Federal Register / Vol. 76, No. 65 / Tuesday, April 5, 2011 / Notices 18813 

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

2 17 CFR 240.19b–4. 

3ETNs are also known as ‘‘Index-Linked 

Securities,’’ which are designed for investors who 

desire to participate in a specific market segment 

by providing exposure to one or more identifiable 

underlying securities, commodities, currencies, 

derivative instruments or market indexes of the 

foregoing. Index-Linked Securities are the nonconvertible debt of an issuer that have a term of at 

least one (1) year but not greater than thirty (30) 

years. Despite the fact that Index-Linked Securities 

are linked to an underlying index, each trade as a 

single, exchange-listed security. Accordingly, rules 

pertaining to the listing and trading of standard 

equity options apply to Index-Linked Securities. 

4An ETF is an open-ended registered investment 

company under the Investment Company Act of 

1940 that has received certain exemptive relief from 

the Commission to allow secondary market trading 

in the ETF shares. ETFs are generally index-based 

products, in that each ETF holds a portfolio of 

securities that is intended to provide investment 

results that, before fees and expenses, generally 

correspond to the price and yield performance of 

the underlying benchmark index. 

S. Benson, or sent via electronic mail to 

Cyrus.Benson@opm.gov or faxed to 

(202) 606–0910. 

SUPPLEMENTARY INFORMATION: 

The RI 30–10, Disabled Dependent 

Questionnaire, is used to collect 

sufficient information about the medical 

condition and earning capacity for the 

Office of Personnel Management to be 

able to determine whether a disabled 

adult child is eligible for health benefits 

coverage and/or survivor annuity 

payments under the Civil Service 

Retirement System or the Federal 

Employees Retirement System. 

Analysis 

Agency: Retirement Operations, 

Retirement Services, Office of Personnel 

Management. 

Title: Disabled Dependent 

Questionnaire. 

OMB Number: 3206–0179. 

Frequency: On occasion. 

Affected Public: Individuals or 

Households. 

Number of Respondents: 2,500. 

Estimated Time per Respondent: 1 

hour. 

Total Burden Hours: 2,500. 

U.S. Office of Personnel Management. 

John Berry, 

Director. 

[FR Doc. 2011–8055 Filed 4–4–11; 8:45 am] 

BILLING CODE 6325–38–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[File No. 500–1] 

China Changjiang Mining & New 

Energy Co., Ltd.; Order of Suspension 

of Trading 

April 1, 2011. 

It appears to the Securities and 

Exchange Commission that there is a 

lack of current and accurate information 

concerning the securities of China 

Changjiang Mining & New Energy Co., 

Ltd. (‘‘CHJI’’), a Nevada corporation 

previously known as North American 

Gaming and Entertainment Corporation. 

CHJI has headquarters and operations in 

the People’s Republic of China and 

trades in the over-the-counter market 

under the symbol ‘‘CHJI.’’ 

Questions have arisen regarding the 

accuracy and completeness of 

information contained in CHJI’s public 

filings with the Commission concerning, 

among other things, the company’s 

financial statements for 2009 and 2010. 

CHJI has failed to disclose that (a) the 

company filed its last periodic report on 

Form 10–Q for the quarter ended 

September 30, 2010 without the 

required review of the interim financial 

statements by an independent public 

accountant; and (b) the company’s 

independent auditor has resigned, 

withdrawn its audit opinion issued 

April 16, 2010 relating to the audit of 

the company’s consolidated financial 

statements as of December 31, 2009, and 

informed the company that the financial 

statements for the quarters ended March 

31, June 30, and September 30, 2010 

could no longer be relied upon. 

The Commission is of the opinion that 

the public interest and the protection of 

investors require a suspension of trading 

in the securities of the above-listed 

company. 

Therefore, it is ordered, pursuant to 

Section 12(k) of the Securities Exchange 

Act of 1934, that trading in the 

securities of the above-listed company is 

suspended for the period from 9:30 a.m. 

EDT, on April 1, 2011 through 11:59 

p.m. EDT, on April 14, 2011. 

By the Commission. 

Elizabeth M. Murphy, 

Secretary. 

[FR Doc. 2011–8135 Filed 4–1–11; 11:15 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–64150; File No. SR–Phlx– 

2011–38] 

Self-Regulatory Organizations; 

NASDAQ OMX PHLX LLC; Notice of 

Filing and Immediate Effectiveness of 

Proposed Rule Change Relating to 

ETNs 

March 30, 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 22, 

2011, NASDAQ OMX PHLX LLC (‘‘Phlx’’ 

or ‘‘Exchange’’) 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 

The Exchange proposes to amend the 

Exchange’s Fee Schedule to codify the 

Exchange’s existing practice of assessing 

fees for transactions in exchange-traded 

note (‘‘ETN’’) 3 options at the same rates 

for exchange-traded fund (‘‘ETF’’) 

options.4

While changes to the Fee Schedule 

pursuant to this proposal are effective 

upon filing, the Exchange has 

designated these changes to be operative 

on April 1, 2011. 

