79426 Federal Register / Vol. 75, No. 243 / Monday, December 20, 2010 / Notices 

(‘‘Commission’’) has submitted to the 

Office of Management and Budget this 

request for extension of the previously 

approved collections of information 

discussed below. 

Form 144 (17 CFR 239.144) is used to 

report the sale of securities during any 

three-month period that exceeds 5,000 

shares or other units or has an aggregate 

sales price that does not exceed $50,000. 

Under Sections 2(11), 4(1), 4(2), 4(4) and 

19(a) of the Securities Act of 1933 (15 

U.S.C. 77b, 77d(1)(2)(4) and 77s(a)) and 

Rule 144 (17 CFR 230.144) there under, 

the Commission is authorize to solicit 

the information required to be supplied 

by Form 144. The objectives of the rule 

could not be met, if the information 

collection was not required. The 

information collected must be filed with 

the Commission and is publicly 

available. Form 144 takes approximately 

1 burden hour per response and is filed 

by 23,361 respondents for a total of 

23,361 total burden hours. 

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 

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 

be submitted to OMB within 30 days of 

this notice. 

Dated: December 12, 2010. 

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. 2010–31821 Filed 12–17–10; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Form 6–K; OMB Control No. 3235–0116; 

SEC File No. 270–107] 

Submission for OMB Review; 

Comment Request 

Upon Written Request, Copies Available 

From: Securities and Exchange 

Commission, Office of Investor 

Education and Advocacy, 

Washington, DC 20549–0213. 

Extension: 

Form 6–K; OMB Control No. 3235–0116; 

SEC File No. 270–107. 

Notice is hereby given that, pursuant 

to the Paperwork Reduction Act of 1995 

(44 U.S.C. 3501 et seq.), the Securities 

and Exchange Commission 

(‘‘Commission’’) has submitted to the 

Office of Management and Budget the 

request for extension of the previously 

approved collection of information 

discussed below. 

Form 6–K (17 CFR 249.306) is a 

disclosure document under the 

Securities Exchange Act of 1934 

(15 U.S.C. 78a et seq.) that must be filed 

by a foreign private issuer to report 

material information promptly after the 

occurrence of specified or other 

important corporate events that are 

disclosed in the foreign private issuer’s 

home country. The purpose of Form 

6–K is to ensure that U.S. investors have 

access to the same information that 

foreign investors do when making 

investment decisions. Form 6–K is a 

public document and all information 

provided is mandatory. Form 6–K takes 

approximately 8.7 hours per response 

and is filed by approximately 12,022 

issuers annually. We estimate 75% of 

the 8.7 hours per response (6.525 hours) 

is prepared by the issuer for a total 

annual reporting burden of 78,444 hours 

(6.525 hours per response × 12,022 

responses). The remaining burden hours 

are reflected as a cost to the foreign 

private issuers. 

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 

control number. The Federal Register 

notice with a 60-day comment period 

soliciting comments on this collection 

of information was published on 

October 14, 2010 (75 FR 63215). No 

comments were received. 

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 

be submitted to OMB within 30 days of 

this notice. 

Dated: December 14, 2010. 

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. 2010–31820 Filed 12–17–10; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Form BD–N/Rule 15b11–1; SEC File No. 

270–498; OMB Control No. 3235–0556] 

Submission for OMB Review; 

Comment Request 

Upon Written Request, Copies Available 

From: U.S. Securities and Exchange 

Commission, Office of Investor 

Education and Advocacy, 

Washington, DC 20549–0213. 

Extension: 

Form BD–N/Rule 15b11–1; SEC File No. 

270–498; OMB Control No. 3235–0556. 

Notice is hereby given that, pursuant 

to the Paperwork Reduction Act of 1995 

(44 U.S.C. 3501 et seq.), the Securities 

and Exchange Commission 

(‘‘Commission’’) has submitted to the 

Office of Management and Budget a 

request for extension of the previously 

approved collection of information 

discussed below. 

Rule 15b11–1 (17 CFR 240.15b11–1) 

requires that futures commission 

merchants and introducing brokers 

registered with the Commodity Futures 

Trading Commission that conduct a 

business in security futures products 

must notice-register as broker-dealers 

pursuant to Section 15(b)(11)(A) of the 

Securities Exchange Act of 1934 (15 

U.S.C. 78a et seq.). Form BD–N (17 CFR 

249.501b) is the Form by which these 

entities must notice register with the 

Commission. 

The total annual burden imposed by 

Rule 15b11–1 and Form BD–N is 

approximately 8 hours, based on 

approximately 21 responses (10 initial 

filings + 11 amendments). Each initial 

filing requires approximately 30 

minutes to complete and each 

amendment requires approximately 15 

minutes to complete. There is no annual 

cost burden. 

The Commission will use the 

information collected pursuant to Rule 

15b11–1 to understand the market for 

securities futures product and fulfill its 

regulatory obligations. 

Completing and filing Form BD–N is 

mandatory in order for an eligible 

futures commission merchant or 

introducing broker to conduct a 


jlentini on DSKJ8SOYB1PROD with NOTICES
Federal Register / Vol. 75, No. 243 / Monday, December 20, 2010 / Notices 79427 

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

2 15 U.S.C. 78a. 

3 17 CFR 240.19b–4. 

