Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change Relating to Promissory Note Proceedings; Correction, 21932 [2011-9413]

Download as PDF mstockstill on DSKH9S0YB1PROD with NOTICES 21932 Federal Register / Vol. 76, No. 75 / Tuesday, April 19, 2011 / Notices disclosure requirements for registration statements filed by foreign private issuers under the Securities Act. Based on the number of nonaccelerated filers that filed an annual report in 2009, we estimate that approximately 4,400 annual reports on Form 10–K and approximately 285 annual reports on Form 20–F are filed annually by non-accelerated filers. The current burden estimates for Form 10– K and Form 20–F attribute 0.5 burden hours per issuer for filing the auditor attestation report, including the burden attributed to the related disclosure in the annual report, and do not include any burden attributed to the audit work.6 Consistent with the burden estimates for these forms, that estimate is then split 75% and 25% between internal staff and external professionals for Form 10–K, and 25% and 75% between internal staff and external professionals for Form 20–F. Both estimates assume an hourly rate of $400 for external professionals. Accordingly, we are reducing the aggregate burden estimate by 1,650 hours of internal staff time and $220,000 for external professional services for Form 10–K, and 36 hours of internal staff time and $42,750 for external professional services for Form 20–F. The information collections requirements related to Forms 10–K and 20–F are mandatory. There is no mandatory retention period for the information disclosed, and the information disclosed is made publicly available on the EDGAR filing system. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. The public may view the background documentation for this information collection at the following Web site, http: www.reginfo.gov. Comments should be directed to: (i) Desk Officer for the Securities and Exchange Commission, Office of Information and Regulatory Affairs, Office of Management and Budget, Room 10102, New Executive Office Building, Washington, DC 20503, or by sending an e-mail to: Shagufta_Ahmed@omb.eop.gov; and (ii) Thomas Bayer, Chief Information Officer, Securities and Exchange Commission, c/o Remi Pavlik-Simon, 6432 General Green Way, Alexandria, VA 22312 or send an e-mail to: PRA_Mailbox@sec.gov. Comments must 6 For further information on the determination of our estimates, see Release No. 33–8238 (June 5, 2003) [68 FR 36636]. VerDate Mar<15>2010 16:19 Apr 18, 2011 Jkt 223001 be submitted to OMB within 30 days of this notice. Please direct your written comments to Thomas Bayer, Chief Information Officer, Securities and Exchange Commission, c/o Remi Pavlik-Simon, 6432 General Green Way, Alexandria, VA 22312; or send an e-mail to: PRAMailbox@sec.gov. April 11, 2011. Elizabeth M. Murphy, Secretary. [FR Doc. 2011–9414 Filed 4–18–11; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION [Release No. 34–64226A; File No. SR– FINRA–2011–005] (‘‘Act’’),1 and Rule 19b–4 thereunder,2 a proposed rule change to amend Rule 13806 of the Code of Arbitration Procedure for Industry Disputes (‘‘Industry Code’’) to provide that FINRA will appoint a chair-qualified public arbitrator to a panel resolving a promissory note dispute instead of a chair-qualified public arbitrator also qualified to resolve a statutory discrimination claim. The proposed rule change was published for comment in the Federal Register on February 22, 2011.3 The Commission did not receive any comments on the proposal. This order approves the proposed change. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.4 Cathy H. Ahn, Deputy Secretary. Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Granting Approval of a Proposed Rule Change Relating to Promissory Note Proceedings; Correction [FR Doc. 2011–9413 Filed 4–18–11; 8:45 am] April 13, 2011. [Release No. 34–64299; File No. SR–NYSE– 2011–14] Need for Correction In FR Document No. 2011–8897 beginning on page 20741 as published on Wednesday, April 13, 2011, the Commission issued Release No. 34– 64226, an order approving the proposed rule change by the Financial Industry Regulatory Authority, Inc. (‘‘FINRA’’) to amend Rule 13806 of the Code of Arbitration Procedure for Industry Disputes (‘‘Industry Code’’). Commission staff discovered that a statement in the introduction section of that order mischaracterized the nature of the rule change which was described accurately in the remainder of the order. The staff believes this mischaracterization was the result of an editing error. This correction does not substantively amend the Commission’s approval order. The sole purpose of this correction is to rectify the error in the introduction section and alleviate any potential confusion. The introduction section of this approval order is being republished with the correction. Correction of Publication Accordingly, the Introduction of the approval order is republished to correct a statement therein, as follows: I. Introduction On February 4, 2011, the Financial Industry Regulatory Authority, Inc. (‘‘FINRA’’) filed with the Securities and Exchange Commission (‘‘Commission’’), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 PO 00000 Frm 00079 Fmt 4703 Sfmt 4703 BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Alter Listing Fees Applicable to Debt Securities and Structured Products April 14, 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 April 11, 2011, the New York Stock Exchange LLC (‘‘NYSE’’ or the ‘‘Exchange’’) filed with the Securities and Exchange Commission (the ‘‘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. I. Self-Regulatory Organization’s Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to amend Section 902.08 of the Listed Company Manual (the ‘‘Manual’’) to alter its listing fees applicable to debt securities and 1 15 U.S.C. 78s(b)(1). CFR 240.19b–4. 3 See Securities and Exchange Act Release No. 63909 (February 15, 2011), 76 FR 9838 (February 22, 2011) (‘‘Notice’’). 4 17 CFR 200.30–3(a)(12). 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b–4. 2 17 E:\FR\FM\19APN1.SGM 19APN1

