FR Doc. E9–26256 Filed 10–28–09; 11:15
am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
Sunshine Act Meeting
Dated: October 28, 2009.
Elizabeth M. Murphy,
Secretary.
[FR Doc. E9–26257 Filed 10–28–09; 4:15 pm]
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SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–60876; File No. SR–
NYSEArca–2009–93]
Self-Regulatory Organizations; NYSE
Arca, Inc., Notice of Filing and
Immediate Effectiveness of Proposed
Rule Change To Add 75 Options
Classes to the Penny Pilot Program
October 26, 2009.
Notice is hereby given, pursuant to
the provisions of the Government in the
Sunshine Act, Public Law 94–409, that
the Securities and Exchange
Commission will hold an Open Meeting
on November 2, 2009, at 10 a.m., in
Room 10800, to hear oral argument on
an appeal by Guy P. Riordan from an
initial decision of an administrative law
judge. The law judge found that, from
around 1996 to December 2002,
Riordan, a former registered
representative associated with
Wachovia Securities, LLC, in its
Albuquerque, New Mexico, branch
office, violated the antifraud provisions
by making secret cash payments to the
New Mexico State Treasurer in
exchange for securities business from
the Treasurer’s Office. The law judge
barred Riordan from associating with
any broker or dealer; imposed a ceaseand-desist order; ordered disgorgement
of $1,017,278.78, plus prejudgment
interest; and assessed a $500,000 thirdtier civil penalty.
Among the issues likely to be argued
are whether Riordan engaged in the
conduct alleged, whether that conduct
constituted securities fraud and, if so,
the extent to which sanctions should be
imposed.
Commissioner Casey, as duty officer,
determined that no earlier notice thereof
was possible.
At times, changes in Commission
priorities require alterations in the
scheduling of meeting items.
For further information and to
ascertain what, if any, matters have been
added, deleted or postponed, please
contact:
The Office of the Secretary at (202)
551–5400.
BILLING CODE 8011–01–P
56249
Pursuant to Section 19(b)(1) 1 of the
Securities Exchange Act of 1934 (the
‘‘Act’’),2 and Rule 19b–4 thereunder,3
notice is hereby given that, on October
21, 2009, NYSE Arca, Inc. (‘‘NYSE
Arca’’ 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 self-regulatory
organization. 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
The Exchange proposes to designate
75 options classes to be added to the
Penny Pilot Program for Options
(‘‘Penny Pilot’’ or ‘‘Pilot’’) on November
2, 2009. The text of the proposed rule
change is attached as Exhibit 5 to the
19b–4 form [sic].4 A copy of this filing
is available on the Exchange’s Web site
at [sic], at the Exchange’s principal
office and at the Commission’s Public
Reference Room.
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.
1 15
U.S.C. 78s(b)(1).
U.S.C. 78a.
3 17 CFR 240.19b–4.
4 The Commission notes that no rule text was
attached as an exhibit to this filing and there are
no changes to the rule text proposed by the
Exchange.
2 15
E:\FR\FM\30OCN1.SGM
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56250
Federal Register / Vol. 74, No. 209 / Friday, October 30, 2009 / Notices
A. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
1. Purpose
NYSE Arca proposes to identify the
next 75 options classes to be added to
the Penny Pilot effective November 2,
2009. The Exchange recently received
approval to extend and expand the Pilot
through December 31, 2010.5 In that
filing, the Exchange had proposed
expanding the Pilot on a quarterly basis
to add the next 75 most actively traded
multiply listed options classes based on
national average daily volume for the
six months prior to selection, closing
under $200 per share on the Expiration
Friday prior to expansion, except that
sroberts on DSKD5P82C1PROD with NOTICES
Nat’l ranking
Symbol
118 ..................................................
48 ....................................................
134 ..................................................
93 ....................................................
115 ..................................................
111 ..................................................
94 ....................................................
67 ....................................................
58 ....................................................
78 ....................................................
68 ....................................................
130 ..................................................
104 ..................................................
49 ....................................................
88 ....................................................
64 ....................................................
32 ....................................................
25 ....................................................
33 ....................................................
112 ..................................................
70 ....................................................
