Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex, LLC Amending Its Schedule of Fees and Charges for Exchange Services, 57541-57542 [E9-26750]
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Federal Register / Vol. 74, No. 214 / Friday, November 6, 2009 / Notices
performance of the functions of the
agency, including whether the
information will have practical utility;
(b) the accuracy of the agency’s estimate
of the burden of the collection of
information; (c) ways to enhance the
quality, utility, and clarity of the
information collected; and (d) ways to
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information on respondents, including
through the use of automated collection
techniques or other forms of information
technology. Consideration will be given
to comments and suggestions submitted
in writing within 60 days of this
publication.
Please direct your written comments
to 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.
Dated: October 29, 2009.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–26752 Filed 11–5–09; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
SECURITIES AND EXCHANGE
COMMISSION
[File No. 500–1]
Minecore International, Inc.; Order of
Suspension of Trading
November 4, 2009.
It appears to the Securities and
Exchange Commission that there is a
lack of current and accurate information
concerning the securities of Minecore
International, Inc. (‘‘Minecore’’) because
it has not filed a periodic report since
its 10–KSB for the fiscal year ending
December 31, 2001, filed on June 30,
2004.
The Commission is of the opinion that
the public interest and the protection of
investors require a suspension of trading
in the securities of Minecore. Therefore,
it is ordered, pursuant to Section 12(k)
of the Securities Exchange Act of 1934,
that trading in the securities of
Minecore is suspended for the period
from 9:30 a.m. EST on November 4,
2009, through 11:59 p.m. EST on
November 17, 2009.
By the Commission.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. E9–26896 Filed 11–4–09; 11:15 am]
BILLING CODE 8011–01–P
mstockstill on DSKH9S0YB1PROD with NOTICES6
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 its annual forum
on small business capital formation on
November 19, 2009 beginning at 9 a.m.
The forum will include roundtables
focusing on the state of small business
capital formation and the SEC’s
accredited investor definition for private
and limited offerings.
The roundtables will take place in the
Auditorium of the Commission’s
headquarters at 100 F Street, NE.,
Washington, DC and will be open to the
public with seating on a first-come, firstserved basis. Doors will open at 8:30
a.m. Visitors will be subject to security
checks.
For further information, please
contact Anthony Barone at 202–551–
3261.
Dated: November 3, 2009.
Elizabeth M. Murphy,
Secretary.
[FR Doc. E9–26894 Filed 11–4–09; 11:15 am]
18:23 Nov 05, 2009
[Release No. 34–60908; File No. SR–
NYSEAmex–2009–77]
Self-Regulatory Organizations; Notice
of Filing and Immediate Effectiveness
of Proposed Rule Change by NYSE
Amex, LLC Amending Its Schedule of
Fees and Charges for Exchange
Services
October 30, 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
27, 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 selfregulatory 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).
U.S.C. 78a.
3 17 CFR 240.19b–4.
2 15
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57541
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
The Exchange proposes to its
Schedule of Fees and Charges for
Exchange Services (‘‘Schedule’’) by
waiving the Cancellation Fee until
February 1, 2010. The text of the
proposed rule change is attached as
Exhibit 5 to the 19b–4 form. A copy of
this filing is available on the Exchange’s
Web site at https://www.nyse.com, 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.
A. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
1. Purpose
The Cancellation Fee is currently
waived until November 1, 2009.4 Due to
competitive concerns in the options
marketplace and customer feedback, the
Exchange hereby proposes to continue
to waive the Cancellation Fee until
February 1, 2010. At that time, the
Exchange will reevaluate its need to
implement the fee, in light of current
market conditions.
2. Statutory Basis
The Exchange believes that the
proposal is consistent with Section 6(b)
of the Securities Exchange Act of 1934
(the ‘‘Act’’),5 in general, and Section
6(b)(4),6 in particular, in that it provides
for the equitable allocation of dues, fees
and other charges among its members
and other market participants that use
the trading facilities of NYSE Amex
Options. Under this proposal, all
similarly situated members and other
Exchange participants of NYSE Amex
4 See Securities Exchange Act Release No. 34–
60452 (August 5, 2009), 74 FR 40861 (August 13,
2009) (SR–AMEX–2009–54).
5 15 U.S.C. 78f(b).
6 15 U.S.C. 78f(b)(4).
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57542
Federal Register / Vol. 74, No. 214 / Friday, November 6, 2009 / Notices
Options will be charged the same
reasonable dues, fees, and other charges.
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 foregoing rule change is effective
upon filing pursuant to Section
19(b)(3)(A) 7 of the Act and
subparagraph (f)(2) of Rule 19b–48
thereunder, because it establishes a due,
fee, or other charge imposed by the
NYSE Amex.
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:
Electronic Comments
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, 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 onlyinformation that you
wish to make publicly available. All
submissions should refer to File
Number SR–NYSEAmex–2009–77 and
should be submitted on or before
November 27, 2009.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.9
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–26750 Filed 11–5–09; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
Paper Comments
mstockstill on DSKH9S0YB1PROD with NOTICES6
[Release No. 34–60907; File No. SR–
NYSEAmex–2009–73]
• 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–NYSEAmex–2009–77. This
file number should be included on the
October 30, 2009.
