Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No.1, To Add Seventy-Five Options Classes to the Penny Pilot Program, 59331-59333 [E9-27470]
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mstockstill on DSKH9S0YB1PROD with NOTICES
Federal Register / Vol. 74, No. 220 / Tuesday, November 17, 2009 / Notices
office space, no shared employees, no
shared systems).
The Exchange may furnish to NYFIX
the same information on the same terms
that the Exchange makes available in the
normal course of business to any other
person. Specifically:
(a) NYFIX must not be provided an
information advantage concerning the
operation of the Exchange or any of its
facilities, particularly regarding changes
and improvements to the trading
systems, that are not available to the
industry generally.
(b) NYFIX will be prevented from
having any advance knowledge of
proposed changes or modifications to
the operations of the Exchange or its
facilities, including but not limited to
advance knowledge of related filings by
the Exchange pursuant to Rule 19b–4 of
the of the Act.10
(c) NYFIX will not share employees or
databases with the Exchange, any
facility of the Exchange, or any other
affiliate of the Exchange or their
facilities, and will be housed in a
separate office.
(d) NYFIX will only be notified of any
changes or improvements to any of the
Exchange’s operations or trading
facilities in the same manner that other
persons are notified of such changes or
improvements;
(e) NYFIX will not disclose any
system or design specifications, or any
other information, to any employees of
the Exchange, any facility of the
Exchange, or any other affiliate of the
Exchange or their facilities that would
give NYFIX an unfair advantage over its
competitors.
(f) None of the Exchange, any facility
of the Exchange, or any other affiliate of
the Exchange or their facilities will
disclose any system or design
specifications, or any other information,
to any employees of NYFIX or any
affiliate of NYFIX that would give the
Exchange, any other facility of the
Exchange, any other affiliate of the
Exchange, or NYFIX an unfair advantage
over its competitors.
The Commission also notes that each
of NYFIX Millenium and NYFIX
Securities has the Financial Industry
Regulatory Authority (‘‘FINRA’’), an
unaffiliated self-regulatory organization
(‘‘SRO’’), as its designated examining
authority and neither broker-dealer is a
member of the Exchange.11
The Commission finds that the
temporary proposed affiliation between
the Exchange and NYFIX Millennium
and NYFIX Securities, pursuant to the
proposed terms and conditions, is
10 15
U.S.C. 78a.
Notice.
11 See
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20:50 Nov 16, 2009
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consistent with the Act, particularly
Section 6(b)(5) thereunder.12 The
Commission continues to be concerned
about potential unfair competition and
conflicts of interest when an exchange,
or one of its affiliates, is the parent
company of a broker-dealer that
provides Routing Services that may be
in competition with services provided
by members of that exchange. The
Commission believes, however, that the
temporary nature of the affiliation,
together with the proposed terms and
conditions, are reasonably designed to
mitigate concern about potential unfair
competition and conflicts of interest
between the commercial interests of the
Exchange or its affiliates, and the
Exchange’s regulatory responsibilities.
IV. Conclusion
It is therefore ordered, pursuant to
Section 19(b)(2) of the Act,13 that the
proposed rule change (SR–NYSEArca–
2009–84), as amended, is hereby
approved.
For the Commission, by the Division
of Trading and Markets, pursuant to
delegated authority.14
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–27469 Filed 11–16–09; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–60966; File No. SR–Phlx–
2009–94]
Self-Regulatory Organizations;
NASDAQ OMX PHLX, Inc.; Notice of
Filing and Immediate Effectiveness of
a Proposed Rule Change, as Modified
by Amendment No.1, To Add SeventyFive Options Classes to the Penny
Pilot Program
November 9, 2009.
Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934
(‘‘Act’’),1 and Rule 19b–4 thereunder,2
notice is hereby given that on October
28, 2009, NASDAQ OMX PHLX, Inc.
(‘‘Phlx’’ or ‘‘Exchange’’) filed with the
Securities and Exchange Commission
(‘‘SEC’’ or ‘‘Commission’’) the proposed
rule change as described in Items I, II
and III below, which Items have been
prepared by the Exchange. Phlx filed
Amendment No. 1 to the proposal on
12 15
U.S.C. 78(f)(b)(5).
U.S.C. 78s(b)(2).
14 17 CFR 200.30–3(a)(12).
1 15 U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.