26 ....................................................
82 ....................................................
127 ..................................................
18 ....................................................
129 ..................................................
62 ....................................................
72 ....................................................
59 ....................................................
45 ....................................................
105 ..................................................
131 ..................................................
98 ....................................................
39 ....................................................
87 ....................................................
71 ....................................................
113 ..................................................
63 ....................................................
120 ..................................................
35 ....................................................
73 ....................................................
99 ....................................................
121 ..................................................
80 ....................................................
61 ....................................................
37 ....................................................
85 ....................................................
41 ....................................................
74 ....................................................
124 ..................................................
132 ..................................................
103 ..................................................
83 ....................................................
122 ..................................................
107 ..................................................
91 ....................................................
84 ....................................................
119 ..................................................
ABX ................................................
AXP ................................................
AUY ...............................................
BA ..................................................
BBT ................................................
BBY ................................................
BP ..................................................
CHK ...............................................
CIT .................................................
COF ...............................................
CVX ...............................................
DE ..................................................
DOW ..............................................
DRYS .............................................
EFA ................................................
ETFC .............................................
EWZ ...............................................
FAS ................................................
FAZ ................................................
FITB ...............................................
FSLR ..............................................
FXI .................................................
GDX ...............................................
GG .................................................
GLD ...............................................
HGSI ..............................................
HIG ................................................
HPQ ...............................................
IBM ................................................
IYR .................................................
JNJ .................................................
JNPR .............................................
KO ..................................................
LVS ................................................
MCD ...............................................
MGM ..............................................
MON ..............................................
MOS ...............................................
MRK ...............................................
MS .................................................
NLY ................................................
NOK ...............................................
NVDA .............................................
ORCL .............................................
PALM .............................................
PBR ...............................................
PG ..................................................
POT ...............................................
RF ..................................................
RIG ................................................
RMBS ............................................
S ....................................................
SDS ...............................................
SKF ................................................
SLB ................................................
SLV ................................................
SRS ...............................................
SSO ...............................................
5 See Exchange Act Release No. 60711 (September
23, 2009), 74 FR 49419 (September 28, 2009) (order
approving SR–NYSEArca-2009–44).
VerDate Nov<24>2008
16:30 Oct 29, 2009
Jkt 220001
the month immediately preceding their
addition to the Penny Pilot will not be
used for the purpose of the six month
analysis.6
NYSE Arca proposes adding the
following 75 options classes to the
Penny Pilot on November 2, 2009, based
on national average daily volume from
April 1, 2009 through September 30,
2009:
Company name
Barrick Gold Corp.
American Express Co.
Yamana Gold Inc.
Boeing Co/The.
BB&T Corp.
Best Buy Co Inc.
BP PLC.
Chesapeake Energy Corp.
CIT Group Inc.
Capital One Financial Corp.
Chevron Corp.
Deere & Co.
Dow Chemical Co/The.
DryShips Inc.
iShares MSCI EAFE Index Fund.
E*Trade Financial Corp.
iShares MSCI Brazil Index Fund.
Direxion Daily Financial Bull. 3X Shares.
Direxion Daily Financial Bear. 3X Shares.
Fifth Third Bancorp.
First Solar Inc.
iShares FTSE/Xinhua China 25 Index Fund.
Market Vectors—Gold Miners ETF.
Goldcorp Inc.
SPDR Gold Trust.
Human Genome Sciences Inc.
Hartford Financial Services Group Inc.
Hewlett-Packard Co.
International Business Machines Corp.
iShares Dow Jones US Real Estate Index Fund.
Johnson & Johnson.
Juniper Networks Inc.
Coca-Cola Co/The.
Las Vegas Sands Corp.
McDonald’s Corp.
MGM Mirage.
Monsanto Co.
Mosaic Co/The.
Merck & Co Inc/NJ.
Morgan Stanley.
Annaly Capital Management Inc.
Nokia OYJ.
Nvidia Corp.
Oracle Corp.
Palm Inc.
Petroleo Brasileiro SA.
Procter & Gamble Co/The.
Potash Corp of Saskatchewan Inc.
Regions Financial Corp.
Transocean Ltd.
