Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Members Using the NASDAQ Options Market, 61197-61198 [E9-27993]
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Federal Register / Vol. 74, No. 224 / Monday, November 23, 2009 / Notices
37. Jeffrey Sonn, Esq., Sonn & Erez,
PLC, dated September 9, 2009 (‘‘Sonn’’).
38. Stephen P. Meyer, Esq., Meyer,
Ford & Glasser, dated September 10,
2009 (‘‘Meyer’’).
39. Dayton P. Haigney, III, Attorney at
Law, dated September 10, 2009
(‘‘Haigney’’).
40. John E. Sutherland, Brickley,
Sears & Sorett, P.A., dated September
11, 2009 (‘‘Sutherland’’).
41. Theodore M. Davis, Esq., dated
September 11, 2009 (‘‘Davis’’).
42. Peter J. Mougey, Esq., dated
September 14, 2009 (‘‘Mougey’’).
43. Roger F. Claxton, Law Office of
Roger F. Claxton, dated September 15,
2009 (‘‘Claxton’’).
44. Richard D. DeVita, Esq., dated
September 15, 2009 (‘‘DeVita’’).
45. Dale Ledbetter, Ledbetter &
Associates, P.A., dated September 16,
2009 (‘‘Ledbetter’’).
46. William J. Gladden, JD, CFP, dated
September 16, 2009 (‘‘Gladden’’).
47. Steven M. McCauley, Esq., dated
September 16, 2009 (‘‘McCauley’’).
48. Michael W. Malarney, Esq., The
Pearl Law Firm, P.A., dated September
17, 2009 (‘‘Malarney’’).
49. Ronald M. Amato, Esq., Shaheen,
Novoselsky, Staat, Filipowski Eccleston,
PC, dated September 18, 2009
(‘‘Amato’’).
50. Thomas P. Willcutts, Willcutts
Law Group, LLC, dated September 21,
2009 (‘‘Willcutts’’).
51. Scot D. Bernstein, Law Offices of
Scot D. Bernstein, dated September 24,
2009 (‘‘Bernstein’’).
52. Laurence S. Schultz, Driggers,
Schultz & Herbst, P.C., dated September
30, 2009 (‘‘Schultz 2’’).
[FR Doc. E9–27997 Filed 11–20–09; 8:45 am]
BILLING CODE 8011–01–P
Securities and Exchange Commission
(‘‘Commission’’) the proposed rule
change as described in Items I, II, and
III below, which Items have been
prepared by NASDAQ. The Commission
is publishing this notice to solicit
comments on the proposed rule change
from interested persons.
I. Self-Regulatory Organization’s
Statement of the Terms of Substance of
the Proposed Rule Change
NASDAQ proposes to modify pricing
for NASDAQ members using the Nasdaq
Market Center. This proposed rule
change, which is effective upon filing,
will become operative on November 2,
2009. The text of the proposed rule
change is available at https://
nasdaqomx.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, the
self-regulatory organization included
statements concerning the purpose of,
and basis for, the proposed rule change
and discussed any comments it received
on the proposed rule change. The text
of these statements may be examined at
the places specified in Item IV below.
The self-regulatory organization 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
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–60980; File No. SR–
NASDAQ–2009–098]
Self-Regulatory Organizations; The
NASDAQ Stock Market LLC; Notice of
Filing and Immediate Effectiveness of
Proposed Rule Change To Modify Fees
for Members Using the NASDAQ
Options Market
jlentini on DSKJ8SOYB1PROD with NOTICES
November 10, 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
30, 2009, The NASDAQ Stock Market
LLC (‘‘NASDAQ’’) filed with the
1 15
2 17
U.S.C. 78s(b)(1).
CFR 240.19b–4.
VerDate Nov<24>2008
16:37 Nov 20, 2009
Jkt 220001
Nasdaq is modifying NASDAQ Rule
7050, the fee schedule for NOM,
regarding orders with an account type of
‘‘Customer.’’ Specifically, Nasdaq is
establishing a fee of $0.35 per executed
contract for Customer orders in Penny
Pilot options, as opposed to the fee of
$0.20 that has applied to such orders
since July 2009. Nasdaq notes that this
fee remains lower than the fees that
other options exchanges apply to such
customer orders.
Nasdaq believes that the proposed
fees are competitive, fair and
reasonable, and non-discriminatory in
that they apply equally to all similarly
situated members and customers. As
with all fees, Nasdaq may adjust these
proposed fees in response to
competitive conditions by filing a new
proposed rule change.
PO 00000
Frm 00095
Fmt 4703
Sfmt 4703
61197
2. Statutory Basis
Nasdaq believes that the proposed
rule change is consistent with the
provisions of Section 6 of the Act,3 in
general, and with Section 6(b)(4) of the
Act,4 in particular, in that it provides for
the equitable allocation of reasonable
dues, fees and other charges among
members and issuers and other persons
using any facility or system which
NASDAQ operates or controls.
