Self-Regulatory Organizations; The NASDAQ Stock Market LLC; 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, 59292-59294 [E9-27499]
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59292
Federal Register / Vol. 74, No. 220 / Tuesday, November 17, 2009 / Notices
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
Within 35 days of the date of
publication of this notice in the Federal
Register or within such longer period (i)
as the Commission may designate up to
90 days of such date if it finds such
longer period to be appropriate and
publishes its reasons for so finding or
(ii) as to which the self-regulatory
organization consents, the Commission
will:
(A) By order approve the proposed
rule change, or
(B) Institute proceedings to determine
whether the proposed rule change
should be disapproved.
IV. Solicitation of Comments
Interested persons are invited to
submit written data, views, and
arguments concerning the foregoing,
including whether the proposed rule
change is consistent with the Act.
Comments may be submitted by any of
the following methods:
mstockstill on DSKH9S0YB1PROD with NOTICES
Electronic Comments
• Use the Commission’s Internet
comment form (https://www.sec.gov/
rules/sro.shtml); or
• Send an e-mail to rulecomments@sec.gov. Please include File
Number SR–NYSEArca–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–NYSEArca–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
VerDate Nov<24>2008
20:50 Nov 16, 2009
Jkt 220001
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 the 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
Number SR–NYSEArca–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.30
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–27494 Filed 11–16–09; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–60965; File No. SR–
NASDAQ–2009–097]
Self-Regulatory Organizations; The
NASDAQ Stock Market LLC; 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, The NASDAQ Stock Market
LLC (‘‘Nasdaq’’) 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 Nasdaq. Nasdaq filed Amendment
No. 1 to the proposal on November 5,
2009.3 The Commission is publishing
30 17
CFR 200.30–3(a)(12).
U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.
3 In Amendment No. 1, Nasdaq proposed to
correct a technical error in Section III. The change
has no effect on the substance of the proposed rule
change.
1 15
PO 00000
Frm 00180
Fmt 4703
Sfmt 4703
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
Nasdaq is filing with the Securities
and Exchange Commission (‘‘SEC’’ or
‘‘Commission’’) a proposal for the
NASDAQ Options Market (‘‘NOM’’ or
‘‘Exchange’’) 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 from Nasdaq’s Web site at
https://nasdaq.cchwallstreet.com, at
Nasdaq’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,
Nasdaq 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. Nasdaq 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,
2010,6 the Exchange proposed
expanding the Pilot four times on a
4 The Penny Pilot was established in March 2008
and in October 2009 was expanded and extended
through December 31, 2010. See Securities
Exchange Act Release Nos. 57579 (March 28, 2008),
73 FR 18587 (April 4, 2008) (SR–NASDAQ–2008–
026) (notice of filing and immediate effectiveness
establishing Penny Pilot); and 60874 (October 23,
2009) (SR–NASDAQ–2009–091) (notice of filing
and immediate effectiveness expanding and
extending Penny Pilot).
5 See Chapter VI, Section 5 regarding the Penny
Pilot.
6 See Securities Exchange Act Release No. 60874
(October 23, 2009) (SR–NASDAQ–2009–091)
(notice of filing and immediate effectiveness).
E:\FR\FM\17NON1.SGM
17NON1
Federal Register / Vol. 74, No. 220 / Tuesday, November 17, 2009 / Notices
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.
mstockstill on DSKH9S0YB1PROD 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 ..............................................
101 ..............................................
125 ..............................................
92 ................................................
14 ................................................
117 ..............................................
110 ..............................................
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 ...............................
STI .................................
SVNT .............................
TBT ................................
UNG ..............................
UNH ...............................
UPS ...............................
VerDate Nov<24>2008
20:50 Nov 16, 2009
Jkt 220001
PO 00000
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.
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
SunTrust Banks Inc
Savient Pharmaceuticals Inc
ProShares UltraShort 20+ Year Treasury
United States Natural Gas Fund LP
UnitedHealth Group Inc
United Parcel Service Inc
Frm 00181
Fmt 4703
Sfmt 4703
59293
E:\FR\FM\17NON1.SGM
17NON1
59294
Federal Register / Vol. 74, No. 220 / Tuesday, November 17, 2009 / Notices
Nat’l ranking
Symbol
81 ................................................
