Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of Proposed Rule Change Consisting of Fee Changes to Its Real-Time Transaction Price Service and Comprehensive Transaction Price Service, and Termination of its T+1 Transaction Price Service, 72850 [2010-29720]
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Federal Register / Vol. 75, No. 227 / Friday, November 26, 2010 / Notices
2010, applicant transferred its assets to
Pioneer Select Mid Cap Growth Fund, a
series of Pioneer Series Trust I, based on
net asset value. Expenses of
approximately $142,776 incurred in
connection with the reorganization were
paid by applicant, the acquiring fund,
and Pioneer Investment Management,
Inc., applicant’s investment adviser.
Filing Date: The application was filed
on November 2, 2010.
Applicant’s Address: 60 State St.,
Boston, MA 02109.
MONY America Variable Account S
[File No. 811–5100]
Summary: Applicant seeks an order
declaring that it has ceased to be an
investment company. Applicant
requests deregistration based on
abandonment of registration. Applicant
is not now engaged, or intending to
engage, in any business activities other
than those necessary for winding up its
affairs.
Filing Dates: The application was
filed on October 22, 2010, and amended
on November 15, 2010.
Applicant’s Address: 1290 Avenue of
the Americas, New York, NY 10104.
For the Commission, by the Division of
Investment Management, pursuant to
delegated authority.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010–29725 Filed 11–24–10; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–63340, File No. SR–MSRB–
2010–09]
Self-Regulatory Organizations;
Municipal Securities Rulemaking
Board; Order Granting Approval of
Proposed Rule Change Consisting of
Fee Changes to Its Real-Time
Transaction Price Service and
Comprehensive Transaction Price
Service, and Termination of its T+1
Transaction Price Service
srobinson on DSKHWCL6B1PROD with NOTICES
November 18, 2010.
I. Introduction
On September 30, 2010, the
Municipal Securities Rulemaking Board
(‘‘MSRB’’ or ‘‘Board’’), filed with the
Securities and Exchange Commission
(‘‘Commission’’), pursuant to Section
19(b)(1) of the Securities Exchange Act
of 1934 (‘‘Exchange Act’’),1 and Rule
19b–4 thereunder,2 a proposed rule
change relating to the MSRB’s Real-time
1 15
2 17
U.S.C. 78s(b)(1).
CFR 240.19b–4.
VerDate Mar<15>2010
16:32 Nov 24, 2010
Jkt 223001
Transaction Reporting System (‘‘RTRS’’).
The proposed rule change was
published for comment in the Federal
Register on October 18, 2010.3 The
Commission received no comment
letters about the proposed rule change.
This order approves the proposed rule
change.
II. Description of the Proposed Rule
Change
The proposed rule change consists of
fee changes to the MSRB’s Real-Time
Transaction Price Service and
Comprehensive Transaction Price
Service of RTRS and the consolidation
into the Comprehensive Transaction
Price Service of its existing T+1
Transaction Price Service. In addition,
the proposed rule change would change
the name of the Real-Time Transaction
Price Service to the ‘‘MSRB Real-Time
Transaction Data Subscription Service’’
and would change the name of the
Comprehensive Transaction Price
Service to the ‘‘MSRB Comprehensive
Transaction Data Subscription Service.’’
The MSRB proposes an effective date for
this proposed rule change of January 1,
2011.
A more complete description of the
proposal is contained in the
Commission’s Notice.
III. Discussion and Commission
Findings
The Commission has carefully
considered the proposed rule change
and finds that the proposed rule change
is consistent with the requirements of
the Exchange Act and the rules and
regulations thereunder applicable to the
MSRB 4 and, in particular, the
requirements of Section 15B(b)(2)(J) of
the Exchange Act 5 and the rules and
regulations thereunder. Section
15B(b)(2)(J) of the Exchange Act
requires, in pertinent part, that the
MSRB’s rules shall:
Provide that each municipal securities
broker, municipal securities dealer, and
municipal advisor shall pay to the Board
such reasonable fees and charges as may be
necessary or appropriate to defray the costs
and expenses of operating and administering
the Board. Such rules shall specify the
amount of such fees and charges.
The Commission believes that the
proposed rule change is consistent with
the Exchange Act because the proposed
rule change provides for commercially
3 See Securities Exchange Act Release No. 63089
(October 13, 2010), 75 FR 63883 (the ‘‘Commission’s
Notice’’).
4 In approving this proposed rule change, the
Commission notes that it has considered the
proposed rule’s impact on efficiency, competition
and capital formation. 15 U.S.C. 78c(f).
5 15 U.S.C. 78o–4(b)(2)(J).
PO 00000
Frm 00071
Fmt 4703
Sfmt 4703
reasonable fees to partially offset costs
associated with operating RTRS and
producing and disseminating
transaction reports to subscribers. The
proposal will become effective January
1, 2011, as requested by the MSRB.
It is therefore ordered, pursuant to
Section 19(b)(2) of the Exchange Act,6
that the proposed rule change (SR–
MSRB–2010–09), be, and it hereby is,
approved.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.7
Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010–29720 Filed 11–24–10; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[Release No. 34–63331; File No. SR–FINRA–
2010–059]
Self-Regulatory Organizations;
Financial Industry Regulatory
Authority, Inc.; Notice of Filing of
Proposed Rule Change To Adopt
FINRA Rule 4360 (Fidelity Bonds) in
the Consolidated FINRA Rulebook
November 17, 2010.
