Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 to Proposed Rule Change To Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook; Correction, 63969 [2011-26526]

Download as PDF Federal Register / Vol. 76, No. 199 / Friday, October 14, 2011 / Notices 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 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 the filing also will be available for inspection and copying at the Exchange’s principal office, and on its Web site at https:// www.nyse.com. The text of the proposed rule change is available on the Commission’s Web site at https:// www.sec.gov. 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 SR–NYSEAmex–2011–76 and should be submitted on or before November 4, 2011. ACTION: Notice; correction. The Securities and Exchange Commission published in the Federal Register of August 2, 2011 a Notice of Filing of Amendment No. 1 to Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook (‘‘Notice’’). The Notice contained incorrect information regarding the timing for Commission action. FOR FURTHER INFORMATION CONTACT: Alicia Goldin, Division of Trading and Markets, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549, (202) 551–5618. SUMMARY: Correction In the Federal Register of August 2, 2011, in FR Doc. 2011–19420, on page 46346, the text beginning at the 8th line of the 2nd column, under the heading ‘‘Section III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action,’’ is corrected to read as follows: Within 35 days of the date of publication of this notice in the Federal Register or within such longer period (i) As the Commission may designate up to 90 days of such date if it finds such longer period to be appropriate and publishes its reasons for so finding or (ii) as to which the self-regulatory organization consents, the Commission will: (A) By order approve such proposed rule change, or (B) Institute proceedings to determine whether the proposed rule change should be disapproved. For the Commission, by the Division of Trading and Markets, pursuant to delegated authority.24 Elizabeth M. Murphy, Secretary. Elizabeth M. Murphy, Secretary. [FR Doc. 2011–26512 Filed 10–13–11; 8:45 am] BILLING CODE 8011–01–P [FR Doc. 2011–26526 Filed 10–13–11; 8:45 am] BILLING CODE 8011–01–P SECURITIES AND EXCHANGE COMMISSION SECURITIES AND EXCHANGE COMMISSION [Release No. 34–65514; File No. SR–BX– 2011–066] tkelley on DSK3SPTVN1PROD with NOTICES [Release No. 34–64969A; File No. SR– FINRA–2009–028] Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 to Proposed Rule Change To Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook; Correction October 7, 2011. Securities and Exchange Commission. AGENCY: Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Inbound Routing from an Affiliated Exchange October 7, 2011. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (‘‘Act’’) 1, and Rule 19b–4 2 thereunder, notice is hereby given that on 1 15 24 17 CFR 200.30–3(a)(12). VerDate Mar<15>2010 15:20 Oct 13, 2011 2 17 Jkt 226001 PO 00000 U.S.C. 78s(b)(1). CFR 240.19b–4. Frm 00069 Fmt 4703 September 30, 2011, NASDAQ OMX BX, Inc. (‘‘Exchange’’ or ‘‘BX’’) 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 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 BX is filing with the Commission a proposed rule change to permit it to accept inbound orders routed by Nasdaq Execution Services LLC (‘‘NES’’) from the NASDAQ OMX PSX facility (‘‘PSX’’) of NASDAQ OMX PHLX (‘‘PHLX’’) (with the attendant obligations and conditions), as described further below, on a one year pilot basis. The text of the proposed rule change is available at https:// nasdaqomxbx.cchwallstreet.com/, at BX’s principal office, 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, the Exchange 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 Exchange 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 In conjunction with a proposal by PHLX to provide outbound routing services to all markets using its affiliated routing broker, NES,3 the Exchange proposes that NES be permitted to route orders from PSX to the Exchange on a one year pilot basis. NES is a broker-dealer and member of NASDAQ, PHLX and the Exchange. NES provides all routing functions for The NASDAQ Stock Market (‘‘NASDAQ’’) as well as, pursuant to recent proposed rule changes, BX and PHLX.4 The 3 See 4 See Sfmt 4703 63969 E:\FR\FM\14OCN1.SGM SR–Phlx–2011–108. SR–BX–2011–048 and SR–Phlx–2011–108. 14OCN1

Agencies

[Federal Register Volume 76, Number 199 (Friday, October 14, 2011)]
[Notices]
[Page 63969]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-26526]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-64969A; File No. SR-FINRA-2009-028]


Self-Regulatory Organizations; Financial Industry Regulatory 
Authority, Inc.; Notice of Filing of Amendment No. 1 to Proposed Rule 
Change To Adopt FINRA Rule 2231 (Customer Account Statements) in the 
Consolidated FINRA Rulebook; Correction

October 7, 2011.
AGENCY: Securities and Exchange Commission.

ACTION: Notice; correction.

-----------------------------------------------------------------------

SUMMARY: The Securities and Exchange Commission published in the 
Federal Register of August 2, 2011 a Notice of Filing of Amendment No. 
1 to Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account 
Statements) in the Consolidated FINRA Rulebook (``Notice''). The Notice 
contained incorrect information regarding the timing for Commission 
action.

FOR FURTHER INFORMATION CONTACT: Alicia Goldin, Division of Trading and 
Markets, Securities and Exchange Commission, 100 F Street, NE., 
Washington, DC 20549, (202) 551-5618.

Correction

    In the Federal Register of August 2, 2011, in FR Doc. 2011-19420, 
on page 46346, the text beginning at the 8th line of the 2nd column, 
under the heading ``Section III. Date of Effectiveness of the Proposed 
Rule Change and Timing for Commission Action,'' is corrected to read as 
follows:
    Within 35 days of the date of publication of this notice in the 
Federal Register or within such longer period (i) As the Commission may 
designate up to 90 days of such date if it finds such longer period to 
be appropriate and publishes its reasons for so finding or (ii) as to 
which the self-regulatory organization consents, the Commission will:
    (A) By order approve such proposed rule change, or
    (B) Institute proceedings to determine whether the proposed rule 
change should be disapproved.

Elizabeth M. Murphy,
Secretary.
[FR Doc. 2011-26526 Filed 10-13-11; 8:45 am]
BILLING CODE 8011-01-P
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