Sunshine Act; Public Hearing, 12584 [2010-5663]

Download as PDF 12584 Federal Register / Vol. 75, No. 50 / Tuesday, March 16, 2010 / Notices Dated: March 11, 2010. Rochelle C. Bavol, Office of the Secretary. SECURITIES AND EXCHANGE COMMISSION [Release No. 34–61677; File No. SR–FINRA– 2009–054] [FR Doc. 2010–5792 Filed 3–12–10; 11:15 am] BILLING CODE 7590–01–P Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Extend Certain Regulation NMS Protections to Quoting and Trading in the Market for OTC Equity Securities OVERSEAS PRIVATE INVESTMENT CORPORATION Sunshine Act; Public Hearing March 17, 2010. OPIC’s Sunshine Act notice of its Public Hearing in Conjunction with each Board meeting was published in the Federal Register (Volume 75, Number 38, Page 9004) on February 26, 2010. No requests were received to provide testimony or submit written statements for the record; therefore, OPIC’s public hearing scheduled for 3 p.m., March 17, 2010 in conjunction with OPIC’s March 31, 2010 Board of Directors meeting has been cancelled. Contact Person for Information: Information on the hearing cancellation may be obtained from Connie M. Downs at (202) 336–8438, via facsimile at (202) 218–0136, or via e-mail at Connie.Downs@opic.gov. Dated: March 10, 2010. Connie M. Downs, OPIC Corporate Secretary. [FR Doc. 2010–5663 Filed 3–12–10; 11:15 am] BILLING CODE 3210–01–P OVERSEAS PRIVATE INVESTMENT CORPORATION Sunshine Act; Public Hearing sroberts on DSKD5P82C1PROD with NOTICES March 17, 2010. OPIC’s Sunshine Act notice of its Annual Public Hearing meeting was published in the Federal Register (Volume 75, Number 38, Pages 9004 and 9005) on February 26, 2010. No requests were received to provide testimony or submit written statements for the record; therefore, OPIC’s annual public hearing scheduled for 2 p.m. on March 17, 2010 has been cancelled. Contact Person for Information: Information on the hearing cancellation may be obtained from Connie M. Downs at (202) 336–8438, via facsimile at (202) 218–0136, or via e-mail at Connie.Downs@opic.gov. Dated: March 10, 2010. Connie M. Downs, OPIC Corporate Secretary. March 9, 2010. 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 August 7, 2009, the Financial Industry Regulatory Authority, Inc. (‘‘FINRA’’) 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 FINRA. The proposed rule change was subsequently amended by FINRA on March 1, 2010. The Commission is publishing this notice to solicit comments on the proposed rule change, as amended, from interested persons. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change FINRA is proposing Amendment No. 1 to SR–FINRA–2009–054, a proposed rule change to adopt new FINRA Rules 6434 (Minimum Pricing Increment for OTC Equity Securities), 6437 (Prohibition from Locking or Crossing Quotations in OTC Equity Securities), 6450 (Restrictions on Access Fees) and 6460 (Display of Customer Limit Orders). The text of the proposed rule change is available on FINRA’s Web site at http://www.finra.org, at the principal office of FINRA 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, 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 these 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 aspects of such statements. [FR Doc. 2010–5665 Filed 3–12–10; 11:15 am] 1 15 BILLING CODE 3210–01–P 2 17 VerDate Nov<24>2008 16:33 Mar 15, 2010 Jkt 220001 PO 00000 U.S.C. 78s(b)(1). CFR 240.19b–4. Frm 00093 Fmt 4703 Sfmt 4703 A. