Consolidated Tape Association; Notice of Filing of the Thirteenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan and Seventh Charges Amendment to the Restated Consolidated Quotation Plan, 59999-60001 [E9-27745]

Download as PDF Federal Register / Vol. 74, No. 222 / Thursday, November 19, 2009 / Notices II. Board’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the Board included statements concerning the purpose of, and basis for, the proposed rule. The text of these statements may be examined at the places specified in Item IV below. The Board has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of such statements. erowe on DSK5CLS3C1PROD with NOTICES A. Board’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change (a) Purpose In the Board’s filings under Rule 19b– 4 seeking Commission approval of the proposed rules and form instructions identified in Section I above (PCAOB– 2008–04 (June 17, 2008) and PCAOB– 2008–05 (August 4, 2008)), the Board stated that those proposed rules and form instructions would take effect 60 days after Commission approval. The Commission approved those rules and form instructions in Commission Release Nos. 34–60496 and 34–60497 on August 13, 2009. Accordingly, the rules and form instructions were to take effect on October 12, 2009. On the date that the rules and form instructions take effect, deadlines will begin to run for registered firms to report certain information to the Board by filing prescribed forms electronically through the Board’s Web-based system for processing and publishing those forms. Because of technical issues related to deploying that Web-based system, it now appears that the system will not be sufficiently operational by October 12, 2009 to allow the filing of such forms by registered firms. Accordingly, the Board is delaying the effective date of the rules and form instructions to December 31, 2009 to permit time to resolve the technical issues and deploy the system. The change in the effective date will have no impact on the timing of the first annual reports on Form 2 that will be required of registered firms pursuant to Rule 2200. Those reports will continue to be due by June 30, 2010, for the twelve-month period ending March 31, 2010, just as they would have been if the rules took effect on October 12, 2009. Similarly, the first annual fee due from firms pursuant to Rule 2202 will continue to be due by July 31, 2010, just as it would have been if the rules took effect on October 12, 2009. Changing the effective date will, however, postpone to December 31, 2009 the onset of the obligation for VerDate Nov<24>2008 15:22 Nov 18, 2009 Jkt 220001 registered firms to file special reports on Form 3 to report certain events that occur, and will similarly postpone the option of submitting a Form 4 to succeed to the registration status of a predecessor firm. (b) Statutory Basis The statutory basis for the proposed rule is Title I of the Act. B. Board’s Statement on Burden on Competition The Board does not believe that the proposed rules will result in any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. C. Board’s Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others The Board did not solicit or receive written comments on the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action The foregoing rule change has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange of 1934 (as incorporated, by reference, into Section 107(b)(4) of the Act) and Rule 19b– 4(f)(1) thereunder. 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 is consistent with the requirements of Title I of 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/pcaob.shtml); or • Send an e-mail to rulecomments@sec.gov. Please include File Number PCAOB 2009–03 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. PO 00000 Frm 00042 Fmt 4703 Sfmt 4703 59999 All submissions should refer to File Number PCAOB 2009–03. 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/pcaob/shtml). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule that are filed with the Commission, and all written communications relating to the proposed rule 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, on official business days between the hours of 10 a.m. and 3 p.m. Copies of such filing will also be available for inspection and copying at the principal office of the PCAOB. All comments received will be posted without change; we do 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. PCAOB–2009–03 and should be submitted on or before December 10, 2009. By the Commission. Elizabeth M. Murphy, Secretary. [FR Doc. E9–27738 Filed 11–18–09; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–60985; File No. SR–CTA/ CQ–2009–02] Consolidated Tape Association; Notice of Filing of the Thirteenth Charges Amendment to the Second Restatement of the Consolidated Tape Association Plan and Seventh Charges Amendment to the Restated Consolidated Quotation Plan November 10, 2009. Pursuant to Section 11A of the Securities Exchange Act of 1934 (‘‘Act’’),1 and Rule 608 thereunder,2 notice is hereby given that on October 19, 2009,3 the Consolidated Tape 1 15 U.S.C. 78k–1. CFR 242.608. 3 On November 6, 2009, the Consolidated Tape Association sent a letter correcting the number of the proposed amendment. 