The text of the proposed rule change 

is available on the Exchange’s Web site 

at http://nasdaqtrader.com/ 

micro.aspx?id=PHLXfilings, at the 

principal office of the Exchange, 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 

The purpose of the proposed rule 

change is to codify the Exchange’s 

existing practice of assessing fees for 

transactions in ETN options at the same 

rates for ETF options. Specifically, the 

Exchange is proposing to amend Section 

II of the Exchange’s Fee Schedule, titled 

Equity Options Fees, and Section III, 

titled Singly Listed Options, by 

including references to ETNs in those 


srobinson on DSKHWCL6B1PROD with NOTICES
18814 Federal Register / Vol. 76, No. 65 / Tuesday, April 5, 2011 / Notices 

5HOLDRS are Holding Company Depository 

Receipts. 

6BKX represents the KBW Bank Index. 

7RUT represents the options on the Russell 

2000® Index (the ‘‘Full Value Russell Index’’ or 

‘‘RUT’’). 

8RMN represents options on the one-tenth value 

Russell 2000® Index 8 (the ‘‘Reduced Value Russell 

Index’’ or ‘‘RMN’’). 

9MNX represents options on the one-tenth value 

of the Nasdaq 100 Index traded under the symbol 

MNX (‘‘MNX’’). 

10NDX represents options on the Nasdaq 100 

Index 10 traded under the symbol NDX (‘‘NDX’’). 

11This fee proposal would not impact any equity 

options transacted in any of the symbols which are 

listed in Section I of the Exchange’s Fee Schedule 

titled ‘‘Rebates and Fees for Adding and Removing 

Liquidity in Select Symbols.’’ 

12See Securities Exchange Act Release No. 62579 

(July 28, 2010), 75 FR 47329 (August 5, 2010) (SR– 

CBOE–2010–068). 

13 15 U.S.C. 78f(b). 

14 15 U.S.C. 78f(b)(4). 15 15 U.S.C. 78s(b)(3)(A)(ii). 

16 17 CFR 200.30–3(a)(12). 

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

2 17 CFR 240.19b–4. 

sections. Section II of the Exchange’s 

Fee Schedule currently states that it 

includes options overlying equities, 

ETFs, HOLDRS,5 BKX,6 RUT,7 RMN,8

MNX 9 and NDX.10 Section III of the 

Exchange’s Fee Schedule currently 

states that it includes options overlying 

currencies, equities, ETFs, indexes and 

HOLDRS not listed on another 

exchange. The Exchange is proposing to 

add ETNS to both Sections II and III and 

assess the same rates that are currently 

assessed ETFs and other equity options 

today. 

The Exchange is not proposing to 

amend any fees.11 The Exchange would 

apply the same rates that apply to ETFs 

today to ETNs. A similar proposal was 

filed by the Chicago Board Options 

Exchange, Incorporated (‘‘CBOE’’) to 

apply the ETF rates to ETNs and include 

references to ETNs in the fee schedule.12

The Exchange is also proposing to 

make conforming amendments to the 

Table of Contents and Section IV, titled 

PIXL Pricing, of the Fee Schedule. 

2. Statutory Basis 

The Exchange believes that its 

proposal to amend its Fee Schedule is 

consistent with Section 6(b) of the Act 13

in general, and furthers the objectives of 

Section 6(b)(4) of the Act 14 in 

particular, in that it is an equitable 

allocation of reasonable fees and other 

charges among Exchange members and 

other persons using its facilities. 

The Exchange believes that it is 

reasonable to add ETNs specifically to 

Sections II and III because it would 

codify the Exchange’s existing practice 

of assessing fees for ETN options in a 

manner similar to ETF options. This 

proposal would add clarity to the 

Exchange’s Fee Schedule. 

The Exchange believes that it is 

equitable because the fees in Sections II 

and III would be uniformly applied to 

all market participants transacting 

equity options in symbols other than 

those listed in Section I of the Fee 

Schedule. 

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 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 either 

solicited or received. 

III. Date of Effectiveness of the 

Proposed Rule Change and Timing for 

Commission Action 

The foregoing rule change has become 

effective pursuant to Section 

19(b)(3)(A)(ii) of the Act.15 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 rulecomments@sec.gov. Please include File 

Number SR–Phlx-2011–38 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–Phlx-2011–38. 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–Phlx-2011–38 and should 

be submitted on or before April 26, 

2011. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.16

Cathy H. Ahn, 

Deputy Secretary. 

[FR Doc. 2011–7978 Filed 4–4–11; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–64151; File No. SR–Phlx2011–40] 

Self-Regulatory Organizations; Notice 

of Filing and Immediate Effectiveness 

of Proposed Rule Change by NASDAQ 

OMX PHLX LLC Relating to Rebates 

and Fees for Adding and Removing 

Liquidity in Select Symbols 

March 30, 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 24, 

2011, NASDAQ OMX PHLX LLC (‘‘Phlx’’ 

or ‘‘Exchange’’) filed with the Securities 


srobinson on DSKHWCL6B1PROD with NOTICES