Pursuant to Section 19(b)(1) 1 of the
Securities Exchange Act of 1934 (the
‘‘Act’’) and Rule 19b–4 thereunder,2
notice is hereby given that, on October
19, 2009, NYSE Amex LLC (‘‘NYSE
Amex’’ or the ‘‘Exchange’’) filed with
the Securities and Exchange
Self-Regulatory Organizations; NYSE
Amex LLC; Notice of Filing and
Immediate Effectiveness of Proposed
Rule Change To Add Commentary .04
to Rule 904C
9 17
CFR 200.30–3(a)(12).
U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.
U.S.C. 78s(b)(3)(A).
8 17 CFR 240.19b–4(f)(2).
VerDate Nov<24>2008
18:23 Nov 05, 2009
1 15
Jkt 220001
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
The Exchange proposes to add
Commentary .04 to Rule 904C to clarify
position limits on reduced-value index
options. The text of the proposed rule
change is attached as Exhibit 5 to the
19b–4 form. A copy of this filing is
available on the Exchange’s Web site at
https://www.nyse.com, 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.
A. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
1. Purpose
• 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–NYSEAmex–2009–77 on
the subject line.
7 15
Commission (the ‘‘Commission’’) the
proposed rule change as described in
Items I and II, 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.
PO 00000
Frm 00096
Fmt 4703
Sfmt 4703
The Exchange proposes to define and
clarify the treatment of positions in
reduced-value index options. NYSE
Amex Rule 904C describes Position
Limits for both Broad Stock Index
Groups and Stock Index Industry
Groups. Rule 904C does not describe
aggregation requirements for reducedvalue index options, nor does it describe
the relationship of a position in a
reduced-value index option to a
position in a full-value index option.
Occasionally, when an index level is
high it becomes less desirable for
trading options because of the large
amount of capital involved in
maintaining margin. Additionally,
because of the linear nature of options
premiums, the premium for an at-themoney call on an index level of 500 will
be ten times the premium for an at-themoney call at an index level of 50, and
thus more expensive to trade. To
E:\FR\FM\06NON1.SGM
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]]>Agencies
[Federal Register Volume 74, Number 214 (Friday, November 6, 2009)]
[Notices]
[Pages 57541-57542]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-26750]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-60908; File No. SR-NYSEAmex-2009-77]
Self-Regulatory Organizations; Notice of Filing and Immediate
Effectiveness of Proposed Rule Change by NYSE Amex, LLC Amending Its
Schedule of Fees and Charges for Exchange Services
October 30, 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 27, 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 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 its Schedule of Fees and Charges for
Exchange Services (``Schedule'') by waiving the Cancellation Fee until
February 1, 2010. The text of the proposed rule change is attached as
Exhibit 5 to the 19b-4 form. A copy of this filing is available on the
Exchange's Web site at https://www.nyse.com, 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.
A. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change
1. Purpose
The Cancellation Fee is currently waived until November 1, 2009.\4\
Due to competitive concerns in the options marketplace and customer
feedback, the Exchange hereby proposes to continue to waive the
Cancellation Fee until February 1, 2010. At that time, the Exchange
will reevaluate its need to implement the fee, in light of current
market conditions.
---------------------------------------------------------------------------
\4\ See Securities Exchange Act Release No. 34-60452 (August 5,
2009), 74 FR 40861 (August 13, 2009) (SR-AMEX-2009-54).
---------------------------------------------------------------------------
2. Statutory Basis
The Exchange believes that the proposal is consistent with Section
6(b) of the Securities Exchange Act of 1934 (the ``Act''),\5\ in
general, and Section 6(b)(4),\6\ in particular, in that it provides for
the equitable allocation of dues, fees and other charges among its
members and other market participants that use the trading facilities
of NYSE Amex Options. Under this proposal, all similarly situated
members and other Exchange participants of NYSE Amex
[[Page 57542]]
Options will be charged the same reasonable dues, fees, and other
charges.
---------------------------------------------------------------------------
\5\ 15 U.S.C. 78f(b).
\6\ 15 U.S.C. 78f(b)(4).
---------------------------------------------------------------------------
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 foregoing rule change is effective upon filing pursuant to
Section 19(b)(3)(A) \7\ of the Act and subparagraph (f)(2) of Rule 19b-
4\8\ thereunder, because it establishes a due, fee, or other charge
imposed by the NYSE Amex.
---------------------------------------------------------------------------
\7\ 15 U.S.C. 78s(b)(3)(A).
\8\ 17 CFR 240.19b-4(f)(2).
---------------------------------------------------------------------------
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:
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-NYSEAmex-2009-77 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-NYSEAmex-2009-77. 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, 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 onlyinformation that you wish to make publicly available. All
submissions should refer to File Number SR-NYSEAmex-2009-77 and should
be submitted on or before November 27, 2009.
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\9\
---------------------------------------------------------------------------
\9\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-26750 Filed 11-5-09; 8:45 am]
BILLING CODE 8011-01-P