2 17 E:\FR\FM\19NON1.SGM 19NON1 60000 Federal Register / Vol. 74, No. 222 / Thursday, November 19, 2009 / Notices Association (‘‘CTA’’) Plan and Consolidated Quotation (‘‘CQ’’) Plan participants (‘‘Participants’’) 4 filed with the Securities and Exchange Commission (‘‘Commission’’) a proposal to amend the Second Restatement of the CTA Plan and Restated CQ Plan (collectively, the ‘‘Plans’’).5 The proposal represents the thirteenth charges amendment to the CTA Plan (‘‘Thirteenth Charges Amendment’’) and the seventh charges amendment to the CQ Plan (‘‘Seventh Charges Amendment’’), and reflects changes unanimously adopted by the Participants. The Thirteenth Charges Amendment to the CTA Plan and the Seventh Charges Amendment to the CQ Plan (‘‘Amendments’’) would: (1) Delete all program classification charges from the schedules of Network A and Network B computer input charges; and (2) replace the current combined Network A/Network B high speed line access charges with separate high speed line access charges for Network A and Network B. The Commission is publishing this notice to solicit comments from interested persons on the proposed Amendments. I. Rule 608(a) A. Description and Purpose of the Amendments erowe on DSK5CLS3C1PROD with NOTICES The Plans currently divide the different means of using market data into eight program classifications. The program classification fees payable by vendors and end-users depend on the category of use the vendor or end-user makes of the data and whether the vendor or end-user is using Network A market data or Network B market data, or both. Through the Amendments, the Participants propose to eliminate 4 Each participant executed the proposed amendment. The Participants are: BATS Exchange, Inc.; Chicago Board Options Exchange, Inc.; Chicago Stock Exchange, Inc.; Financial Industry Regulatory Authority, Inc.; International Securities Exchange, LLC; NASDAQ OMX BX, Inc.; NASDAQ OMX PHLX, Inc.; The NASDAQ Stock Market LLC; National Stock Exchange, Inc.; New York Stock Exchange LLC; NYSE Amex LLC; and NYSE Arca, Inc. 5 See Securities Exchange Act Release Nos. 10787 (May 10, 1974), 39 FR 17799 (declaring the CTA Plan effective); 15009 (July 28, 1978), 43 FR 34851 (August 7, 1978) (temporarily authorizing the CQ Plan); and 16518 (January 22, 1980), 45 FR 6521 (permanently authorizing the CQ Plan). The most recent restatement of both Plans was in 1995. The CTA Plan, pursuant to which markets collect and disseminate last sale price information for nonNASDAQ listed securities, is a ‘‘transaction reporting plan’’ under Rule 601 under the Act, 17 CFR 242.601, and a ‘‘national market system plan’’ under Rule 608 under the Act, 17 CFR 242.608. The CQ Plan, pursuant to which markets collect and disseminate bid/ask quotation information for listed securities, is also a ‘‘national market system plan’’ under Rule 608 under the Act, 17 CFR 242.608. VerDate Nov<24>2008 15:22 Nov 18, 2009 Jkt 220001 program classification charges and set separate fees for the receipt of Network A market data and Network B market data. Over time, new technologies and new and innovative notions on how to use market data have made it increasingly difficult to place data uses into the existing program classifications in a manner that is consistent and equitable for all. The Participants have come to believe that it is inherently more equitable for them to charge vendors and end-users for the method of access to the data and the quantity of usage, rather than for the specific purposes (i.e., by program classification) to which vendors and end-users put market data. The Participants believe that eliminating the manner-of-data-usage charges will modernize the CTA and CQ fee schedules and allow all vendors and users to use data as they see fit, without having to worry about whether a new usage would subject them to a new program classification fee. The elimination of program classification charges means that vendors will no longer need to provide detailed explanations of how they use the data or to update Exhibit A to their agreements with the Participants each time they put data to a new use. Additionally, the Participants propose to revise the access fees by setting separate fees for the receipt of Network A market data and Network B market data. Therefore, if a vendor or end-user wishes to receive Network A last sale prices (or quotation information), but not Network B last sale prices (or quotation information), the vendor or end-user would now be allowed it to pay only for Network A last sale prices, without also having to pay for Network B last sale prices and vice versa. In addition to establishing separate access fees for Network A and Network B, it is the intention of the Participants to set the new access fees at levels that will offset the revenues that the Participants anticipate they will lose as a result of eliminating the program classification fees. The Participants’ goal is to eliminate the program classification fees and reset access fees in a revenue-neutral manner and simplify and modernize the fee schedule while offering vendors and end-users greater choice and flexibility in the receipt and use of market data. The text of the proposed Amendments is available on the CTA’s Web site (https://www.nysedata.com/cta), at the principal office of the CTA, and at the Commission’s Public Reference Room. PO 00000 Frm 00043 Fmt 4703 Sfmt 4703 B. Additional Information Required by Rule 608(a) 1. Governing or Constituent Documents Not applicable. 2. Implementation of the Amendments The Participants have manifested their approval of the proposed amendments to the CTA and CQ rate schedule by means of their execution of the Amendments. The Participants propose to make the rate changes effective for calendar year 2010. 