Consistent with past practice, the
proposed change identifies a class of
person subject to transaction execution
fees based on the role of that class in
bringing order flow to NASDAQ.
B. Self-Regulatory Organization’s
Statement on Burden on Competition
NASDAQ does not believe that the
proposed rule change will result in any
burden on competition that is not
necessary or appropriate in furtherance
of the purposes of the Act, as amended.
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
The foregoing rule change has become
effective pursuant to Section
19(b)(3)(A)(ii) of the Act 5 and
subparagraph (f)(2) of Rule 19b–4
thereunder.6 At any time within 60 days
of the filing of the proposed rule change,
the Commission may summarily
abrogate such rule change if it appears
to the Commission that such action is
necessary or appropriate in the public
interest, for the protection of investors,
or otherwise in furtherance of the
purposes of the Act.
IV. Solicitation of Comments
Interested persons are invited to
submit written data, views and
arguments concerning the foregoing,
including whether the proposed rule
change is consistent with the Act.
Comments may be submitted by any of
the following methods:
Electronic Comments
• Use the Commission’s Internet
comment form (https://www.sec.gov/
rules/sro.shtml); or
• Send an e-mail to rulecomments@sec.gov. Please include File
3 15
U.S.C. 78f.
U.S.C. 78f(b)(4).
5 15 U.S.C. 78s(b)(3)(a)(ii).
6 17 CFR 240.19b–4(f)(2).
4 15
E:\FR\FM\23NON1.SGM
23NON1
61198
Federal Register / Vol. 74, No. 224 / Monday, November 23, 2009 / Notices
Number SR–NASDAQ–2009–098 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–2009–098. 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 will also 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–2009–098 and should be
submitted on or before December 14,
2009.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.7
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9–27993 Filed 11–20–09; 8:45 am]
BILLING CODE 8011–01–P
jlentini on DSKJ8SOYB1PROD with NOTICES
SELECTIVE SERVICE SYSTEM
Computer Matching Between the
Selective Service System and the
Department of Education
Selective Service System.
Notice.
AGENCY:
ACTION:
7 17
CFR 200.30–3(a)(12).
VerDate Nov<24>2008
16:37 Nov 20, 2009
Jkt 220001
In accordance with the Privacy Act of
1974 (5 U.S.C. 552a), as amended by the
Computer Matching and Privacy
Protection Act of 1988 (Pub. L. 100–
503), and the Office of Management and
Budget (OMB) Guidelines on the
Conduct of Matching Programs (54 FR
25818 (June 19, 1989)), and OMB
Bulletin 89–22, the following
information is provided:
1. Name of Participating Agencies
The Selective Service System (SSS)
and the Department of Education (ED).
2. Purpose of the Match
The purpose of this matching program
is to ensure that the requirements of
Section 12(f) of the Military Selective
Service System Act [50 U.S.C. App. 462
(f)] are met. This program has been in
effect since December 6, 1985.
3. Authority for Conducting the
Matching
Computerized access to the Selective
Service Registrant Registration Records
(SSS 10) enables ED to confirm the
registration status of applicants for
assistance under Title IV of the Higher
Education Act of 1965 (HEA), as
amended (20 U.S.C. 1070 et seq.).
Section 12(f) of the Military Selective
Service Act, as amended [50 U.S.C.
App. 462(f)], denies eligibility for any
form of assistance or benefit under Title
IV of the HEA to any person required to
present himself for and submit to
registration under Section 3 of the
Military Selective Service System Act
[50 U.S.C. App. 453] who fails to do so
in accordance with that section and any
rules and regulations issued under that
section. In addition, Section 12(f)(2) of
the Military Selective Service System
Act specifies that any person required to
present himself for and submit to
registration under Section 3 of the
Military Selective Service System Act
must file a statement with the
institution of higher education where
the person intends to attend or is
attending that he is in compliance with
the Military Selective Service System
Act. Furthermore, Section 12(f)(3) of the
Military Selective Service System Act
authorizes the Secretary of Education, in
agreement with the Director of the
Selective Service, to prescribe methods
for verifying the statements of
compliance filed by students.
Section 484(n) of the HEA [20 U.S.C.
1091(n)], requires the Secretary to
conduct data base matches with SSS,
using common demographic data
elements, to enforce the Selective
Service registration provisions of the
Military Selective Service Act [50 U.S.C.
App. 462(f)], and further states that
PO 00000
Frm 00096
Fmt 4703
Sfmt 4703
appropriate confirmation of a person’s
shall fulfill the requirement to file a
separate statement of compliance.
4. Categories of Records and
Individuals Covered
1. Federal Student Aid Application
File (18–11–01).
Individuals covered are men born
after December 31, 1959, but at least 18
years old by January 1 of the applicable
award year.
2. Selective Service Registration
Records (SSS 10).