13 15
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Sfmt 4703
59331
November 5, 2009.3 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 is filing with the
Commission a proposal to designate
seventy-five options classes to be added
to the Penny Pilot in options classes in
certain issues (‘‘Penny Pilot’’ or ‘‘Pilot’’)
on November 2, 2009.4 The Exchange is
not proposing to amend any rule text,
but simply administering or enforcing
an existing rule.5
The text of the proposed rule change
is available on the Exchange’s Web site
at https://
nasdaqomxphlx.cchwallstreet.com, at
the principal office of the Exchange, 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
Exchange 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 these
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 aspects of such
statements.
A. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
1. Purpose
The purpose of this filing is to
identify the next seventy-five options
classes to be added to the Penny Pilot
effective November 2, 2009.
In the Exchange’s immediately
effective filing to extend and expand the
Penny Pilot through December 31,
3 In Amendment No. 1, Phlx proposed to correct
a technical error in Section III. The change has no
effect on the substance of the proposed rule change.
4 The Penny Pilot was established in January 2007
and in October 2009 was expanded and extended
through December 31, 2010. See Securities
Exchange Act Release Nos. 55153 (January 23,
2007), 72 FR 4553 (January 31, 2007) (SR–Phlx–
2006–74) (notice of filing and approval order
establishing Penny Pilot); and 60873 (October 23,
2009) (SR–Phlx–2009–91) (notice of filing and
immediate effectiveness expanding and extending
Penny Pilot).
5 See Rule 1034 regarding the Penny Pilot.
E:\FR\FM\17NON1.SGM
17NON1
59332
Federal Register / Vol. 74, No. 220 / Tuesday, November 17, 2009 / Notices
2010,6 the Exchange proposed
expanding the Pilot four times on a
quarterly basis. Each such quarterly
expansion would be of the next seventyfive most actively traded multiply listed
options classes based on the national
average daily volume (‘‘ADV’’) for the
six months prior to selection, closing
under $200 per share on the Expiration
Friday prior to expansion; however, the
month immediately preceding the
addition of options to the Penny Pilot
will not be used for the purpose of the
six month analysis. Index option
products would be included in the
quarterly expansions if the underlying
index levels were under 200.
The Exchange is identifying, in the
chart below, seventy-five options classes
that it will add to the Penny Pilot on
November 2, 2009, based on ADVs from
April 1, 2009, through September 30,
2009.
mstockstill on DSKH9S0YB1PROD with NOTICES
Nat’l ranking
Symbol
Company name
118 .................................................................
48 ...................................................................
134 .................................................................
93 ...................................................................
115 .................................................................
111 .................................................................
94 ...................................................................
67 ...................................................................
58 ...................................................................
78 ...................................................................
68 ...................................................................
130 .................................................................
104 .................................................................
49 ...................................................................
88 ...................................................................
64 ...................................................................
32 ...................................................................
25 ...................................................................
33 ...................................................................
120 .................................................................
35 ...................................................................
73 ...................................................................
99 ...................................................................
121 .................................................................
80 ...................................................................
61 ...................................................................
37 ...................................................................
85 ...................................................................
41 ...................................................................
74 ...................................................................
124 .................................................................
132 .................................................................
103 .................................................................
83 ...................................................................
122 .................................................................
107 .................................................................
91 ...................................................................
84 ...................................................................
112 .................................................................
70 ...................................................................
26 ...................................................................
82 ...................................................................
127 .................................................................
18 ...................................................................
129 .................................................................
62 ...................................................................
72 ...................................................................
59 ...................................................................
45 ...................................................................
105 .................................................................
131 .................................................................
98 ...................................................................
39 ...................................................................
87 ...................................................................
71 ...................................................................
113 .................................................................
63 ...................................................................
119 .................................................................
101 .................................................................
125 .................................................................
ABX ................................................................
AXP ................................................................
AUY ................................................................
BA ..................................................................
BBT ................................................................
BBY ................................................................
BP ..................................................................
CHK ................................................................
CIT .................................................................
COF ................................................................
CVX ................................................................
DE ..................................................................
DOW ..............................................................
DRYS .............................................................
EFA ................................................................
ETFC ..............................................................
EWZ ...............................................................
FAS ................................................................
FAZ ................................................................
MRK ...............................................................
MS ..................................................................
NLY ................................................................
NOK ...............................................................
NVDA .............................................................
ORCL .............................................................
PALM .............................................................
PBR ................................................................
PG ..................................................................
