Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Correct Cross-References in the Customer Code, 12769-12771 [2011-5139]

Download as PDF Federal Register / Vol. 76, No. 45 / Tuesday, March 8, 2011 / Notices Affirmation Session (Public Meeting) (Tentative). Entergy Nuclear Vermont Yankee, L.L.C. and Entergy Nuclear Operations, Inc. (Vermont Yankee Nuclear Power Station), Petition for Review of LBP–10–19 (Oct. 28, 2010), Docket No. 50–271–LR. (Tentative). Week of March 14, 2011—Tentative accommodation will be made on a caseby-case basis. This notice is distributed electronically to subscribers. If you no longer wish to receive it, or would like to be added to the distribution, please contact the Office of the Secretary, Washington, DC 20555 (301–415–1969), or send an e-mail to darlene.wright@nrc.gov. There are no meetings scheduled for the week of March 14, 2011. Dated: March 3, 2011. Rochelle C. Bavol, Policy Coordinator, Office of the Secretary. Week of March 21, 2011—Tentative [FR Doc. 2011–5336 Filed 3–4–11; 4:15 pm] Thursday, March 24, 2011 BILLING CODE 7590–01–P 9 a.m. Briefing on the 50.46a RiskInformed Emergency Core Cooling System (ECCS) Rule (Public Meeting). (Contact: Richard Dudley, 301–415–1116.) This meeting will be webcast live at the Web address—http://www.nrc.gov. U.S. Office of Personnel Management. ACTION: Notice. Tuesday, March 29, 2011 9 a.m. Briefing on Small Modular Reactors (Public Meeting). (Contact: Stephanie Coffin, 301–415–6877.) This meeting will be webcast live at the Web address—http://www.nrc.gov. Thursday, March 31, 2011 2:30 p.m. Discussion of Management Issues (Closed-Ex. 2). Week of April 4, 2011—Tentative There are no meetings scheduled for the week of April 4, 2011. srobinson on DSKHWCL6B1PROD with NOTICES Week of April 11, 2011—Tentative There are no meetings scheduled for the week of April 11, 2011. * The schedule for Commission meetings is subject to change on short notice. To verify the status of meetings, call (recording)—(301) 415–1292. Contact person for more information: Rochelle Bavol, (301) 415–1651. The NRC Commission Meeting Schedule can be found on the Internet at: http://www.nrc.gov/public-involve/ public-meetings/schedule.html. The NRC provides reasonable accommodation to individuals with disabilities where appropriate. If you need a reasonable accommodation to participate in these public meetings, or need this meeting notice or the transcript or other information from the public meetings in another format (e.g. braille, large print), please notify Bill Dosch, Chief, Work Life and Benefits Branch, at 301–415–6200, TDD: 301– 415–2100, or by e-mail at william.dosch@nrc.gov. Determinations on requests for reasonable 19:12 Mar 07, 2011 Jkt 223001 Federal Prevailing Rate Advisory Committee; Cancellation of Upcoming Meeting AGENCY: Week of March 28, 2011—Tentative VerDate Mar<15>2010 OFFICE OF PERSONNEL MANAGEMENT The Federal Prevailing Rate Advisory Committee is issuing this notice to cancel the March 17, 2011, public meeting scheduled to be held in Room 5A06A, U.S. Office of Personnel Management Building, 1900 E Street, NW., Washington, DC. The original Federal Register notice announcing this meeting was published Monday, December 6, 2010, at 75 FR 75706. FOR FURTHER INFORMATION CONTACT: Madeline Gonzalez, 202–606–2838; email pay-performance-policy@opm.gov; or FAX: (202) 606–4264. SUMMARY: U.S. Office of Personnel Management. Sheldon Friedman, Chairman, Federal Prevailing Rate Advisory Committee. [FR Doc. 2011–5266 Filed 3–7–11; 8:45 am] BILLING CODE 6325–49–P 12769 certified that, in his opinion, one or more of the exemptions set forth in 5 U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) and 17 CFR 200.402(a)(3), (5), (7), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meeting. Commissioner Walter, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session. The subject matter of the Closed Meeting scheduled for Thursday, March 10, 2011 will be: Institution and settlement of injunctive actions; Institution and settlement of administrative proceedings; and other matters relating to enforcement proceedings. At times, changes in Commission priorities require alterations in the scheduling of meeting items. For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact: The Office of the Secretary at (202) 551–5400. Dated: March 3, 2011. Elizabeth M. Murphy, Secretary. [FR Doc. 2011–5270 Filed 3–4–11; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–64005; File No. SR–FINRA– 2011–007] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Correct Cross-References in the Customer Code March 2, 2011. SECURITIES AND EXCHANGE COMMISSION Sunshine Act Meeting Notice is hereby given, pursuant to the provisions of the Government in the Sunshine Act, Public Law 94–409, that the Securities and Exchange Commission will hold a Closed Meeting on Thursday, March 10, 2011 at 2 p.m. Commissioners, Counsel to the Commissioners, the Secretary to the Commission, and recording secretaries will attend the Closed Meeting. Certain staff members who have an interest in the matters also may be present. The General Counsel of the Commission, or his designee, has PO 00000 Frm 00079 Fmt 4703 Sfmt 4703 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 February 16, 2011, the 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 substantially prepared by FINRA. FINRA has designated the proposed rule change as concerned solely with the administration of the self-regulatory organization under 1 15 2 17 E:\FR\FM\08MRN1.SGM U.S.C. 78s(b)(1). CFR 240.19b–4. 