Pursuant to Section 19(b)(1) 1 of the
Securities Exchange Act of 1934 (‘‘Act’’
or ‘‘Exchange Act’’) 2 and Rule 19b–4
thereunder,3 notice is hereby given that
on November 10, 2010, Financial
Industry Regulatory Authority, Inc.
(‘‘FINRA’’) (f/k/a National Association of
Securities Dealers, Inc. (‘‘NASD’’)) filed
with the Securities and Exchange
Commission (‘‘SEC’’ or ‘‘Commission’’)
the proposed rule change as described
in Items I, II, and III below, which Items
have been prepared by FINRA. 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 adopt NASD
Rule 3020 (Fidelity Bonds) with certain
changes into the consolidated FINRA
rulebook as FINRA Rule 4360 (Fidelity
Bonds), taking into account
Incorporated NYSE Rule 319 (Fidelity
Bonds) and its Interpretation.
The text of the proposed rule change
is available on FINRA’s Web site at
https://www.finra.org, at the principal
6 15
U.S.C. 78s(b)(2).
CFR 200.30–3(a)(12).
1 15 U.S.C. 78s(b)(1).
2 15 U.S.C. 78a.
3 17 CFR 240.19b–4.
7 17
E:\FR\FM\26NON1.SGM
26NON1
]]>Agencies
[Federal Register Volume 75, Number 227 (Friday, November 26, 2010)]
[Notices]
[Page 72850]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-29720]
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SECURITIES AND EXCHANGE COMMISSION
[Release No. 34-63340, File No. SR-MSRB-2010-09]
Self-Regulatory Organizations; Municipal Securities Rulemaking
Board; Order Granting Approval of Proposed Rule Change Consisting of
Fee Changes to Its Real-Time Transaction Price Service and
Comprehensive Transaction Price Service, and Termination of its T+1
Transaction Price Service
November 18, 2010.
I. Introduction
On September 30, 2010, the Municipal Securities Rulemaking Board
(``MSRB'' or ``Board''), filed with the Securities and Exchange
Commission (``Commission''), pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (``Exchange Act''),\1\ and Rule 19b-4
thereunder,\2\ a proposed rule change relating to the MSRB's Real-time
Transaction Reporting System (``RTRS''). The proposed rule change was
published for comment in the Federal Register on October 18, 2010.\3\
The Commission received no comment letters about the proposed rule
change. This order approves the proposed rule change.
---------------------------------------------------------------------------
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b-4.
\3\ See Securities Exchange Act Release No. 63089 (October 13,
2010), 75 FR 63883 (the ``Commission's Notice'').
---------------------------------------------------------------------------
II. Description of the Proposed Rule Change
The proposed rule change consists of fee changes to the MSRB's
Real-Time Transaction Price Service and Comprehensive Transaction Price
Service of RTRS and the consolidation into the Comprehensive
Transaction Price Service of its existing T+1 Transaction Price
Service. In addition, the proposed rule change would change the name of
the Real-Time Transaction Price Service to the ``MSRB Real-Time
Transaction Data Subscription Service'' and would change the name of
the Comprehensive Transaction Price Service to the ``MSRB Comprehensive
Transaction Data Subscription Service.'' The MSRB proposes an effective
date for this proposed rule change of January 1, 2011.
A more complete description of the proposal is contained in the
Commission's Notice.
III. Discussion and Commission Findings
The Commission has carefully considered the proposed rule change
and finds that the proposed rule change is consistent with the
requirements of the Exchange Act and the rules and regulations
thereunder applicable to the MSRB \4\ and, in particular, the
requirements of Section 15B(b)(2)(J) of the Exchange Act \5\ and the
rules and regulations thereunder. Section 15B(b)(2)(J) of the Exchange
Act requires, in pertinent part, that the MSRB's rules shall:
---------------------------------------------------------------------------
\4\ In approving this proposed rule change, the Commission notes
that it has considered the proposed rule's impact on efficiency,
competition and capital formation. 15 U.S.C. 78c(f).
\5\ 15 U.S.C. 78o-4(b)(2)(J).
Provide that each municipal securities broker, municipal
securities dealer, and municipal advisor shall pay to the Board such
reasonable fees and charges as may be necessary or appropriate to
defray the costs and expenses of operating and administering the
---------------------------------------------------------------------------
Board. Such rules shall specify the amount of such fees and charges.
The Commission believes that the proposed rule change is consistent
with the Exchange Act because the proposed rule change provides for
commercially reasonable fees to partially offset costs associated with
operating RTRS and producing and disseminating transaction reports to
subscribers. The proposal will become effective January 1, 2011, as
requested by the MSRB.
It is therefore ordered, pursuant to Section 19(b)(2) of the
Exchange Act,\6\ that the proposed rule change (SR-MSRB-2010-09), be,
and it hereby is, approved.
---------------------------------------------------------------------------
\6\ 15 U.S.C. 78s(b)(2).
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. 2010-29720 Filed 11-24-10; 8:45 am]
BILLING CODE 8011-01-P