44 ................................................
60 ................................................
96 ................................................
10 ................................................
133 ..............................................
52 ................................................
114 ..............................................
86 ................................................
79 ................................................
54 ................................................
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
Nasdaq 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.
mstockstill on DSKH9S0YB1PROD with NOTICES
C. Self-Regulatory Organization’s
Statement on Comments on the
Proposed Rule Change Received From
Members, Participants or Others
Written comments were neither
solicited nor received.
III. Date of Effectiveness of the
Proposed Rule Change and Timing for
Commission Action
Pursuant to Section 19(b)(3)(A)(i) of
the Act 9 and Rule 19b–4(f)(1)
thereunder,10 NASDAQ 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.
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
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 C.F.R. 240.19b–4(f)(1).
8 15
VerDate Nov<24>2008
20:50 Nov 16, 2009
Jkt 220001
Company name
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 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–NASDAQ–2009–097 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–NASDAQ–2009–097. 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,
PO 00000
Frm 00182
Fmt 4703
Sfmt 4703
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–NASDAQ–2009–097 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. E9–27499 Filed 11–16–09; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–60969; File No. SR–NYSE–
2009–96]
Self-Regulatory Organizations; New
York Stock Exchange LLC; Order
Approving a Proposed Rule Change,
as Modified by Amendment No. 2
Thereto, Permitting Affiliation With
NYFIX Millennium LLC and NYFIX
Securities Corporation
November 9, 2009.
I. Introduction
On September 22, 2009, the New York
Stock Exchange LLC (‘‘NYSE’’ or
‘‘Exchange’’) filed with the Securities
and Exchange Commission
(‘‘Commission’’ or ‘‘SEC’’) a proposed
rule change, pursuant to Section
19(b)(1) of the Securities Exchange Act
of 1934 (‘‘Act’’) 1 and Rule 19b–4
thereunder,2 proposing that the
Exchange be affiliated with two
registered broker-dealer subsidiaries of
11 17
CFR 200.30–3(a)(12).
U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.
1 15
E:\FR\FM\17NON1.SGM
17NON1
]]>Agencies
[Federal Register Volume 74, Number 220 (Tuesday, November 17, 2009)]
[Notices]
[Pages 59292-59294]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-27499]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-60965; File No. SR-NASDAQ-2009-097]
Self-Regulatory Organizations; The NASDAQ Stock Market LLC;
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, The NASDAQ Stock Market LLC (``Nasdaq'') 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 Nasdaq. Nasdaq 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, Nasdaq 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
Nasdaq is filing with the Securities and Exchange Commission
(``SEC'' or ``Commission'') a proposal for the NASDAQ Options Market
(``NOM'' or ``Exchange'') 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 March 2008 and in October
2009 was expanded and extended through December 31, 2010. See
Securities Exchange Act Release Nos. 57579 (March 28, 2008), 73 FR
18587 (April 4, 2008) (SR-NASDAQ-2008-026) (notice of filing and
immediate effectiveness establishing Penny Pilot); and 60874
(October 23, 2009) (SR-NASDAQ-2009-091) (notice of filing and
immediate effectiveness expanding and extending Penny Pilot).
\5\ See Chapter VI, Section 5 regarding the Penny Pilot.
---------------------------------------------------------------------------
The text of the proposed rule change is available from Nasdaq's Web
site at https://nasdaq.cchwallstreet.com, at Nasdaq'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, Nasdaq 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. Nasdaq 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, 2010,\6\ the Exchange proposed
expanding the Pilot four times on a
[[Page 59293]]
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. 60874 (October 23,
2009) (SR-NASDAQ-2009-091) (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
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
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
[[Page 59294]]
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
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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
Nasdaq 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
Written comments were neither solicited nor 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\ NASDAQ 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 C.F.R. 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-NASDAQ-2009-097 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-NASDAQ-2009-097. 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-NASDAQ-2009-097 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. E9-27499 Filed 11-16-09; 8:45 am]
BILLING CODE 8011-01-P