5. Inclusive Dates of the Matching
Program
Commence on January 2, 2010 or 40
days after copies of the matching
agreement are transmitted
simultaneously to the Committee on
Government Affairs of the Senate, the
Committee on Government Operations
of the House of Representatives, and the
Office of Management and Budget,
whichever is later, and remain in effect
for eighteen months unless earlier
terminated or modified by agreement of
the parties.
6. Address for Receipt of Public
Comments or Inquires
´
Mr. Gaston Naranjo, Selective Service
System, 1515 Wilson Boulevard,
Arlington, Virginia 22209–2425.
Dated: November 17, 2009.
Ernest E. Garcia,
Acting Director.
[FR Doc. E9–28081 Filed 11–20–09; 8:45 am]
BILLING CODE 8015–01–P
DEPARTMENT OF STATE
[Public Notice 6816; OMB Control Number
1405–0082]
30-Day Notice of Proposed Information
Collection: DS–1884, Petition To
Classify Special Immigrant Under INA
203(b)(4) as an Employee or Former
Employee of the U.S. Government
Abroad
ACTION: Notice of request for public
comment and submission to OMB of
proposed collection of information.
SUMMARY: The Department of State has
submitted the following information
collection request to the Office of
Management and Budget (OMB) for
approval in accordance with the
Paperwork Reduction Act of 1995.
• Title of Information Collection:
Petition to Classify Special Immigrant
under INA 203(b)(4) as an Employee or
Former Employee of the U.S.
Government Abroad.
E:\FR\FM\23NON1.SGM
23NON1
]]>Agencies
[Federal Register Volume 74, Number 224 (Monday, November 23, 2009)]
[Notices]
[Pages 61197-61198]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: E9-27993]
-----------------------------------------------------------------------
SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-60980; File No. SR-NASDAQ-2009-098]
Self-Regulatory Organizations; The NASDAQ Stock Market LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To
Modify Fees for Members Using the NASDAQ Options Market
November 10, 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 30, 2009, The NASDAQ Stock Market LLC (``NASDAQ'') filed
with the Securities and Exchange Commission (``Commission'') the
proposed rule change as described in Items I, II, and III below, which
Items have been prepared by NASDAQ. 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.
---------------------------------------------------------------------------
I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change
NASDAQ proposes to modify pricing for NASDAQ members using the
Nasdaq Market Center. This proposed rule change, which is effective
upon filing, will become operative on November 2, 2009. The text of the
proposed rule change is available at https://nasdaqomx.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, the self-regulatory organization
included statements concerning the purpose of, and basis for, the
proposed rule change and discussed any comments it received on the
proposed rule change. The text of these statements may be examined at
the places specified in Item IV below. The self-regulatory organization
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
Nasdaq is modifying NASDAQ Rule 7050, the fee schedule for NOM,
regarding orders with an account type of ``Customer.'' Specifically,
Nasdaq is establishing a fee of $0.35 per executed contract for
Customer orders in Penny Pilot options, as opposed to the fee of $0.20
that has applied to such orders since July 2009. Nasdaq notes that this
fee remains lower than the fees that other options exchanges apply to
such customer orders.
Nasdaq believes that the proposed fees are competitive, fair and
reasonable, and non-discriminatory in that they apply equally to all
similarly situated members and customers. As with all fees, Nasdaq may
adjust these proposed fees in response to competitive conditions by
filing a new proposed rule change.
2. Statutory Basis
Nasdaq believes that the proposed rule change is consistent with
the provisions of Section 6 of the Act,\3\ in general, and with Section
6(b)(4) of the Act,\4\ in particular, in that it provides for the
equitable allocation of reasonable dues, fees and other charges among
members and issuers and other persons using any facility or system
which NASDAQ operates or controls. Consistent with past practice, the
proposed change identifies a class of person subject to transaction
execution fees based on the role of that class in bringing order flow
to NASDAQ.
---------------------------------------------------------------------------
\3\ 15 U.S.C. 78f.
\4\ 15 U.S.C. 78f(b)(4).
---------------------------------------------------------------------------
B. Self-Regulatory Organization's Statement on Burden on Competition
NASDAQ does not believe that the proposed rule change will result
in any burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Act, as amended.
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
The foregoing rule change has become effective pursuant to Section
19(b)(3)(A)(ii) of the Act \5\ and subparagraph (f)(2) of Rule 19b-4
thereunder.\6\ 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.
---------------------------------------------------------------------------
\5\ 15 U.S.C. 78s(b)(3)(a)(ii).
\6\ 17 CFR 240.19b-4(f)(2).
---------------------------------------------------------------------------
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
[[Page 61198]]
Number SR-NASDAQ-2009-098 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-2009-098. 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 will also 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-2009-098 and should be
submitted on or before December 14, 2009.
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\7\
---------------------------------------------------------------------------
\7\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-27993 Filed 11-20-09; 8:45 am]
BILLING CODE 8011-01-P
