Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Permitting Affiliation with NYFIX Millennium L.L.C. and NYFIX Securities Corporation, 59318-59319 [E9-27500]

Download as PDF 59318 Federal Register / Vol. 74, No. 220 / Tuesday, November 17, 2009 / Notices is considering granting accelerated approval of the proposed rule change at the end of a 21-day comment period. 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–NYSEAmex-2009–81 on the subject line. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.73 Florence E. Harmon, Deputy Secretary. [FR Doc. E9–27502 Filed 11–16–09; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–60968; File No. SR– NYSEAmex–2009–63] Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Permitting Affiliation with NYFIX Millennium L.L.C. and NYFIX Securities Corporation November 9, 2009. I. Introduction On September 22, 2009, NYSE Amex • Send paper comments in triplicate LLC (‘‘NYSE Amex’’ or ‘‘Exchange’’) to Elizabeth M. Murphy, Secretary, filed with the Securities and Exchange Securities and Exchange Commission, Commission (‘‘Commission’’ or ‘‘SEC’’) 100 F Street, NE., Washington, DC a proposed rule change, pursuant to 20549–1090. Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’) 1 and Rule All submissions should refer to File 19b–4 thereunder,2 proposing that the Number SR–NYSEAmex-2009–81. This Exchange be affiliated with two file number should be included on the registered broker-dealer subsidiaries of subject line if e-mail is used. To help the NYFIX, Inc. (‘‘NYFIX’’), NYFIX Commission process and review your Millennium L.L.C. (‘‘NYFIX comments more efficiently, please use Millennium’’) and NYFIX Securities only one method. The Commission will Corporation (‘‘NYFIX Securities’’), for a post all comments on the Commission’s period not to exceed six months and Internet Web site (https://www.sec.gov/ subject to certain limitations and rules/sro.shtml). Copies of the obligations. The proposed rule change submission, all subsequent was published for comment in the amendments, all written statements Federal Register on October 5, 2009.3 with respect to the proposed rule On November 6, 2009, NYSE Amex filed change that are filed with the Amendment No. 1 to the proposed rule Commission, and all written change.4 The Commission received no communications relating to the comments on the proposal. This order proposed rule change between the approves the proposed rule change as Commission and any person, other than modified by Amendment No. 1. those that may be withheld from the II. Overview public in accordance with the provisions of 5 U.S.C. 552, will be On August 26, 2009, NYSE available for inspection and copying in Technologies entered into an Agreement the Commission’s Public Reference and Plan of Merger (‘‘Merger Room, on official business days between Agreement’’) with NYFIX and CBR the hours of 10 a.m. and 3 p.m. Copies Acquisition Corp., a Delaware of the filing also will be available for corporation and a wholly owned inspection and copying at the principal office of the Exchange. All comments 73 17 CFR 200.30–3(a)(12). 1 15 U.S.C. 78s(b)(1). received will be posted without change; 2 17 CFR 240.19b–4. the Commission does not edit personal 3 Securities Exchange Act Release No. 60739 identifying information from (September 29, 2009), 74 FR 51203 (‘‘Notice’’). submissions. You should submit only 4 In Amendment No. 1, the Exchange clarified information that you wish to make that, with respect to the conditions on the available publicly. All submissions Exchange’s affiliation with NYFIX Millennium and NYFIX Securities, references to NYFIX also refer to should refer to File Number SR– its subsidiaries, NYFIX Millennium and NYFIX NYSEAmex-2009–81 and should be Securities. This technical amendment does not submitted on or before December 8, require notice and comment, as it did not materially 2009. affect the substance of the rule filing. mstockstill on DSKH9S0YB1PROD with NOTICES Paper Comments VerDate Nov<24>2008 20:50 Nov 16, 2009 Jkt 220001 PO 00000 Frm 00206 Fmt 4703 Sfmt 4703 subsidiary of NYSE Technologies. Under the terms of the Merger Agreement, CBR Acquisition Corp. will merge with and into NYFIX, with NYFIX surviving the merger as a direct wholly owned subsidiary of NYSE Technologies (‘‘Merger’’). Following the Merger, both the Exchange and NYFIX will be indirect wholly owned subsidiaries of NYSE Euronext. Consequently, NYFIX, and its subsidiaries NYFIX Millennium and NYFIX Securities, will be affiliates of the Exchange. As a result of the Merger, NYSE Technologies will acquire, among other things, NYFIX’s Transaction Services Division. In the U.S., the Transaction Services Division is currently composed of two U.S. registered broker-dealer subsidiaries: NYFIX Millennium, which is also an alternative trading system registered under Regulation ATS under the Act; 5 and, NYFIX Securities. In addition to other services provided by NYFIX Millennium and NYFIX Securities, (1) NYFIX Millennium provides routing of orders that are not matched within the NYFIX Millennium matching system to marketplaces such as exchanges, electronic communication networks, and ATSs, which are not operated by NYFIX; and (2) NYFIX Securities provides direct electronic market access and algorithmic trading products (together, ‘‘Routing Services’’). The Exchange proposes to be affiliated with NYFIX Millennium and NYFIX Securities for a period not to exceed six months and subject to certain terms and conditions that the Exchange believes effectively address concerns regarding the (1) the potential for conflicts of interest where an exchange is affiliated with a broker-dealer conducting an order routing business that may interact with the Exchange itself, and (2) the potential for informational advantages that could place such an affiliated broker-dealer at a competitive advantage in comparison with other non-affiliated broker-dealers. III. Discussion and Commission Findings After careful consideration, the Commission finds that the proposed rule change is consistent with the requirements of the Act and the rules and regulations thereunder applicable to a national securities exchange.6 In particular, the Commission finds that the proposed rule change is consistent 5 17 CFR 242.300–303. approving this proposed rule change, the Commission has considered the proposed rule’s impact on efficiency, competition, and capital formation. See 15 U.S.C. 78c(f). 6 In E:\FR\FM\17NON1.SGM 17NON1 Federal Register / Vol. 74, No. 220 / Tuesday, November 17, 2009 / Notices with Section 6(b)(5) of the Act,7 which requires, among other things, that the rules of a national securities exchange be 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 regulating, clearing, settling, and processing information with respect to, and facilitating transactions in securities; to remove impediments to and perfect the mechanism of a free and open market and a national market system; and, in general, to protect investors and the public interest. In the past, the Commission has expressed concern that the affiliation of an exchange with one of its members raises potential conflicts of interest and the potential for unfair competitive advantage.8 The proposed relationship raises similar concerns in that the Exchange will be affiliated with two broker-dealers that provide Routing Services for orders that may be routed to the Exchange in competition with Exchange members. The Exchange has requested that the Commission approve its proposed affiliation with NYFIX Millennium and NYFIX Securities on a temporary basis, not to exceed six months, subject to certain conditions designed to address such concerns. Specifically, so long as the Exchange is affiliated with NYFIX Millennium or NYFIX Securities and with respect to the Routing Services provided by each: 9 (1) Neither NYFIX Millennium nor NYFIX Securities are members of the Exchange nor will they become members of the Exchange; (2) NYFIX does not offer order routing services other than the Routing Services, and none of the Routing Services will be modified unless such modification is approved by the Commission; (3) NYFIX will not engage in proprietary trading; 7 15 U.S.C. 78f(b)(5≤. e.g., Securities Exchange Act Release Nos. 54170 (July 18, 2006), 71 FR 42149 (July 25, 2006) (SR–NASDAQ–2006–006) (order approving Nasdaq’s proposal to adopt Nasdaq Rule 2140, restricting affiliations between Nasdaq and its members); 53382 (February 27, 2006), 71 FR 11251 (March 6, 2006) (SR–NYSE–2005–77) (order approving combination of NYSE and Archipelago Holdings, Inc.); 58673 (September 29, 2008), 73 FR 57707 (October 3, 2008) (SR–Amex–2008–62) (order approving acquisition of the American Stock Exchange by NYSE Euronext); 59135 (December 22, 2008), 73 FR 79954 (December 30, 2008) (SR–ISE– 2009–85) (order approving the purchase by ISE Holdings of an ownership interest in DirectEdge Holdings LLC); and 59281 (January 22, 2009), 74 FR 5014 (January 28, 2009) (SR–NYSE–2008–120) (order approving a joint venture between NYSE and BIDS Holdings L.P.). 9 For the conditions set forth below, references to NYFIX also refer to its subsidiaries NYFIX Millennium and NYFIX Securities. See Amendment No. 1, supra note 4. mstockstill on DSKH9S0YB1PROD with NOTICES 8 See, VerDate Nov<24>2008 20:50 Nov 16, 2009 Jkt 220001 (4) NYFIX will not accept any new clients for the Routing Services after the Merger; (5) There will continue to be independent functionality of, and full public access to, NYSE facilities; and (6) There will be a complete separation between NYFIX, on the one hand, and the Exchange and its affiliates, on the other (e.g., no shared 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 10 15 PO 00000 U.S.C. 78a. Frm 00207 Fmt 4703 Sfmt 4703 59319 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 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– NYSEAmex—2009–63), 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. E9–27500 Filed 11–16–09; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–60970; File No. SR– NYSEArca–2009–95] Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading of Shares of ETFS Platinum Trust 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 20, 2009, NYSE Arca, Inc. (‘‘NYSE Arca’’ or ‘‘Exchange’’) filed with the 11 See Notice. U.S.C. 78(f)(b)(5). 13 15 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. 12 15 E:\FR\FM\17NON1.SGM 17NON1