Rambus Inc.
Sprint Nextel Corp.
ProShares UltraShort S&P500.
ProShares UltraShort Financials.
Schlumberger Ltd.
iShares Silver Trust.
ProShares UltraShort Real Estate.
ProShares Ultra S&P500.
6 Index products would be included in the
expansion if the underlying index level was under
200.
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Federal Register / Vol. 74, No. 209 / Friday, October 30, 2009 / Notices
Nat’l ranking
Symbol
101 ..................................................
125 ..................................................
92 ....................................................
14 ....................................................
117 ..................................................
110 ..................................................
81 ....................................................
44 ....................................................
60 ....................................................
96 ....................................................
10 ....................................................
133 ..................................................
52 ....................................................
114 ..................................................
86 ....................................................
79 ....................................................
54 ....................................................
STI .................................................
SVNT .............................................
TBT ................................................
UNG ...............................................
UNH ...............................................
UPS ...............................................
USB ...............................................
USO ...............................................
UYG ...............................................
V ....................................................
WFC ...............................................
WYNN ............................................
X ....................................................
XHB ...............................................
XLI .................................................
XLU ................................................
XRT ................................................
2. Statutory Basis
The Exchange believes the proposed
rule change is consistent with and
furthers the objectives of Section 6(b)(5)
of the Act, in that it is designed to
promote just and equitable principles of
trade, remove impediments to and
perfect the mechanism of a free and
open market and a national market
system and, in general, to protect
investors and the public interest, by
identifying the options classes to be
added to the Pilot in a manner
consistent with prior approvals and
filings.
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
necessary or appropriate in furtherance
of the purposes of the Act.
sroberts on DSKD5P82C1PROD with NOTICES
C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received From
Members, Participants, or Others
No written comments were solicited
or received with respect to the proposed
rule change.
III. Date of Effectiveness of the
Proposed Rule Change and Timing for
Commission Action
The proposed rule change is effective
upon filing pursuant to Section
19(b)(3)(A)(i) 7 of the Act and Rule 19b–
4(f)(1) 8 thereunder, in that it constitutes
a stated policy, practice, or
interpretation with respect to the
meaning, administration, or
enforcement of an existing rule of the
Exchange.
At any time within 60 days of the
filing of the proposed rule change, the
7 15
8 17
U.S.C. 78s(b)(3)(A)(i).
CFR 240.19b–4(f)(1).
VerDate Nov<24>2008
16:30 Oct 29, 2009
Jkt 220001
Company name
SunTrust Banks Inc.
Savient Pharmaceuticals Inc.
ProShares UltraShort 20+ Year Treasury.
United States Natural Gas Fund LP.
UnitedHealth Group Inc.
United Parcel Service Inc.
US Bancorp.
United States Oil Fund LP.
ProShares Ultra Financials.
Visa Inc.
Wells Fargo & Co.
Wynn Resorts Ltd.
United States Steel Corp.
SPDR S&P Homebuilders ETF.
Industrial Select Sector SPDR Fund.
Utilities Select Sector SPDR Fund.
SPDR S&P Retail ETF.
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.9
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:
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–NYSEArca–2009–93 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–NYSEArca–2009–93. 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 rule
change that are filed with the
Commission, and all written
9 See
PO 00000
15 U.S.C. 78s(b)(3)(C).
Frm 00080
56251
Fmt 4703
Sfmt 4703
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 20549–1090 on official business
days between the hours of 10 a.m. and
3 p.m. Copies of the filing also will be
available for inspection and copying at
NYSE Arca’s principal office and on its
Internet Web site at [sic]. 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 SR–
NYSEArca–2009–93 and should be
submitted on or before November 20,
2009.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.10
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–26171 Filed 10–29–09; 8:45 am]
BILLING CODE 8011–01–P
10 17
E:\FR\FM\30OCN1.SGM
CFR 200.30–3(a)(12).
30OCN1
]]>Agencies
[Federal Register Volume 74, Number 209 (Friday, October 30, 2009)]
[Notices]
[Pages 56249-56251]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-26171]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-60876; File No. SR-NYSEArca-2009-93]
Self-Regulatory Organizations; NYSE Arca, Inc., Notice of Filing
and Immediate Effectiveness of Proposed Rule Change To Add 75 Options
Classes to the Penny Pilot Program
October 26, 2009.
Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act''),\2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that, on October 21, 2009, NYSE Arca, Inc. (``NYSE Arca'' 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 self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------
\1\ 15 U.S.C. 78s(b)(1).
\2\ 15 U.S.C. 78a.
\3\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------
I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change
The Exchange proposes to designate 75 options classes to be added
to the Penny Pilot Program for Options (``Penny Pilot'' or ``Pilot'')
on November 2, 2009. The text of the proposed rule change is attached
as Exhibit 5 to the 19b-4 form [sic].\4\ A copy of this filing is
available on the Exchange's Web site at [sic], at the Exchange's
principal office and at the Commission's Public Reference Room.
---------------------------------------------------------------------------
\4\ The Commission notes that no rule text was attached as an
exhibit to this filing and there are no changes to the rule text
proposed by the Exchange.
---------------------------------------------------------------------------
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.
[[Page 56250]]
A. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change
1. Purpose
NYSE Arca proposes to identify the next 75 options classes to be
added to the Penny Pilot effective November 2, 2009. The Exchange
recently received approval to extend and expand the Pilot through
December 31, 2010.\5\ In that filing, the Exchange had proposed
expanding the Pilot on a quarterly basis to add the next 75 most
actively traded multiply listed options classes based on national
average daily volume for the six months prior to selection, closing
under $200 per share on the Expiration Friday prior to expansion,
except that the month immediately preceding their addition to the Penny
Pilot will not be used for the purpose of the six month analysis.\6\
---------------------------------------------------------------------------
\5\ See Exchange Act Release No. 60711 (September 23, 2009), 74
FR 49419 (September 28, 2009) (order approving SR-NYSEArca-2009-44).
\6\ Index products would be included in the expansion if the
underlying index level was under 200.
---------------------------------------------------------------------------
NYSE Arca proposes adding the following 75 options classes to the
Penny Pilot on November 2, 2009, based on national average daily volume
from April 1, 2009 through September 30, 2009:
------------------------------------------------------------------------
Nat'l ranking Symbol Company name
------------------------------------------------------------------------
118........................... ABX.............. Barrick Gold Corp.
48............................ AXP.............. American Express Co.
134........................... AUY.............. Yamana Gold Inc.
93............................ BA............... Boeing Co/The.
115........................... BBT.............. BB&T Corp.
111........................... BBY.............. Best Buy Co Inc.
94............................ BP............... BP PLC.
67............................ CHK.............. Chesapeake Energy
Corp.
58............................ CIT.............. CIT Group Inc.
78............................ COF.............. Capital One Financial
Corp.
68............................ CVX.............. Chevron Corp.
130........................... DE............... Deere & Co.
104........................... DOW.............. Dow Chemical Co/The.
49............................ DRYS............. DryShips Inc.
88............................ EFA.............. iShares MSCI EAFE
Index Fund.
64............................ ETFC............. E*Trade Financial
Corp.
32............................ EWZ.............. iShares MSCI Brazil
Index Fund.
25............................ FAS.............. Direxion Daily
Financial Bull. 3X
Shares.
33............................ FAZ.............. Direxion Daily
Financial Bear. 3X
Shares.
112........................... FITB............. Fifth Third Bancorp.
70............................ FSLR............. First Solar Inc.
26............................ FXI.............. iShares FTSE/Xinhua
China 25 Index Fund.
82............................ GDX.............. Market Vectors--Gold
Miners ETF.
127........................... GG............... Goldcorp Inc.
18............................ GLD.............. SPDR Gold Trust.
129........................... HGSI............. Human Genome Sciences
Inc.
62............................ HIG.............. Hartford Financial
Services Group Inc.
72............................ HPQ.............. Hewlett-Packard Co.
59............................ IBM.............. International
Business Machines
Corp.
45............................ IYR.............. iShares Dow Jones US
Real Estate Index
Fund.
105........................... JNJ.............. Johnson & Johnson.
131........................... JNPR............. Juniper Networks Inc.
