Federal Register / Vol. 76, No. 45 / Tuesday, March 8, 2011 / Notices 12773 

13 17 CFR 200.30–3(a)(12). 

1 15 U.S.C. 78s(b)(1). 

2 17 CFR 240.19b–4. 

3See Securities Exchange Act Release No. 59009 

(November 24, 2008), 73 FR 73363 (December 2, 

2008) (order approving SR–NYSEALTR–2008–07); 

see also Securities Exchange Act Release No. 59473 

(February 27, 2009) 74 FR 9853 (March 6, 2009) 

(order approving SR–NYSEALTR–2009–18). 

4See Securities Exchange Act Release No. 55590 

(April 5, 2007), 72 FR 18707 (April 13, 2007) (notice 

of immediate effectiveness of SR–NYSE–2007–29); 

see also Securities Exchange Act Release No. 58680 

(September 29, 2008), 73 FR 58283 (October 6, 

2008) (order approving SR–NYSE–2008–76). See 

Securities Exchange Act Release No. 54238 (July 28, 

2006), 71 FR 44758 (August 7, 2006) (order 

approving SR–NYSEArca–2006–13); see also 

Securities Exchange Act Release No. 52497 

(September 22, 2005), 70 FR 56949 (September 29, 

2005) (SR–PCX–2005–90); see also Securities 

Exchange Act Release No. 44983 (October 25, 2001), 

66 FR 55225 (November 1, 2001) (SR–PCX–00–25); 

see also Securities Exchange Act Release No. 58681 

(September 29, 2008), 73 FR 58285 (October 6, 

2008) (order approving NYSEArca–2008–90). 

5See Securities Exchange Act Release No. 58673 

(September 29, 2008), 73 FR 57707 (October 3, 

2008) (order approving SR–Amex-2008–62). See 

also Securities Exchange Act Release No. 58705 

(October 1, 2008), 73 FR 58995 (October 8, 2008) 

(order approving SR–AMEX–2008–63). 

6See Securities Exchange Act Release No. 62831 

(September 2, 2010), 75 FR 55388 (September 10, 

2010) (Notice of immediate effectiveness of SR– 

NYSEAmex–2010–91). 

7 15 U.S.C. 78f(b). 

8 15 U.S.C. 78f(b)(5). 

9The Exchange is currently analyzing the 

condition regarding non-public information and 

system changes in order to better reflect the 

operation of Arca Securities. 

copying at the principal office of the 

Exchange. 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–BX– 

2011–014 and should be submitted on 

or before March 29, 2011. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.13

Cathy H. Ahn, 

Deputy Secretary. 

[FR Doc. 2011–5141 Filed 3–7–11; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–64014; File No. SR– 

NYSEAmex–2011–10] 

Self-Regulatory Organizations; NYSE 

Amex LLC; Notice of Filing and 

Immediate Effectiveness of Proposed 

Rule Change Extending the Pilot 

Period of the Exchange’s Prior 

Approvals To Receive Inbound Routes 

of Equities Orders From Archipelago 

Securities LLC 

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 

24, 2011, NYSE Amex LLC (the 

‘‘Exchange’’ or ‘‘NYSE Amex’’) 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 NYSE Amex. 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 extend the 

pilot period of the Exchange’s prior 

approvals to receive inbound routes of 

equities orders from Archipelago 

Securities LLC (‘‘Arca Securities’’), an 

NYSE Amex affiliated member. The text 

of the proposed rule change is available 

at the Exchange, the Commission’s 

Public Reference Room, and http:// 

www.nyse.com. 

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 those 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 parts of such 

statements. 

A. Self-Regulatory Organization’s 

Statement of the Purpose of, and the 

Statutory Basis for, the Proposed Rule 

Change 

1. Purpose 

Currently, Arca Securities is the 

approved outbound order routing 

facility of the Exchange.3 Arca 

Securities is also the approved 

outbound order routing facility of the 

New York Stock Exchange (‘‘NYSE’’) and 

NYSE Arca, Inc. (‘‘NYSE Arca’’).4 The 

Exchange has also been previously 

approved to receive inbound routes of 

equities orders by Arca Securities in its 

capacity as an order routing facility of 

the NYSE and NYSE Arca.5 The 

Exchange’s authority to receive inbound 

routes of equities orders by Arca 

Securities is subject to a pilot period 

ending March 31, 2011.6 The Exchange 

hereby seeks to extend the previously 

approved pilot period (with the 

attendant obligations and conditions) 

for an additional six months, through 

September 30, 2011. 

2. Statutory Basis 

The proposed rule change is 

consistent with Section 6(b) of the 

Securities Exchange Act of 1934 (the 

‘‘Act’’),7 in general, and furthers the 

objectives of Section 6(b)(5),8 in 

particular, in that it is designed to 

prevent fraudulent and manipulative 

acts and practices, to promote just and 

equitable principles of trade, to foster 

cooperation and coordination with 

persons engaged in facilitating 

transactions in securities, and to remove 

impediments to and perfect the 

mechanism of a free and open market 

and a national market system. 

Specifically, the proposed rule change 

will allow the Exchange to continue 

receiving inbound routes of equities 

orders from Arca Securities acting in its 

capacity as a facility of the NYSE and 

NYSE Arca, in a manner consistent with 

prior approvals and established 

protections. The Exchange believes that 

extending the previously approved pilot 

period for six months will permit both 

the Exchange and the Commission to 

further assess the impact of the 

Exchange’s authority to receive direct 

inbound routes of equities orders via 

Arca Securities (including the attendant 

obligations and conditions).9

B. Self-Regulatory Organization’s 

Statement on Burden on Competition 

The Exchange does not believe that 

the proposed rule change will impose 

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 

No written comments were solicited 

or received with respect to the proposed 

rule change. 