Agencies

[Federal Register Volume 74, Number 220 (Tuesday, November 17, 2009)]
[Notices]
[Pages 59318-59319]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-27500]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-60968; File No. SR-NYSEAmex-2009-63]


Self-Regulatory Organizations; NYSE Amex LLC; Order Approving a 
Proposed Rule Change, as Modified by Amendment No. 1 Thereto, 
Permitting Affiliation with NYFIX Millennium L.L.C. and NYFIX 
Securities Corporation

November 9, 2009.

I. Introduction

    On September 22, 2009, NYSE Amex LLC (``NYSE Amex'' 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 NYFIX, Inc. (``NYFIX''), NYFIX 
Millennium L.L.C. (``NYFIX Millennium'') and NYFIX Securities 
Corporation (``NYFIX Securities''), for a period not to exceed six 
months and subject to certain limitations and obligations. The proposed 
rule change was published for comment in the Federal Register on 
October 5, 2009.\3\ On November 6, 2009, NYSE Amex filed Amendment No. 
1 to the proposed rule change.\4\ The Commission received no comments 
on the proposal. This order approves the proposed rule change as 
modified by Amendment No. 1.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ Securities Exchange Act Release No. 60739 (September 29, 
2009), 74 FR 51203 (``Notice'').
    \4\ In Amendment No. 1, the Exchange clarified that, with 
respect to the conditions on the Exchange's affiliation with NYFIX 
Millennium and NYFIX Securities, references to NYFIX also refer to 
its subsidiaries, NYFIX Millennium and NYFIX Securities. This 
technical amendment does not require notice and comment, as it did 
not materially affect the substance of the rule filing.
---------------------------------------------------------------------------

II. Overview

    On August 26, 2009, NYSE Technologies entered into an Agreement and 
Plan of Merger (``Merger Agreement'') with NYFIX and CBR Acquisition 
Corp., a Delaware corporation and a wholly owned subsidiary of NYSE 
Technologies. Under the terms of the Merger Agreement, CBR Acquisition 
Corp. will merge with and into NYFIX, with NYFIX surviving the merger 
as a direct wholly owned subsidiary of NYSE Technologies (``Merger''). 
Following the Merger, both the Exchange and NYFIX will be indirect 
wholly owned subsidiaries of NYSE Euronext. Consequently, NYFIX, and 
its subsidiaries NYFIX Millennium and NYFIX Securities, will be 
affiliates of the Exchange.
    As a result of the Merger, NYSE Technologies will acquire, among 
other things, NYFIX's Transaction Services Division. In the U.S., the 
Transaction Services Division is currently composed of two U.S. 
registered broker-dealer subsidiaries: NYFIX Millennium, which is also 
an alternative trading system registered under Regulation ATS under the 
Act; \5\ and, NYFIX Securities. In addition to other services provided 
by NYFIX Millennium and NYFIX Securities, (1) NYFIX Millennium provides 
routing of orders that are not matched within the NYFIX Millennium 
matching system to marketplaces such as exchanges, electronic 
communication networks, and ATSs, which are not operated by NYFIX; and 
(2) NYFIX Securities provides direct electronic market access and 
algorithmic trading products (together, ``Routing Services'').
---------------------------------------------------------------------------

    \5\ 17 CFR 242.300-303.
---------------------------------------------------------------------------

    The Exchange proposes to be affiliated with NYFIX Millennium and 
NYFIX Securities for a period not to exceed six months and subject to 
certain terms and conditions that the Exchange believes effectively 
address concerns regarding the (1) the potential for conflicts of 
interest where an exchange is affiliated with a broker-dealer 
conducting an order routing business that may interact with the 
Exchange itself, and (2) the potential for informational advantages 
that could place such an affiliated broker-dealer at a competitive 
advantage in comparison with other non-affiliated broker-dealers.