POT ................................................................
RF ..................................................................
RIG .................................................................
RMBS .............................................................
S .....................................................................
SDS ................................................................
SKF ................................................................
SLB ................................................................
SLV ................................................................
SRS ................................................................
FITB ...............................................................
FSLR ..............................................................
FXI ..................................................................
GDX ...............................................................
GG ..................................................................
GLD ................................................................
HGSI ..............................................................
HIG .................................................................
HPQ ...............................................................
IBM .................................................................
IYR .................................................................
JNJ .................................................................
JNPR ..............................................................
KO ..................................................................
LVS ................................................................
MCD ...............................................................
MGM ..............................................................
MON ...............................................................
MOS ...............................................................
SSO ................................................................
STI ..................................................................
SVNT ..............................................................
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.
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.
Pro Shares Ultra Short Real Estate.
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 U.S. 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.
ProShares Ultra S&P500.
SunTrust Banks Inc.
Savient Pharmaceuticals Inc.
6 See Securities Exchange Act Release No. 60873
(October 23, 2009) (SR–Phlx–2009–91) (notice of
filing and immediate effectiveness).
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Federal Register / Vol. 74, No. 220 / Tuesday, November 17, 2009 / Notices
Nat’l ranking
Symbol
92 ...................................................................
14 ...................................................................
117 .................................................................
110 .................................................................
81 ...................................................................
44 ...................................................................
60 ...................................................................
96 ...................................................................
10 ...................................................................
133 .................................................................
52 ...................................................................
114 .................................................................
86 ...................................................................
79 ...................................................................
54 ...................................................................
TBT ................................................................
UNG ...............................................................
UNH ...............................................................
UPS ................................................................
USB ................................................................
USO ...............................................................
UYG ...............................................................
V .....................................................................
WFC ...............................................................
WYNN ............................................................
X .....................................................................
XHB ................................................................
XLI ..................................................................
XLU ................................................................
XRT ................................................................
2. Statutory Basis
The Exchange believes that its
proposal is consistent with Section 6(b)
of the Act 7 in general, and furthers the
objectives of Section 6(b)(5) of the Act 8
in particular, in that it is designed to
prevent fraudulent and manipulative
acts and practices, to promote just and
equitable principles of trade, to foster
cooperation and coordination with
persons engaged in facilitating
transactions in securities, and to remove
impediments to and perfect the
mechanisms of a free and open market
and a national market system, by
identifying the options classes to be
added to the Penny 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 either
solicited or received.
mstockstill on DSKH9S0YB1PROD with NOTICES
III. Date of Effectiveness of the
Proposed Rule Change and Timing for
Commission Action
Pursuant to Section 19(b)(3)(A)(i) of
the Act 9 and Rule 19b–4(f)(1)
thereunder,10 the Exchange has
designated this proposal as one
constituting a stated policy, practice, or
interpretation with respect to the
7 15
U.S.C. 78f(b).
U.S.C. 78f(b)(5).
9 15 U.S.C. 78s(b)(3)(A)(i).
10 17 CFR 240.19b–4(f)(1).
8 15
VerDate Nov<24>2008
20:50 Nov 16, 2009
Jkt 220001
Company name
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.
meaning, administration, or
enforcement of an existing rule.
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 rulecomments@sec.gov. Please include File
Number SR–Phlx–2009–94 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–Phlx–2009–94. 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
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59333
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, 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 available publicly. All
submissions should refer to File No.
SR–Phlx–2009–94 and should be
submitted on or before December 8,
2009.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.11
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–27470 Filed 11–16–09; 8:45 am]
BILLING CODE 8011–01–P
11 17
E:\FR\FM\17NON1.SGM
CFR 200.30–3(a)(12).
17NON1
]]>Agencies
[Federal Register Volume 74, Number 220 (Tuesday, November 17, 2009)]
[Notices]
[Pages 59331-59333]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-27470]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-60966; File No. SR-Phlx-2009-94]
Self-Regulatory Organizations; NASDAQ OMX PHLX, Inc.; Notice of
Filing and Immediate Effectiveness of a Proposed Rule Change, as
Modified by Amendment No.1, To Add Seventy-Five Options Classes to the
Penny Pilot Program
November 9, 2009.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on October 28, 2009, NASDAQ OMX PHLX, Inc. (``Phlx'' or ``Exchange'')
filed with the Securities and Exchange Commission (``SEC'' or
``Commission'') the proposed rule change as described in Items I, II
and III below, which Items have been prepared by the Exchange. Phlx
filed Amendment No. 1 to the proposal on November 5, 2009.\3\ 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\ 17 CFR 240.19b-4.