3. Development and Implementation Phases See Item I(B)(2) above. 4. Analysis of Impact on Competition The amendment will impose no burden on competition. 5. Written Understanding or Agreements relating to Interpretation of, or Participation in, Plan The Participants have no written understandings or agreements relating to interpretation of the CTA Plan and CQ Plan as a result of the Amendments. 6. Approval by Sponsors in Accordance With Plan In accordance with Section XII(b)(iii) of the CTA Plan and Section IX(b)(iii) of the CQ Plan, each of the Participants has approved the rate changes. 7. Description of Operation of Facility Contemplated by the Proposed Amendment a. Terms and Conditions of Access See Item I(A) above. b. Method of Determination and Imposition, and Amount of, Fees and Charges See Item I(A) above. c. Method of Frequency of Processor Evaluation Not applicable. d. Dispute Resolution Not applicable. II. Rule 601(a) A. Equity Securities for Which Transaction Reports Shall Be Required by the Plan Not applicable. B. Reporting Requirements Not applicable. C. Manner of Collecting, Processing, Sequencing, Making Available and Disseminating Last Sale Information Not applicable. D. Manner of Consolidation Not applicable. E:\FR\FM\19NON1.SGM 19NON1 Federal Register / Vol. 74, No. 222 / Thursday, November 19, 2009 / Notices between the hours of 10 a.m. and 3 p.m. Copies of the Amendments also will be available for inspection and copying at the principal office of the CTA. 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–CTA/CQ–2009–02 and should be submitted on or before December 10, 2009. E. Standards and Methods Ensuring Promptness, Accuracy and Completeness of Transaction Reports Not applicable. F. Rules and Procedures Addressed to Fraudulent or Manipulative Dissemination Not applicable. G. Terms of Access to Transaction Reports See Item I(A) above. H. Identification of Marketplace Execution Not applicable. III. Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed Thirteenth Charges Amendment to the CTA Plan and the Seventh Charges Amendment to the CQ Plan are consistent with the Act. Comments may be submitted by any of the following methods: erowe on DSK5CLS3C1PROD 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–CTA/CQ–2009–02 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–CTA/CQ–2009–02. 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 Amendments that are filed with the Commission, and all written communications relating to the Amendments 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 VerDate Nov<24>2008 15:22 Nov 18, 2009 Jkt 220001 For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.6 Florence E. Harmon, Deputy Secretary. [FR Doc. E9–27745 Filed 11–18–09; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [File No. 500–1] In the Matter of: Apponline.Com, Inc.; Condor Gold Corp.; EPL Technologies, Inc.; General Credit Corp.; Integra, Inc.; Integrated Health Services, Inc.; Log On America, Inc.; Matlack Systems, Inc.; Pixtech, Inc.; and Virtual Communities, Inc.; Order of Suspension of Trading November 17, 2009. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Apponline.Com, Inc. because it has not filed any periodic reports since the period ended March 31, 2000. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Condor Gold Corp. because it has not filed any periodic reports since the period ended August 31, 2002. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of EPL Technologies, Inc. because it has not filed any periodic reports since the period ended September 30, 2001. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of General Credit Corp. because it has not filed any periodic reports since the period ended September 30, 2001. It appears to the Securities and Exchange Commission that there is a 6 17 PO 00000 lack of current and accurate information concerning the securities of Integra, Inc. because it has not filed any periodic reports since the period ended March 31, 2002. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Integrated Health Services, Inc. because it has not filed any periodic reports since the period ended September 30, 2000. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Log On America, Inc. because it has not filed any periodic reports since the period ended December 31, 2001. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Matlack Systems, Inc. because it has not filed any periodic reports since the period ended March 31, 2001. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Pixtech, Inc. because it has not filed any periodic reports since the period ended September 30, 2001. It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Virtual Communities, Inc. because it has not filed any periodic reports since the period ended September 30, 2000. The Commission is of the opinion that the public interest and the protection of investors require a suspension of trading in the securities of the above-listed companies. Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the securities of the abovelisted companies is suspended for the period from 9:30 a.m. EST on November 17, 2009, through 11:59 p.m. EST on December 1, 2009. By the Commission. Jill M. Peterson, Assistant Secretary. [FR Doc. E9–27892 Filed 11–17–09; 11:15 am] BILLING CODE 8011–01–P CFR 200.30–3(a)(27). Frm 00044 Fmt 4703 Sfmt 4703 60001 E:\FR\FM\19NON1.SGM 19NON1