III. Discussion and Commission Findings

    After careful consideration, the Commission finds that the proposed 
rule change is consistent with the requirements of the Act and the 
rules and regulations thereunder applicable to a national securities 
exchange.\6\ In particular, the Commission finds that the proposed rule 
change is consistent

[[Page 59319]]

with Section 6(b)(5) of the Act,\7\ which requires, among other things, 
that the rules of a national securities exchange be 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 regulating, clearing, settling, and processing 
information with respect to, and facilitating transactions in 
securities; to remove impediments to and perfect the mechanism of a 
free and open market and a national market system; and, in general, to 
protect investors and the public interest.
---------------------------------------------------------------------------

    \6\ In approving this proposed rule change, the Commission has 
considered the proposed rule's impact on efficiency, competition, 
and capital formation. See 15 U.S.C. 78c(f).
    \7\ 15 U.S.C. 78f(b)(5>.
---------------------------------------------------------------------------

    In the past, the Commission has expressed concern that the 
affiliation of an exchange with one of its members raises potential 
conflicts of interest and the potential for unfair competitive 
advantage.\8\ The proposed relationship raises similar concerns in that 
the Exchange will be affiliated with two broker-dealers that provide 
Routing Services for orders that may be routed to the Exchange in 
competition with Exchange members. The Exchange has requested that the 
Commission approve its proposed affiliation with NYFIX Millennium and 
NYFIX Securities on a temporary basis, not to exceed six months, 
subject to certain conditions designed to address such concerns.
---------------------------------------------------------------------------

    \8\ See, e.g., Securities Exchange Act Release Nos. 54170 (July 
18, 2006), 71 FR 42149 (July 25, 2006) (SR-NASDAQ-2006-006) (order 
approving Nasdaq's proposal to adopt Nasdaq Rule 2140, restricting 
affiliations between Nasdaq and its members); 53382 (February 27, 
2006), 71 FR 11251 (March 6, 2006) (SR-NYSE-2005-77) (order 
approving combination of NYSE and Archipelago Holdings, Inc.); 58673 
(September 29, 2008), 73 FR 57707 (October 3, 2008) (SR-Amex-2008-
62) (order approving acquisition of the American Stock Exchange by 
NYSE Euronext); 59135 (December 22, 2008), 73 FR 79954 (December 30, 
2008) (SR-ISE-2009-85) (order approving the purchase by ISE Holdings 
of an ownership interest in DirectEdge Holdings LLC); and 59281 
(January 22, 2009), 74 FR 5014 (January 28, 2009) (SR-NYSE-2008-120) 
(order approving a joint venture between NYSE and BIDS Holdings 
L.P.).
---------------------------------------------------------------------------

    Specifically, so long as the Exchange is affiliated with NYFIX 
Millennium or NYFIX Securities and with respect to the Routing Services 
provided by each: \9\
---------------------------------------------------------------------------

    \9\ For the conditions set forth below, references to NYFIX also 
refer to its subsidiaries NYFIX Millennium and NYFIX Securities. See 
Amendment No. 1, supra note 4.
---------------------------------------------------------------------------

    (1) Neither NYFIX Millennium nor NYFIX Securities are members of 
the Exchange nor will they become members of the Exchange;
    (2) NYFIX does not offer order routing services other than the 
Routing Services, and none of the Routing Services will be modified 
unless such modification is approved by the Commission;
    (3) NYFIX will not engage in proprietary trading;
    (4) NYFIX will not accept any new clients for the Routing Services 
after the Merger;
    (5) There will continue to be independent functionality of, and 
full public access to, NYSE facilities; and
    (6) There will be a complete separation between NYFIX, on the one 
hand, and the Exchange and its affiliates, on the other (e.g., no 
shared 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\
---------------------------------------------------------------------------

    \10\ 15 U.S.C. 78a.
---------------------------------------------------------------------------

    (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\
---------------------------------------------------------------------------

    \11\ See Notice.
---------------------------------------------------------------------------

    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 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.
---------------------------------------------------------------------------

    \12\ 15 U.S.C. 78(f)(b)(5).
---------------------------------------------------------------------------

IV. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the 
Act,\13\ that the proposed rule change (SR-NYSEAmex--2009-63), as 
amended, is hereby approved.
---------------------------------------------------------------------------

    \13\ 15 U.S.C. 78s(b)(2).

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\14\
---------------------------------------------------------------------------

    \14\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-27500 Filed 11-16-09; 8:45 am]
BILLING CODE 8011-01-P
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