08MRN1 12770 Federal Register / Vol. 76, No. 45 / Tuesday, March 8, 2011 / Notices Section 19(b)(3)(A)(iii) of the Act 3 and Rule 19b–4(f)(3) thereunder,4 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 amend various rules of the Code of Arbitration Procedure for Customer Disputes (Customer Code) to correct crossreferences to rules that were changed by the approval of another rule filing. 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. A. Self-Regulatory Organization’s Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 2. Statutory Basis FINRA believes that the proposed rule change is consistent with the provisions of Section 15A(b)(6) of the Act,7 which requires, among other things, that FINRA rules must be designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, and, in general, to protect investors and the public interest. FINRA believes that the proposed rule change will assist in the efficient administration of arbitrations by correcting inaccurate cross-references in the Customer Code. FINRA believes these technical, non-substantive amendments will enhance the Code by making it easier to understand and apply. B. Self-Regulatory Organization’s Statement on Burden on Competition FINRA 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. C. Self-Regulatory Organization’s Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others 1. Purpose srobinson on DSKHWCL6B1PROD with NOTICES Part IV rules in other rules of the Customer Code became inaccurate. FINRA is, therefore, proposing to amend the Customer Code to correct the cross-references that were changed as a result of the Optional All Public Panel Proposal.6 The new proposal would amend Rules 12213(a), 12309(c), 12314, 12503(c), 12800(e), and 12903(a). FINRA has filed the proposed rule change for immediate effectiveness. The effective date and the implementation date will be the date of filing. On January 31, 2011, the SEC approved a proposal to amend the panel composition rule, and related rules, of the Customer Code to provide customers with the option to choose an all public arbitration panel in all cases (Optional All Public Panel Proposal).5 The proposal changed substantively most of the rules in Part IV of the Customer Code to reflect the option to choose an all public arbitration panel in all cases. Further, many of the Part IV rules of the Customer Code were also re-numbered when some of the old rules were eliminated or combined with other rules. As a result of the changes by the proposal, several cross-references to old U.S.C. 78s(b)(3)(A)(iii). CFR 240.19b–4(f)(3). 5 See Securities Exchange Act Release No. 63799 (Jan. 31, 2011), 76 FR 6500 (Feb. 4, 2011) (Order Approving File No. SR–FINRA–2010–053). Written comments were neither solicited nor received. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Because the foregoing proposed rule change is concerned solely with the administration of the self-regulatory organization, it has become effective pursuant to Section 19(b)(3)(A) of the Act 8 and paragraph (f)(3) of Rule 19b4 thereunder.9 At any time within 60 days of the filing of the proposed rule change, the Commission summarily may temporarily suspend such rule change if it appears to the Commission that such 3 15 4 17 VerDate Mar<15>2010 19:12 Mar 07, 2011 Jkt 223001 6 Id. 7 15 U.S.C. 78o–3(b)(6). U.S.C. 78s(b)(3)(A). 9 17 CFR 240.19b–4(f)(3). 8 15 PO 00000 Frm 00080 Fmt 4703 Sfmt 4703 action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act. If the Commission takes such action, the Commission shall institute proceedings to determine whether the proposed rule should be approved or disapproved. 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 (http://www.sec.gov/ rules/sro.shtml); or • Send an e-mail to rulecomments@sec.gov. Please include File Number SR–FINRA–2011–007 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–FINRA–2011–007. 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 (http://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 Web site viewing and printing 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 also will be available for inspection and copying at the principal office of FINRA. 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 E:\FR\FM\08MRN1.SGM 08MRN1 Federal Register / Vol. 76, No. 45 / Tuesday, March 8, 2011 / Notices Number SR–FINRA–2011–007 and should be submitted on or before March 29, 2011. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.10 Cathy H. Ahn, Deputy Secretary. [FR Doc. 2011–5139 Filed 3–7–11; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–64009; File No. SR–BX– 2011–014] Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the BOX Trading Rules To Expand the Short Term Option Series Program March 2, 2011. 