III. Date of Effectiveness of the 

Proposed Rule Change and Timing for 

Commission Action 

Because the foregoing rule change 

does not: (i) Significantly affect the 

protection of investors or the public 

interest; (ii) impose any significant 

burden on competition; and (iii) become 

operative for 30 days after the date on 

which it was filed, or such shorter time 


srobinson on DSKHWCL6B1PROD with NOTICES
12774 Federal Register / Vol. 76, No. 45 / Tuesday, March 8, 2011 / Notices 

10 15 U.S.C. 78s(b)(3)(A). 

11 17 CFR 240.19b–4(f)(6). 

12 17 CFR 200.30–3(a)(12). 

1 15 U.S.C. 78s(b)(1). 

2 17 CFR 240.19b–4. 

3See Securities Exchange Act Release No. 55590 

(April 5, 2007), 72 FR 18707 (April 13, 2007) (notice 

of immediate effectiveness of SR–NYSE–2007–29); 

see also Securities and Exchange Act Release No. 

58680 (September 29, 2008), 73 FR 58283 (October 

6, 2008) (order approving SR–NYSE–2008–76). 

4See Securities Exchange Act Release No. 54238 

(July 28, 2006), 71 FR 44758 (August 7, 2006) (order 

approving SR–NYSE–2006–13); see also Securities 

Exchange Act Release No. 52497 (September 22, 

2005), 70 FR 56949 (September 29, 2005) (SR–PCX– 

2005–90); see also Securities Exchange Act Release 

No. 44983 (October 25, 2001), 66 FR 55225 

(November 1, 2001) (SR–PCX–00–25); see also 

Securities Exchange Act Release No. 58681 

(September 29, 2008), 73 FR 58285 (October 6, 

2008) (order approving NYSEArca–2008–90). See 

Securities Exchange Act Release No. 59009 

(November 24, 2008), 73 FR 73363 (December 2, 

2008) (order approving SR–NYSEALTR–2088–07); 

see also Securities Exchange Act Release No. 59473 

(February 27, 2009), 74 FR 9853 (March 6, 2009) 

(order approving SR–NYSEALTR–2009–18). 

5See Securities Exchange Act Release No. 58680 

(September 29, 2008), 73 FR 58283 (October 6, 

2008) (order approving SR–NYSE–2008–76); see 

also Securities Exchange Act Release No. 59011 

(November 24, 2008), 73 FR 73360 (December 2, 

2008) (order approving SR–NYSE–2008–122); see 

also Securities Exchange Act Release No. 60255 

(July 7, 2009), 74 FR 34065 (July 14, 2009) (order 

approving SR–NYSE–2009–58). 

6See Securities Exchange Act Release No. 62832 

(September 2, 2010), 75 FR 55391 (September 10, 

2010) (Notice of immediate effectiveness of SR– 

NYSE–2010–64). 

as the Commission may designate, it has 

become effective pursuant to Section 

19(b)(3)(A) of the Act 10 and Rule 19b– 

4(f)(6) thereunder.11

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. 

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–NYSEAmex–2011–10 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–NYSEAmex–2011–10. 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 the filing 

also will be available for inspection and 

copying at the principal office of the 

Exchange. 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–2011–10 and should be 

submitted on or before March 29, 2011. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.12

Cathy H. Ahn, 

Deputy Secretary. 

[FR Doc. 2011–5192 Filed 3–7–11; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–64013; File No. SR–NYSE– 

2011–08] 

Self-Regulatory Organizations; New 

York Stock Exchange LLC; Notice of 

Filing and Immediate Effectiveness of 

Proposed Rule Change Extending the 

Pilot Period of the Exchange’s Prior 

Approvals To Receive Inbound Routes 

of Certain Equities Orders From 

Archipelago Securities LLC 

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 

24, 2011, New York Stock Exchange 

LLC (the ‘‘Exchange’’ or ‘‘NYSE’’) filed 

with the Securities and Exchange 

Commission (the ‘‘Commission’’) the 

proposed rule change as described in 

Items I, II, and III below, which Items 

have been prepared by NYSE. 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 extend the 

pilot period of the Exchange’s prior 

approvals to receive inbound routes of 

certain equities orders from Archipelago 

Securities LLC (‘‘Arca Securities’’), an 

NYSE affiliated member. The text of the 

proposed rule change is available at the 

Exchange, the Commission’s Public 

Reference Room, and http:// 

www.nyse.com. 

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 those 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 parts of such 

statements. 

A. Self-Regulatory Organization’s 

Statement of the Purpose of, and the 

Statutory Basis for, the Proposed Rule 

Change 

1. Purpose 

Currently, Arca Securities is the 

approved outbound order routing 

facility of the Exchange.3 Arca 

Securities is also the approved 

outbound order routing facility of NYSE 

Arca, Inc. (‘‘NYSE Arca’’) and NYSE 

Amex LLC (‘‘NYSE Amex’’).4 The 

Exchange has also been previously 

approved to receive inbound routes of 

equities orders by Arca Securities in its 

capacity as an order routing facility of 

NYSE Arca and NYSE Amex.5 The 

Exchange’s authority to receive inbound 

routes of equities orders by Arca 

Securities is subject to a pilot period 

ending March 31, 2011.6 The Exchange 


srobinson on DSKHWCL6B1PROD with NOTICES