Agencies

[Federal Register Volume 76, Number 75 (Tuesday, April 19, 2011)]
[Notices]
[Page 21932]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-9413]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-64226A; File No. SR-FINRA-2011-005]


 Self-Regulatory Organizations; Financial Industry Regulatory 
Authority, Inc.; Order Granting Approval of a Proposed Rule Change 
Relating to Promissory Note Proceedings; Correction

April 13, 2011.

Need for Correction

    In FR Document No. 2011-8897 beginning on page 20741 as published 
on Wednesday, April 13, 2011, the Commission issued Release No. 34-
64226, an order approving the proposed rule change by the Financial 
Industry Regulatory Authority, Inc. (``FINRA'') to amend Rule 13806 of 
the Code of Arbitration Procedure for Industry Disputes (``Industry 
Code''). Commission staff discovered that a statement in the 
introduction section of that order mischaracterized the nature of the 
rule change which was described accurately in the remainder of the 
order. The staff believes this mischaracterization was the result of an 
editing error.
    This correction does not substantively amend the Commission's 
approval order. The sole purpose of this correction is to rectify the 
error in the introduction section and alleviate any potential 
confusion. The introduction section of this approval order is being 
republished with the correction.

Correction of Publication

    Accordingly, the Introduction of the approval order is republished 
to correct a statement therein, as follows:

I. Introduction

    On February 4, 2011, the Financial Industry Regulatory Authority, 
Inc. (``FINRA'') filed with the Securities and Exchange Commission 
(``Commission''), pursuant to Section 19(b)(1) of the Securities 
Exchange Act of 1934 (``Act''),\1\ and Rule 19b-4 thereunder,\2\ a 
proposed rule change to amend Rule 13806 of the Code of Arbitration 
Procedure for Industry Disputes (``Industry Code'') to provide that 
FINRA will appoint a chair-qualified public arbitrator to a panel 
resolving a promissory note dispute instead of a chair-qualified public 
arbitrator also qualified to resolve a statutory discrimination claim. 
The proposed rule change was published for comment in the Federal 
Register on February 22, 2011.\3\ The Commission did not receive any 
comments on the proposal. This order approves the proposed change.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities and Exchange Act Release No. 63909 (February 
15, 2011), 76 FR 9838 (February 22, 2011) (``Notice'').

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\4\
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    \4\ 17 CFR 200.30-3(a)(12).
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Cathy H. Ahn,
Deputy Secretary.
[FR Doc. 2011-9413 Filed 4-18-11; 8:45 am]
BILLING CODE 8011-01-P
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