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 March 1, 2011, NASDAQ OMX BX, Inc. (the ‘‘Exchange’’) filed with the Securities and Exchange Commission (‘‘Commission’’) the proposed rule change as described in Items I and II below, which Items have been prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. srobinson on DSKHWCL6B1PROD with NOTICES I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to amend Chapter IV, Section 6 (Series of Options Contracts Open for Trading) and Chapter XIV, Section 10 (Terms of Index Option Contracts) of the Rules of the Boston Options Exchange Group, LLC (‘‘BOX’’) to expand the Short Term Option Series Program (‘‘Weeklys Program’’) so that BOX may select fifteen option classes on which Weekly options may be opened. The text of the proposed rule change is available from the principal office of the Exchange, on the Commission’s Web site at http:// www.sec.gov, at the Commission’s Public Reference Room, and also on the Exchange’s Internet Web site at http:// nasdaqomxbx.cchwallstreet.com/ NASDAQOMXBX/Filings/. 10 17 CFR 200.30–3(a)(12). U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. 1 15 VerDate Mar<15>2010 19:12 Mar 07, 2011 Jkt 223001 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 The purpose of this proposed rule change is to amend Chapter IV, Section 6 (Series of Options Contracts Open for Trading) and Chapter XIV, Section 10 (Terms of Index Option Contracts) of the Rules of the Boston Options Exchange Group, LLC (‘‘BOX’’) to expand the Short Term Option Series Program (‘‘Weeklys Program’’) so that BOX may select fifteen option classes on which Weekly options may be opened.3 The Weeklys Program is codified in the Supplementary Material to the BOX Rules Sections identified above. These rules provide that after an option class has been approved for listing and trading on BOX, BOX may open for trading on any Thursday or Friday that is a business day series of options on no more than five option classes that expire on the Friday of the following business week that is a business day. In addition to the five-option class limitation, there is also a limitation that no more than twenty series for each expiration date in those classes that may be opened for trading.4 3 The Exchange’s Weeklys Program became effective on July 15, 2010. See Securities Exchange Act Release No. 62505 (July 15, 2010), 75 FR 42792 (July 22, 2010) (SR–BX–2010–047). 4 However, if BOX opens less than twenty (20) Weekly options for a Weekly Option Expiration Date, additional series may be opened for trading on BOX when the Exchange deems it necessary to maintain an orderly market, to meet customer demand or when the market price of the underlying security moves substantially from the exercise price or prices of the series already opened. Any additional strike prices listed by the Exchange shall be within thirty percent (30%) above or below the current price of the underlying security. BOX may also open additional strike prices of Weekly Option Series that are more than 30% above or below the current price of the underlying security provided that demonstrated customer interest exists for such series, as expressed by institutional, corporate or individual customers or their brokers (marketmakers trading for their own account shall not be considered when determining customer interest under this provision). PO 00000 Frm 00081 Fmt 4703 Sfmt 4703 12771 Furthermore, the strike price of each Weekly option has to be fixed with approximately the same number of strike prices being opened above and below the value of the underlying security at about the time that the Weekly options are initially opened for trading on BOX, and with strike prices being within thirty percent (30%) above or below the closing price of the underlying security from the preceding day. The Exchange does not propose any changes to these additional Weeklys Program limitations. The Exchange proposes only to increase from five to fifteen the number of option classes that may be opened pursuant to the Weeklys Program. The principal reason for the proposed expansion is customer demand for adding, or not removing, Weekly option classes from the Program. Since there is reciprocity in matching other exchanges’ Weekly option choices, BOX discontinues trading Weekly option classes that other exchanges change from week-to-week. BOX believes that these class pick changes have negatively impacted investors and traders, particularly retail public customers, who have, on occasion requested that BOX add Weekly option classes. BOX understands that a retail investor recently requested another exchange to reinstate a Weekly option class that the exchange had removed from trading because of the five-class option limit within the Weekly Program. The investor advised that the removed class was a powerful tool for hedging a market sector, and that various strategies that the investor put into play were disrupted and eliminated when the class was removed. BOX feels that it is essential that such negative, potentially very costly impacts on retail investors are eliminated by modestly expanding the Program to enable additional classes to be traded. With regard to the impact of this proposal on system capacity, BOX has analyzed its capacity and represents that it and the Options Price Reporting Authority (‘‘OPRA’’) have the necessary systems capacity to handle the potential additional traffic associated with trading of an expanded number of classes in the Weeklys Program. BOX believes that the Weeklys Program has provided investors with greater trading opportunities and flexibility and the ability to more closely tailor their investment and risk management strategies and decisions. Furthermore, BOX has had to eliminate option classes on numerous occasions because of the limitation imposed by the E:\FR\FM\08MRN1.SGM 08MRN1