\3\ In Amendment No. 1, Phlx proposed to correct a technical
error in Section III. The change has no effect on the substance of
the proposed rule change.
---------------------------------------------------------------------------
I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change
The Exchange is filing with the Commission a proposal to designate
seventy-five options classes to be added to the Penny Pilot in options
classes in certain issues (``Penny Pilot'' or ``Pilot'') on November 2,
2009.\4\ The Exchange is not proposing to amend any rule text, but
simply administering or enforcing an existing rule.\5\
---------------------------------------------------------------------------
\4\ The Penny Pilot was established in January 2007 and in
October 2009 was expanded and extended through December 31, 2010.
See Securities Exchange Act Release Nos. 55153 (January 23, 2007),
72 FR 4553 (January 31, 2007) (SR-Phlx-2006-74) (notice of filing
and approval order establishing Penny Pilot); and 60873 (October 23,
2009) (SR-Phlx-2009-91) (notice of filing and immediate
effectiveness expanding and extending Penny Pilot).
\5\ See Rule 1034 regarding the Penny Pilot.
---------------------------------------------------------------------------
The text of the proposed rule change is available on the Exchange's
Web site at https://nasdaqomxphlx.cchwallstreet.com, at the principal
office of the Exchange, 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 Exchange 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 these 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 aspects of such
statements.
A. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change
1. Purpose
The purpose of this filing is to identify the next seventy-five
options classes to be added to the Penny Pilot effective November 2,
2009.
In the Exchange's immediately effective filing to extend and expand
the Penny Pilot through December 31,
[[Page 59332]]
2010,\6\ the Exchange proposed expanding the Pilot four times on a
quarterly basis. Each such quarterly expansion would be of the next
seventy-five most actively traded multiply listed options classes based
on the national average daily volume (``ADV'') for the six months prior
to selection, closing under $200 per share on the Expiration Friday
prior to expansion; however, the month immediately preceding the
addition of options to the Penny Pilot will not be used for the purpose
of the six month analysis. Index option products would be included in
the quarterly expansions if the underlying index levels were under 200.
---------------------------------------------------------------------------
\6\ See Securities Exchange Act Release No. 60873 (October 23,
2009) (SR-Phlx-2009-91) (notice of filing and immediate
effectiveness).
---------------------------------------------------------------------------
The Exchange is identifying, in the chart below, seventy-five
options classes that it will add to the Penny Pilot on November 2,
2009, based on ADVs 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.
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.............. Pro Shares Ultra Short Real Estate.
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 U.S. 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.
119........................... SSO.............. ProShares Ultra S&P500.
101........................... STI.............. SunTrust Banks Inc.
125........................... SVNT............. Savient Pharmaceuticals Inc.
[[Page 59333]]
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 that its proposal is consistent with Section
6(b) of the Act \7\ in general, and furthers the objectives of Section
6(b)(5) of the Act \8\ in particular, in that it is designed to prevent
fraudulent and manipulative acts and practices, to promote just and
equitable principles of trade, to foster cooperation and coordination
with persons engaged in facilitating transactions in securities, and to
remove impediments to and perfect the mechanisms of a free and open
market and a national market system, by identifying the options classes
to be added to the Penny Pilot in a manner consistent with prior
approvals and filings.
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\7\ 15 U.S.C. 78f(b).
\8\ 15 U.S.C. 78f(b)(5).
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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 either solicited or received.
III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action
Pursuant to Section 19(b)(3)(A)(i) of the Act \9\ and Rule 19b-
4(f)(1) thereunder,\10\ the Exchange has designated this proposal as
one constituting a stated policy, practice, or interpretation with
respect to the meaning, administration, or enforcement of an existing
rule.
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\9\ 15 U.S.C. 78s(b)(3)(A)(i).
\10\ 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.
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-Phlx-2009-94 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-Phlx-2009-94. 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 only information that you wish to make available publicly. All
submissions should refer to File No. SR-Phlx-2009-94 and should be
submitted on or before December 8, 2009.
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\11\
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\11\ 17 CFR 200.30-3(a)(12).
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Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-27470 Filed 11-16-09; 8:45 am]
BILLING CODE 8011-01-P
