BATS Y-Exchange, Inc.; Notice of Filing of Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934, 4595-4596 [2010-1767]
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4595
Federal Register / Vol. 75, No. 18 / Thursday, January 28, 2010 / Notices
by means of an interview with an RRB
field-office representative. It obtains
information about an applicant’s marital
history, work history, military service,
benefits from other governmental
agencies and railroad pensions. During
the interview, the field-office
representative enters the information
obtained into an on-line information
system. Upon completion of the
interview, the applicant receives Form
AA–1cert, Application Summary and
Certification, which summarizes the
information that was provided by/or
verified by the applicant, for review and
signature. The RRB also uses a manual
version, RRB Form AA–1, in instances
where the RRB representative is unable
to contact the applicant in-person or by
telephone, i.e., the applicant lives in
another country.
Form AA–1d, Application for
Determination of Employee Disability, is
completed by an employee who is filing
for a disability annuity under the RRA,
or a disability freeze under the Social
Security Act for early Medicare based
on a disability. Form G–204,
Verification of Workers Compensation/
Public Disability Benefit Information, is
used to obtain and verify information
concerning worker’s compensation or
public disability benefits that are or will
be paid by a public agency to a disabled
railroad employee.
The RRB estimates the burden for the
collection as follows:
ESTIMATED BURDEN
Estimated annual responses
Form #
Estimated
completion
time
(per response)
Estimated annual burden
(Hours)
14,000
100
5
3,700
20
17,825
30
62
60
35
15
........................
7,000
103
5
2,158
5
9,271
AA–1cert (interview) ....................................................................................................................
AA–1 manual (without assistance) ..............................................................................................
AA–1d (manual without assistance) ............................................................................................
AA–1d (manual) (interview) .........................................................................................................
G–204 ..........................................................................................................................................
Total ......................................................................................................................................
The RRB proposes non-burden
impacting editorial changes intended to
provide clarification to Form AA–
1(cert). Non-burden impacting editorial
changes intended to provide
clarification and specificity to currently
existing responses as well as the
deletion of several items that are no
longer needed are proposed to Form
AA–1. No changes are proposed to
Form(s) AA–1d and G–204.
All of the forms require completion to
obtain a benefit. One response is
requested of each respondent.
2. Title and Purpose of Information
Collection
mstockstill on DSKH9S0YB1PROD with NOTICES
Voluntary Customer Surveys in
Accordance with E.O. 12862; OMB
3220–0192
In accordance with Executive Order
12862, the Railroad Retirement Board
(RRB) conducts a number of customer
surveys designed to determine the kinds
and quality of services our beneficiaries,
claimants, employers and members of
the public want and expect, as well as
their satisfaction with existing RRB
services. The information collected is
used by RRB management to monitor
customer satisfaction by determining to
what extent services are satisfactory and
where and to what extent services can
be improved. The surveys are limited to
data collections that solicit strictly
voluntary opinions, and do not collect
information which is required or
regulated. The information collection,
which was first approved by the Office
of Management and Budget (OMB) in
VerDate Nov<24>2008
17:16 Jan 27, 2010
Jkt 220001
1997, provides the RRB with a generic
clearance authority. This generic
authority allows the RRB to submit a
variety of new or revised customer
survey instruments (needed to timely
implement customer monitoring
activities) to the Office of Management
and Budget (OMB) for expedited review
and approval.
The average burden per response for
customer satisfaction activities is
estimated to range from 2 minutes for a
Web-site questionnaire to 2 hours for
participation in a focus group. The RRB
estimates an annual burden of 1,750
annual respondents totaling 717 hours
for the generic customer survey
clearance.
Additional Information or Comments:
To request more information or to
obtain a copy of the information
collection justification, forms, and/or
supporting material, please call the RRB
Clearance Officer at (312) 751–3363 or
send an e-mail request to
Charles.Mierzwa@RRB.GOV. Comments
regarding the information collection
should be addressed to Patricia A.
Henaghan, Railroad Retirement Board,
844 North Rush Street, Chicago, Illinois
60611–2092 or send an e-mail to
Patricia.Henaghan@RRB.GOV. Written
comments should be received within 60
days of this notice.
Charles Mierzwa,
Clearance Officer.
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–61400; File No. 10–198]
BATS Y–Exchange, Inc.; Notice of
Filing of Application for Registration
as a National Securities Exchange
Under Section 6 of the Securities
Exchange Act of 1934
January 22, 2010.