Agencies

[Federal Register Volume 76, Number 45 (Tuesday, March 8, 2011)]
[Notices]
[Pages 12769-12771]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-5139]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-64005; File No. SR-FINRA-2011-007]


Self-Regulatory Organizations; Financial Industry Regulatory 
Authority, Inc.; Notice of Filing and Immediate Effectiveness of 
Proposed Rule Change Relating to Correct Cross-References in the 
Customer Code

March 2, 2011.
    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 February 16, 2011, the 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 substantially prepared by FINRA. FINRA 
has designated the proposed rule change as concerned solely with the 
administration of the self-regulatory organization under

[[Page 12770]]

Section 19(b)(3)(A)(iii) of the Act \3\ and Rule 19b-4(f)(3) 
thereunder,\4\ 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.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \4\ 17 CFR 240.19b-4(f)(3).
---------------------------------------------------------------------------

I. Self-Regulatory Organization's Statement of the Terms of Substance 
of the Proposed Rule Change

    FINRA is proposing to amend various rules of the Code of 
Arbitration Procedure for Customer Disputes (Customer Code) to correct 
cross-references to rules that were changed by the approval of another 
rule filing.
    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.

A. Self-Regulatory Organization's Statement of the Purpose of, and 
Statutory Basis for, the Proposed Rule Change

1. Purpose
    On January 31, 2011, the SEC approved a proposal to amend the panel 
composition rule, and related rules, of the Customer Code to provide 
customers with the option to choose an all public arbitration panel in 
all cases (Optional All Public Panel Proposal).\5\ The proposal changed 
substantively most of the rules in Part IV of the Customer Code to 
reflect the option to choose an all public arbitration panel in all 
cases. Further, many of the Part IV rules of the Customer Code were 
also re-numbered when some of the old rules were eliminated or combined 
with other rules. As a result of the changes by the proposal, several 
cross-references to old Part IV rules in other rules of the Customer 
Code became inaccurate.
---------------------------------------------------------------------------

    \5\ See Securities Exchange Act Release No. 63799 (Jan. 31, 
2011), 76 FR 6500 (Feb. 4, 2011) (Order Approving File No. SR-FINRA-
2010-053).
---------------------------------------------------------------------------

    FINRA is, therefore, proposing to amend the Customer Code to 
correct the cross-references that were changed as a result of the 
Optional All Public Panel Proposal.\6\ The new proposal would amend 
Rules 12213(a), 12309(c), 12314, 12503(c), 12800(e), and 12903(a). 
FINRA has filed the proposed rule change for immediate effectiveness. 
The effective date and the implementation date will be the date of 
filing.
---------------------------------------------------------------------------

    \6\ Id.
---------------------------------------------------------------------------

2. Statutory Basis
    FINRA believes that the proposed rule change is consistent with the 
provisions of Section 15A(b)(6) of the Act,\7\ which requires, among 
other things, that FINRA rules must be designed to prevent fraudulent 
and manipulative acts and practices, to promote just and equitable 
principles of trade, and, in general, to protect investors and the 
public interest. FINRA believes that the proposed rule change will 
assist in the efficient administration of arbitrations by correcting 
inaccurate cross-references in the Customer Code. FINRA believes these 
technical, non-substantive amendments will enhance the Code by making 
it easier to understand and apply.
---------------------------------------------------------------------------

    \7\ 15 U.S.C. 78o-3(b)(6).
---------------------------------------------------------------------------

B. Self-Regulatory Organization's Statement on Burden on Competition

    FINRA 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.

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

    Because the foregoing proposed rule change is concerned solely with 
the administration of the self-regulatory organization, it has become 
effective pursuant to Section 19(b)(3)(A) of the Act \8\ and paragraph 
(f)(3) of Rule 19b-4 thereunder.\9\
---------------------------------------------------------------------------

    \8\ 15 U.S.C. 78s(b)(3)(A).
    \9\ 17 CFR 240.19b-4(f)(3).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of the proposed rule 
change, the Commission summarily may temporarily suspend 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. If the Commission 
takes such action, the Commission shall institute proceedings to 
determine whether the proposed rule should be approved or disapproved.

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 (http://www.sec.gov/rules/sro.shtml); or
     Send an e-mail to rule-comments@sec.gov. Please include 
File Number SR-FINRA-2011-007 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-FINRA-2011-007. 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 (http://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 Web site 
viewing and printing 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 also will be 
available for inspection and copying at the principal office of FINRA. 
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

[[Page 12771]]

Number SR-FINRA-2011-007 and should be submitted on or before March 29, 
2011.

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\10\
---------------------------------------------------------------------------

    \10\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Cathy H. Ahn,
Deputy Secretary.
[FR Doc. 2011-5139 Filed 3-7-11; 8:45 am]
BILLING CODE 8011-01-P