Agencies

[Federal Register Volume 74, Number 222 (Thursday, November 19, 2009)]
[Notices]
[Pages 59999-60001]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-27745]


-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-60985; File No. SR-CTA/CQ-2009-02]


Consolidated Tape Association; Notice of Filing of the Thirteenth 
Charges Amendment to the Second Restatement of the Consolidated Tape 
Association Plan and Seventh Charges Amendment to the Restated 
Consolidated Quotation Plan

November 10, 2009.
    Pursuant to Section 11A of the Securities Exchange Act of 1934 
(``Act''),\1\ and Rule 608 thereunder,\2\ notice is hereby given that 
on October 19, 2009,\3\ the Consolidated Tape

[[Page 60000]]

Association (``CTA'') Plan and Consolidated Quotation (``CQ'') Plan 
participants (``Participants'') \4\ filed with the Securities and 
Exchange Commission (``Commission'') a proposal to amend the Second 
Restatement of the CTA Plan and Restated CQ Plan (collectively, the 
``Plans'').\5\ The proposal represents the thirteenth charges amendment 
to the CTA Plan (``Thirteenth Charges Amendment'') and the seventh 
charges amendment to the CQ Plan (``Seventh Charges Amendment''), and 
reflects changes unanimously adopted by the Participants. The 
Thirteenth Charges Amendment to the CTA Plan and the Seventh Charges 
Amendment to the CQ Plan (``Amendments'') would: (1) Delete all program 
classification charges from the schedules of Network A and Network B 
computer input charges; and (2) replace the current combined Network A/
Network B high speed line access charges with separate high speed line 
access charges for Network A and Network B. The Commission is 
publishing this notice to solicit comments from interested persons on 
the proposed Amendments.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78k-1.
    \2\ 17 CFR 242.608.
    \3\ On November 6, 2009, the Consolidated Tape Association sent 
a letter correcting the number of the proposed amendment.
    \4\ Each participant executed the proposed amendment. The 
Participants are: BATS Exchange, Inc.; Chicago Board Options 
Exchange, Inc.; Chicago Stock Exchange, Inc.; Financial Industry 
Regulatory Authority, Inc.; International Securities Exchange, LLC; 
NASDAQ OMX BX, Inc.; NASDAQ OMX PHLX, Inc.; The NASDAQ Stock Market 
LLC; National Stock Exchange, Inc.; New York Stock Exchange LLC; 
NYSE Amex LLC; and NYSE Arca, Inc.
    \5\ See Securities Exchange Act Release Nos. 10787 (May 10, 
1974), 39 FR 17799 (declaring the CTA Plan effective); 15009 (July 
28, 1978), 43 FR 34851 (August 7, 1978) (temporarily authorizing the 
CQ Plan); and 16518 (January 22, 1980), 45 FR 6521 (permanently 
authorizing the CQ Plan). The most recent restatement of both Plans 
was in 1995. The CTA Plan, pursuant to which markets collect and 
disseminate last sale price information for non-NASDAQ listed 
securities, is a ``transaction reporting plan'' under Rule 601 under 
the Act, 17 CFR 242.601, and a ``national market system plan'' under 
Rule 608 under the Act, 17 CFR 242.608. The CQ Plan, pursuant to 
which markets collect and disseminate bid/ask quotation information 
for listed securities, is also a ``national market system plan'' 
under Rule 608 under the Act, 17 CFR 242.608.
---------------------------------------------------------------------------