On October 20, 2009, BATS Y–
Exchange, Inc. (‘‘BATS Y Exchange’’)
submitted to the Securities and
Exchange Commission (‘‘Commission’’) a
Form 1 application under the Securities
Exchange Act of 1934 (‘‘Exchange Act’’),
seeking registration as a national
securities exchange under Section 6 of
the Exchange Act. The Commission is
publishing this notice to solicit
comments on BATS Y Exchange’s Form
1. The Commission will take these
comments into consideration in making
its determination about whether to grant
BATS Y Exchange’s request to be
registered as a national securities
exchange. The Commission shall grant
such registration if it finds that the
requirements of the Exchange Act and
the rules and regulations thereunder
with respect to BATS Y Exchange are
satisfied.1
BATS Y Exchange’s Form 1 provides
detailed information on how it proposes
to satisfy the requirements of the
Exchange Act. BATS Y Exchange is
wholly-owned by BATS Global Markets,
Inc., which also owns BATS Exchange,
[FR Doc. 2010–1713 Filed 1–27–10; 8:45 am]
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U.S.C. 78s(a).
28JAN1
4596
Federal Register / Vol. 75, No. 18 / Thursday, January 28, 2010 / Notices
Inc. (‘‘BATS X’’). BATS Y Exchange
would operate as a self-regulatory
organization, separate from BATS X,
under its own exchange license. In
general, BATS Y Exchange will operate
a fully automated electronic book for
orders to buy or sell securities with a
continuous, automated matching
function. Liquidity will be derived from
orders to buy and sell submitted to
BATS Y Exchange electronically by
BATS Y Exchange members from
remote locations as well as from quotes
submitted by BATS Y Exchange
members that chose to register with
BATS Y Exchange as a market maker.
BATS Y Exchange will not have a
trading floor.
BATS Y Exchange’s Form 1 is
available at the Commission’s Public
Reference Room and https://
www.sec.gov. Interested persons are
invited to submit written data, views,
and arguments concerning BATS Y
Exchange’s Form 1, including whether
BATS Y Exchange’s application is
consistent with the Exchange 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 10–198 on the subject line.
Paper Comments
• Send paper comments in triplicate
to Elizabeth M. Murphy, Secretary,
Securities and Exchange Commission,
Station Place, 100 F Street, NE.,
Washington, DC 20549–1090.
All submissions should refer to File
Number 10–198. 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 BATS Y Exchange’s
Form 1 filed with the Commission, and
all written communications relating to
the application 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.
VerDate Nov<24>2008
17:16 Jan 27, 2010
Jkt 220001
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 10–198 and should be
submitted on or before March 15, 2010.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.2
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010–1767 Filed 1–27–10; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–61408; File No. SR–FINRA–
2010–004]
Self-Regulatory Organizations;
Financial Industry Regulatory
Authority, Inc.; Notice of Filing and
Immediate Effectiveness of Proposed
Rule Change To Make Certain NonSubstantive Technical Changes to
FINRA Rule 4521(d)
January 22, 2010.
Pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (‘‘Act’’
or ‘‘SEA’’) 1 and Rule 19b–4 thereunder,2
notice is hereby given that on January
20, 2010, Financial Industry Regulatory
Authority, Inc. (‘‘FINRA’’) filed with the
Securities and Exchange Commission
(‘‘SEC’’ or ‘‘Commission’’) the proposed
rule change as described in Items I and
II below, which Items have been
prepared by FINRA. FINRA has
designated the proposed rule change as
constituting a ‘‘non-controversial’’ rule
change under paragraph (f)(6) of Rule
19b–4 under the Act,3 which renders
the proposal effective upon receipt of
this filing by the Commission. 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
FINRA is proposing to make certain
non-substantive technical changes to
FINRA Rule 4521(d). The text of the
proposed rule change is below.
Proposed new language is italicized;
proposed deletions are in brackets:
*
*
*
*
*
2 17
CFR 200.30–3(a)(71)(i).
U.S.C. 78s(b)(1).
2 17 CFR 240.19b–4.
3 17 CFR 240.19b–4(f)(6).