98............................ KO............... Coca-Cola Co/The.
39............................ LVS.............. Las Vegas Sands Corp.
87............................ MCD.............. McDonald's Corp.
71............................ MGM.............. MGM Mirage.
113........................... MON.............. Monsanto Co.
63............................ MOS.............. Mosaic Co/The.
120........................... MRK.............. Merck & Co Inc/NJ.
35............................ MS............... Morgan Stanley.
73............................ NLY.............. Annaly Capital
Management Inc.
99............................ NOK.............. Nokia OYJ.
121........................... NVDA............. Nvidia Corp.
80............................ ORCL............. Oracle Corp.
61............................ PALM............. Palm Inc.
37............................ PBR.............. Petroleo Brasileiro
SA.
85............................ PG............... Procter & Gamble Co/
The.
41............................ POT.............. Potash Corp of
Saskatchewan Inc.
74............................ RF............... Regions Financial
Corp.
124........................... RIG.............. Transocean Ltd.
132........................... RMBS............. Rambus Inc.
103........................... S................ Sprint Nextel Corp.
83............................ SDS.............. ProShares UltraShort
S&P500.
122........................... SKF.............. ProShares UltraShort
Financials.
107........................... SLB.............. Schlumberger Ltd.
91............................ SLV.............. iShares Silver Trust.
84............................ SRS.............. ProShares UltraShort
Real Estate.
119........................... SSO.............. ProShares Ultra
S&P500.
[[Page 56251]]
101........................... STI.............. SunTrust Banks Inc.
125........................... SVNT............. Savient
Pharmaceuticals Inc.
92............................ TBT.............. ProShares UltraShort
20+ Year Treasury.
14............................ UNG.............. United States Natural
Gas Fund LP.
117........................... UNH.............. UnitedHealth Group
Inc.
110........................... UPS.............. United Parcel Service
Inc.
81............................ USB.............. US Bancorp.
44............................ USO.............. United States Oil
Fund LP.
60............................ UYG.............. ProShares Ultra
Financials.
96............................ V................ Visa Inc.
10............................ WFC.............. Wells Fargo & Co.
133........................... WYNN............. Wynn Resorts Ltd.
52............................ X................ United States Steel
Corp.
114........................... XHB.............. SPDR S&P Homebuilders
ETF.
86............................ XLI.............. Industrial Select
Sector SPDR Fund.
79............................ XLU.............. Utilities Select
Sector SPDR Fund.
54............................ XRT.............. SPDR S&P Retail ETF.
------------------------------------------------------------------------
2. Statutory Basis
The Exchange believes the proposed rule change is consistent with
and furthers the objectives of Section 6(b)(5) of the Act, in that it
is designed to promote just and equitable principles of trade, remove
impediments to and perfect the mechanism of a free and open market and
a national market system and, in general, to protect investors and the
public interest, by identifying the options classes to be added to the
Pilot in a manner consistent with prior approvals and filings.
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 necessary or appropriate
in furtherance of the purposes of the Act.
C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others
No written comments were solicited or received with respect to the
proposed rule change.
III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action
The proposed rule change is effective upon filing pursuant to
Section 19(b)(3)(A)(i) \7\ of the Act and Rule 19b-4(f)(1) \8\
thereunder, in that it constitutes a stated policy, practice, or
interpretation with respect to the meaning, administration, or
enforcement of an existing rule of the Exchange.
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\7\ 15 U.S.C. 78s(b)(3)(A)(i).
\8\ 17 CFR 240.19b-4(f)(1).
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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.\9\
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\9\ See 15 U.S.C. 78s(b)(3)(C).
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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:
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-NYSEArca-2009-93 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-NYSEArca-2009-93. 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 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 20549-1090 on official business days between the
hours of 10 a.m. and 3 p.m. Copies of the filing also will be available
for inspection and copying at NYSE Arca's principal office and on its
Internet Web site at [sic]. 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 SR-NYSEArca-2009-93 and should be submitted on or before
November 20, 2009.
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\10\
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\10\ 17 CFR 200.30-3(a)(12).
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Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-26171 Filed 10-29-09; 8:45 am]
BILLING CODE 8011-01-P