I. Rule 608(a)

A. Description and Purpose of the Amendments

    The Plans currently divide the different means of using market data 
into eight program classifications. The program classification fees 
payable by vendors and end-users depend on the category of use the 
vendor or end-user makes of the data and whether the vendor or end-user 
is using Network A market data or Network B market data, or both. 
Through the Amendments, the Participants propose to eliminate program 
classification charges and set separate fees for the receipt of Network 
A market data and Network B market data.
    Over time, new technologies and new and innovative notions on how 
to use market data have made it increasingly difficult to place data 
uses into the existing program classifications in a manner that is 
consistent and equitable for all. The Participants have come to believe 
that it is inherently more equitable for them to charge vendors and 
end-users for the method of access to the data and the quantity of 
usage, rather than for the specific purposes (i.e., by program 
classification) to which vendors and end-users put market data. The 
Participants believe that eliminating the manner-of-data-usage charges 
will modernize the CTA and CQ fee schedules and allow all vendors and 
users to use data as they see fit, without having to worry about 
whether a new usage would subject them to a new program classification 
fee. The elimination of program classification charges means that 
vendors will no longer need to provide detailed explanations of how 
they use the data or to update Exhibit A to their agreements with the 
Participants each time they put data to a new use.
    Additionally, the Participants propose to revise the access fees by 
setting separate fees for the receipt of Network A market data and 
Network B market data. Therefore, if a vendor or end-user wishes to 
receive Network A last sale prices (or quotation information), but not 
Network B last sale prices (or quotation information), the vendor or 
end-user would now be allowed it to pay only for Network A last sale 
prices, without also having to pay for Network B last sale prices and 
vice versa.
    In addition to establishing separate access fees for Network A and 
Network B, it is the intention of the Participants to set the new 
access fees at levels that will offset the revenues that the 
Participants anticipate they will lose as a result of eliminating the 
program classification fees. The Participants' goal is to eliminate the 
program classification fees and reset access fees in a revenue-neutral 
manner and simplify and modernize the fee schedule while offering 
vendors and end-users greater choice and flexibility in the receipt and 
use of market data.
    The text of the proposed Amendments is available on the CTA's Web 
site (https://www.nysedata.com/cta), at the principal office of the CTA, 
and at the Commission's Public Reference Room.

B. Additional Information Required by Rule 608(a)

1. Governing or Constituent Documents
    Not applicable.
2. Implementation of the Amendments
    The Participants have manifested their approval of the proposed 
amendments to the CTA and CQ rate schedule by means of their execution 
of the Amendments. The Participants propose to make the rate changes 
effective for calendar year 2010.
3. Development and Implementation Phases
    See Item I(B)(2) above.
4. Analysis of Impact on Competition
    The amendment will impose no burden on competition.
5. Written Understanding or Agreements relating to Interpretation of, 
or Participation in, Plan
    The Participants have no written understandings or agreements 
relating to interpretation of the CTA Plan and CQ Plan as a result of 
the Amendments.
6. Approval by Sponsors in Accordance With Plan
    In accordance with Section XII(b)(iii) of the CTA Plan and Section 
IX(b)(iii) of the CQ Plan, each of the Participants has approved the 
rate changes.
7. Description of Operation of Facility Contemplated by the Proposed 
Amendment
    a. Terms and Conditions of Access
    See Item I(A) above.
    b. Method of Determination and Imposition, and Amount of, Fees and 
Charges
    See Item I(A) above.
    c. Method of Frequency of Processor Evaluation
    Not applicable.
    d. Dispute Resolution
    Not applicable.

II. Rule 601(a)

A. Equity Securities for Which Transaction Reports Shall Be Required by 
the Plan

    Not applicable.

B. Reporting Requirements

    Not applicable.

C. Manner of Collecting, Processing, Sequencing, Making Available and 
Disseminating Last Sale Information

    Not applicable.

D. Manner of Consolidation

    Not applicable.

[[Page 60001]]

E. Standards and Methods Ensuring Promptness, Accuracy and Completeness 
of Transaction Reports

    Not applicable.

F. Rules and Procedures Addressed to Fraudulent or Manipulative 
Dissemination

    Not applicable.

G. Terms of Access to Transaction Reports

    See Item I(A) above.

H. Identification of Marketplace Execution

    Not applicable.

III. Solicitation of Comments

    Interested persons are invited to submit written data, views, and 
arguments concerning the foregoing, including whether the proposed 
Thirteenth Charges Amendment to the CTA Plan and the Seventh Charges 
Amendment to the CQ Plan are 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-CTA/CQ-2009-02 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-CTA/CQ-2009-02. 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 Amendments that are filed 
with the Commission, and all written communications relating to the 
Amendments 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 Amendments also will be available for inspection and 
copying at the principal office of the CTA. 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-CTA/CQ-2009-02 and should be submitted 
on or before December 10, 2009.

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\6\
---------------------------------------------------------------------------

    \6\ 17 CFR 200.30-3(a)(27).
---------------------------------------------------------------------------

Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-27745 Filed 11-18-09; 8:45 am]
BILLING CODE 8011-01-P
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