1 15
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4000. FINANCIAL AND OPERATIONAL
RULES
*
*
*
*
*
4500. BOOKS, RECORDS AND
REPORTS
*
*
*
*
*
4520. Financial Records and Reporting
Requirements
4521. Notifications, Questionnaires and
Reports
(a) through (c) No Change.
(d)(1) No Change.
(2) Each member carrying margin
accounts for customers shall submit
reports containing the following
customer information:
(A) No Change.
(B) Total of all free credit balances in
all cash accounts and all securities
margin accounts.
(3) For purposes of this paragraph (d):
(A) Only free credit balances in cash
and securities margin accounts shall be
included in the member’s report.
Balances in short accounts and in
[S]special [M]memorandum [A]accounts
([as defined in Section 2.2 of] see
Regulation T [under the Exchange Act]
of the Board of Governors of the Federal
Reserve System) shall not be considered
as free credit balances.
(B) Reported debit or credit balance
information shall not include the
accounts of other [organizations that
are] FINRA members, or of the
associated persons of the member
submitting the report where such
associated person’s account is excluded
from the definition of customer
pursuant to SEA Rule 15c3–3.
(e) through (f) No Change.
* * * Supplementary Material:
lllll
.01 No Change.
*
*
*
*
*
II. Self-Regulatory Organization’s
Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule
Change
In its filing with the Commission,
FINRA 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 those
statements may be examined at the
places specified in Item IV below.
FINRA has prepared summaries, set
forth in sections A, B, and C below, of
the most significant parts of such
statements.
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]]>Agencies
[Federal Register Volume 75, Number 18 (Thursday, January 28, 2010)]
[Notices]
[Pages 4595-4596]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-1767]
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SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-61400; File No. 10-198]
BATS Y-Exchange, Inc.; Notice of Filing of Application for
Registration as a National Securities Exchange Under Section 6 of the
Securities Exchange Act of 1934
January 22, 2010.
On October 20, 2009, BATS Y-Exchange, Inc. (``BATS Y Exchange'')
submitted to the Securities and Exchange Commission (``Commission'') a
Form 1 application under the Securities Exchange Act of 1934
(``Exchange Act''), seeking registration as a national securities
exchange under Section 6 of the Exchange Act. The Commission is
publishing this notice to solicit comments on BATS Y Exchange's Form 1.
The Commission will take these comments into consideration in making
its determination about whether to grant BATS Y Exchange's request to
be registered as a national securities exchange. The Commission shall
grant such registration if it finds that the requirements of the
Exchange Act and the rules and regulations thereunder with respect to
BATS Y Exchange are satisfied.\1\
---------------------------------------------------------------------------
\1\ 15 U.S.C. 78s(a).
---------------------------------------------------------------------------
BATS Y Exchange's Form 1 provides detailed information on how it
proposes to satisfy the requirements of the Exchange Act. BATS Y
Exchange is wholly-owned by BATS Global Markets, Inc., which also owns
BATS Exchange,
[[Page 4596]]
Inc. (``BATS X''). BATS Y Exchange would operate as a self-regulatory
organization, separate from BATS X, under its own exchange license. In
general, BATS Y Exchange will operate a fully automated electronic book
for orders to buy or sell securities with a continuous, automated
matching function. Liquidity will be derived from orders to buy and
sell submitted to BATS Y Exchange electronically by BATS Y Exchange
members from remote locations as well as from quotes submitted by BATS
Y Exchange members that chose to register with BATS Y Exchange as a
market maker. BATS Y Exchange will not have a trading floor.
BATS Y Exchange's Form 1 is available at the Commission's Public
Reference Room and https://www.sec.gov. Interested persons are invited
to submit written data, views, and arguments concerning BATS Y
Exchange's Form 1, including whether BATS Y Exchange's application is
consistent with the Exchange 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 10-198 on the subject line.
Paper Comments
Send paper comments in triplicate to Elizabeth M. Murphy,
Secretary, Securities and Exchange Commission, Station Place, 100 F
Street, NE., Washington, DC 20549-1090.
All submissions should refer to File Number 10-198. 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 BATS Y Exchange's Form 1 filed with the
Commission, and all written communications relating to the application
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. 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 10-198 and should be submitted
on or before March 15, 2010.
For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\2\
---------------------------------------------------------------------------
\2\ 17 CFR 200.30-3(a)(71)(i).
---------------------------------------------------------------------------
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-1767 Filed 1-27-10; 8:45 am]
BILLING CODE 8011-01-P