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose Rule Filing History On August 7, 2009, FINRA filed with the SEC SR–FINRA–2009–054, a proposed rule change to adopt new FINRA rules to extend certain Regulation NMS protections to quoting and trading in over-the-counter equity securities.3 On August 26, 2009, the Commission published for comment the proposed rule change in the Federal Register and received twelve comment letters.4 Based on comments received, FINRA is filing this Amendment No. 1 to respond to the comments received and to propose amendments, where appropriate. Proposal As described in the Proposing Release, FINRA proposes to adopt rules to: (1) Restrict sub-penny quoting; (2) restrict locked and crossed markets; (3) implement a cap on access fees; and (4) require the display of customer limit orders. FINRA believes that these Regulation NMS principles, if applied to over-the-counter equity securities (‘‘OTC 3 See Securities Exchange Act Release No. 60515 (August 17, 2009), 74 FR 43207 (August 26, 2009) (Notice of Filing File No. SR–FINRA–2009–054) (‘‘Proposing Release’’). 4 Letter from Ann L. Vlcek, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association, to Elizabeth M. Murphy, Secretary, SEC, dated October 13, 2009 (‘‘SIFMA’’); Letter from Christopher Nagy, Managing Director Order Strategy, TD Ameritrade, Inc., to Elizabeth M. Murphy, Secretary, SEC, dated October 6, 2009 (‘‘TD Ameritrade’’); Letters from R. Cromwell Coulson, Chief Executive Officer, Pink OTC Markets Inc., to Elizabeth M. Murphy, Secretary, SEC, dated September 23, 2009 (‘‘Pink1’’) and January 6, 2010 (‘‘Pink2’’); Letter from Janet M. Kissane, Senior Vice President, Legal & Corporate Secretary, NYSE Euronext, to Nancy M. Morris, Secretary, SEC, dated September 23, 2009 (‘‘ArcaEdge’’); Letter from William Assatly, Sr. Vice President, Trading, Mercator Associates, to Elizabeth M. Murphy, Secretary, SEC, dated September 16, 2009 (‘‘Mercator’’); Letter from Leonard J. Amoruso, General Counsel, and Michael T. Carrao, Chief Compliance Officer, Knight Capital Group, Inc., to Elizabeth M. Murphy, Secretary, SEC, dated September 16, 2009 (‘‘Knight’’); Letter from Elaine M. Kaven, Chief Compliance Officer, StockCross Financial Services, Inc., to Florence H. Harmon, Deputy Secretary, SEC, dated September 16, 2009 (‘‘StockCross’’); Letters from Kimberly Unger, Executive Director, Security Traders Association of New York, Inc., to Elizabeth M. Murphy, Secretary, SEC, dated September 14, 2009 (‘‘STANY1) and September 16, 2009 (‘‘STANY2’’); Letter from Daniel Kanter, President, and Craig Carlino, Chief Compliance Officer, Monroe Securities, Inc., to Elizabeth M. Murphy, Secretary, SEC, dated September 16, 2009 (‘‘Monroe’’); and Letter from Anonymous dated September 1, 2009. (available at http://www.sec.gov/comments/sr-finra2009–054/finra2009054.shtml). E:\FR\FM\16MRN1.SGM 16MRN1

Agencies

[Federal Register Volume 75, Number 50 (Tuesday, March 16, 2010)]
[Notices]
[Page 12584]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-5663]


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OVERSEAS PRIVATE INVESTMENT CORPORATION


Sunshine Act; Public Hearing

March 17, 2010.
    OPIC's Sunshine Act notice of its Public Hearing in Conjunction 
with each Board meeting was published in the Federal Register (Volume 
75, Number 38, Page 9004) on February 26, 2010. No requests were 
received to provide testimony or submit written statements for the 
record; therefore, OPIC's public hearing scheduled for 3 p.m., March 
17, 2010 in conjunction with OPIC's March 31, 2010 Board of Directors 
meeting has been cancelled.
    Contact Person for Information: Information on the hearing 
cancellation may be obtained from Connie M. Downs at (202) 336-8438, 
via facsimile at (202) 218-0136, or via e-mail at 
Connie.Downs@opic.gov.

    Dated: March 10, 2010.
Connie M. Downs,
OPIC Corporate Secretary.
[FR Doc. 2010-5663 Filed 3-12-10; 11:15 am]
BILLING CODE 3210-01-P