4See Securities Exchange Act Release Nos. 59755 

(April 13, 2009), 74 FR 18009 (April 20, 2009) (SR– 

NYSEAltr–2009–15) (order granting approval of the 

Pilot); 60808 (October 9, 2009), 74 FR 53539 

(October 19, 2009) (SR–NYSEAmex–2009–70) 

(extending the operation of the Pilot to December 

31, 2009); 61265 (December 31, 2009), 75 FR 1094 

(January 8, 2010) (SR–NYSEAmex–2009–96) 

(extending the operation of the Pilot from December 

31, 2009 to March 1, 2010); 61611 (March 1, 2010), 

75 FR 10530 (March 8, 2010) (SR–NYSEAmex– 

2010–15) (extending the operation of the Pilot from 

March 1, 2010 to June 1, 2010); 62293 (June 15, 

2010), 75 FR 35862 (June 23, 2010) (SR– 

NYSEAmex–2010–50) (extending the operation of 

the Pilot from June 1, 2010 to December 1, 2010). 

5The Exchange notes that parallel changes are 

proposed to be made to the rules of New York Stock 

Exchange LLC. See SR–NYSE–2010–79. 

6See Securities Exchange Act Release No. 62293 

(June 15, 2010), 75 FR 35862 (June 23, 2010) (SR– 

NYSEAmex–2010–50) at note 6. Due to a technical 

deficiency in a prior filing, the Exchange did not 

invoke the Pilot between June 1, 2010 and June 7, 

2010. 

7 Id. 

business in security futures products. 

Compliance with Rule 15b11–1 does not 

involve the collection of confidential 

information. Please note that 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 control 

number. The Federal Register notice 

with a 60-day comment period soliciting 

comments on this collection of 

information was published on October 

12, 2010 (75 FR 62612). No comments 

were received. 

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 

be submitted to OMB within 30 days of 

this notice. 

Dated: December 12, 2010. 

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. 2010–31819 Filed 12–17–10; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–63541; File No. SR– 

NYSEAmex-2010–113] 

Self-Regulatory Organizations; NYSE 

Amex LLC; Notice of Filing and 

Immediate Effectiveness of Proposed 

Rule Change Amending NYSE Amex 

Equities Rule 123C(9)(a)(1) To Extend 

the Operation of a Pilot Operating 

Pursuant to the Rule Until June 1, 2011 

December 14, 2010. 

Pursuant to Section 19(b)(1) 1 of the 

Securities Exchange Act of 1934 (the 

‘‘Act’’) 2 and Rule 19b–4 thereunder,3

notice is hereby given that on November 

30, 2010, 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 the self-regulatory 

organization. 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 

NYSE Amex Equities Rule 123C(9)(a)(1) 

to extend the operation of a pilot 

operating pursuant to the Rule until 

June 1, 2011. The text of the proposed 

rule change is available at the Exchange, 

the Commission’s Public Reference 

Room, http://www.sec.gov, 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 

The Exchange proposes to amend 

NYSE Amex Equities Rule 123C(9)(a)(1) 

to extend the operation of a pilot that 

allows the Exchange to temporarily 

suspend certain rule requirements at the 

close when extreme order imbalances 

may cause significant dislocation to the 

closing price (‘‘Extreme Order 

Imbalances Pilot’’ or ‘‘Pilot’’) 4 until June 

1, 2011.5 The Pilot is currently 

scheduled to expire on December 1, 

2010.6

Background 

Pursuant to NYSE Amex Equities Rule 

123C(9)(a)(1), the Exchange may 

suspend NYSE Amex Equities Rule 52 

(Hours of Operation) to resolve an 

extreme order imbalance that may result 

in a price dislocation at the close as a 

result of an order entered into Exchange 

systems, or represented to a Designated 

Market Maker (‘‘DMM’’) orally at or near 

the close. The provisions of NYSE Amex 

Equities Rule 123C(9)(a)(1) operate as 

the Extreme Order Imbalance Pilot. 

As a condition of the approval to 

operate the Pilot, the Exchange 

committed to provide the Commission 

with information regarding: (i) How 

often an NYSE Amex Equities Rule 52 

temporary suspension pursuant to the 

Pilot was invoked during the six months 

following its approval; and (ii) the 

Exchange’s determination as to how to 

proceed with technical modifications to 

reconfigure Exchange systems to accept 

orders electronically after 4 p.m. 

During the operation of the Pilot, the 

Exchange believed that the systems 

modifications to allow Exchange 

systems to accept orders electronically 

after 4 p.m. would not be as onerous as 

previously believed when the Pilot was 

initially commenced. The Exchange 

completed the system modifications 

necessary to accept orders electronically 

after 4 p.m. and began the process of 

testing the modifications. The Exchange 

therefore filed to extend the Extreme 

Order Imbalance Pilot until the earlier 

of SEC approval to make such Pilot 

permanent or December 1, 2010.7 At the 

time, the Exchange anticipated that its 

quality assurance review process would 

be completed by December 1, 2010 and 

it would be able to operate under the 

new system. The quality assurance 

review determined that additional 

testing was required in order to assure 

the optimal functioning of the system 

modifications. 

Proposal To Extend the Operation of the 

Extreme Order Imbalance Pilot 

The Exchange established the Extreme 

Order Imbalance Pilot to create a 

mechanism for ensuring a fair and 

orderly close when interest is received 


jlentini on DSKJ8SOYB1PROD with NOTICES