9968 Federal Register / Vol. 75, No. 42 / Thursday, March 4, 2010 / Notices 

Month 

Number of 

trading days 

in month 

Aggregate dollar 

amount of sales 

Average daily dollar amount of 

sales (ADS) 

Change in 

LN of ADS Forecast ADS Forecast aggregate dollar amount of sales 

(A) (B) (C) (D) (E) (F) (G) 

Jun–08 ........................... 21 6,962,199,302,412 331,533,300,115 0.135 .............................. ........................................

Jul–08 ............................. 22 8,104,256,787,805 368,375,308,537 0.105 .............................. ........................................

Aug–08 ........................... 21 6,106,057,711,009 290,764,652,905 ¥0.237 .............................. ........................................

Sep–08 ........................... 21 8,156,991,919,103 388,428,186,624 0.290 .............................. ........................................

Oct–08 ............................ 23 8,644,538,213,244 375,849,487,532 ¥0.033 .............................. ........................................

Nov–08 ........................... 19 5,727,998,341,833 301,473,596,939 ¥0.221 .............................. ........................................

Dec–08 ........................... 22 5,176,041,317,640 235,274,605,347 ¥0.248 .............................. ........................................

Jan–09 ........................... 20 4,670,249,433,806 233,512,471,690 ¥0.008 .............................. ........................................

Feb–09 ........................... 19 4,771,470,184,048 251,130,009,687 0.073 .............................. ........................................

Mar–09 ........................... 22 5,885,594,284,780 267,527,012,945 0.063 .............................. ........................................

Apr–09 ............................ 21 5,123,665,205,517 243,984,057,406 ¥0.092 .............................. ........................................

May–09 .......................... 20 5,086,717,129,965 254,335,856,498 0.042 .............................. ........................................

Jun–09 ........................... 22 5,271,742,782,609 239,624,671,937 ¥0.060 .............................. ........................................

Jul–09 ............................. 22 4,659,599,245,583 211,799,965,708 ¥0.123 .............................. ........................................

Aug–09 ........................... 21 4,582,102,295,783 218,195,347,418 0.030 .............................. ........................................

Sep–09 ........................... 21 4,929,211,335,509 234,724,349,310 0.073 .............................. ........................................

Oct–09 ............................ 22 5,410,071,946,836 245,912,361,220 0.047 .............................. ........................................

Nov–09 ........................... 20 4,770,994,671,867 238,549,733,593 ¥0.030 .............................. ........................................

Dec–09 ........................... 22 4,688,780,548,360 213,126,388,562 ¥0.113 .............................. ........................................

Jan–10 ........................... 19 4,661,795,433,843 245,357,654,413 0.141 .............................. ........................................

Feb–10 ........................... 19 .............................. .............................. .................... 248,264,845,054 4,717,032,056,030 

Mar–10 ........................... 23 .............................. .............................. .................... 251,206,482,379 5,777,749,094,716 

Apr–10 ............................ 21 .............................. .............................. .................... 254,182,974,538 5,337,842,465,308 

May–10 .......................... 20 .............................. .............................. .................... 257,194,734,520 5,143,894,690,405 

Jun–10 ........................... 22 .............................. .............................. .................... 260,242,180,205 5,725,327,964,515 

Jul–10 ............................. 21 .............................. .............................. .................... 263,325,734,426 5,529,840,422,940 

Aug–10 ........................... 22 .............................. .............................. .................... 266,445,825,024 5,861,808,150,526 

Sep–10 ........................... 21 .............................. .............................. .................... 269,602,884,912 5,661,660,583,153 

[FR Doc. 2010–4530 Filed 3–3–10; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. PA–41; File No. S7–05–10] 

Privacy Act of 1974: Systems of 

Records 

AGENCY: Securities and Exchange 

Commission. 

ACTION: Notice of revised system of 

records. 

SUMMARY: In accordance with the 

requirements of the Privacy Act of 1974, 

as amended, 5 U.S.C. 552a, the 

Securities and Exchange Commission 

(‘‘Commission’’ or ‘‘SEC’’) proposes to 

revise a Privacy Act system of records: 

‘‘Mailing, Contact and Other Lists (SEC– 

56)’’, originally published in the Federal 

Register Volume 74, Number 139 on 

Wednesday, July 22, 2009. 

DATES: The proposed changes will 

become effective April 13, 2010 unless 

further notice is given. The Commission 

will publish a new notice if the effective 

date is delayed to review comments or 

if changes are made based on comments 

received. To be assured of 

consideration, comments should be 

received on or before April 5, 2010. 

ADDRESSES: Comments may be 

submitted by any of the following 

methods: 

Electronic Comments 

• Use the Commission’s Internet 

comment form (http://www.sec.gov/ 

rules/other.shtml); or 

• Send an e-mail to rulecomments@sec.gov. Please include File 

Number S7–05–10 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 S7–05–10. This file number 

should be included on the subject line 

if e-mail is used. To help us 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/other.shtml). 

Comments are 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. 

All comments received will be posted 

without change; we do not edit personal 

identifying information from 

submissions. You should submit only 

information that you wish to make 

available publicly. 

FOR FURTHER INFORMATION CONTACT: 

Barbara A. Stance, Chief Privacy Officer, 

Office of Information Technology, 202– 

551–7209. 

SUPPLEMENTARY INFORMATION: The 

Commission proposes to revise a system 

of records: ‘‘Mailing, Contact and Other 

Lists (SEC–56)’’. As described in the 

original notice, the system contains 

records related to individuals and 

employees who submit requests for 

information, subscriptions, inquiries, 

guidance, informal advice and other 

assistance to the SEC, and records 

related to individuals who register for 

SEC-related activities and events. This 

notice is published to revise the system 

of records to add the following new 

routine use: ‘‘To individuals who 

register for SEC-sponsored seminars, 

training programs or compliance 

meetings, such as the CCOutreach 

Program.’’ 

The Commission has submitted a 

report of the revised system of records 

to the appropriate Congressional 

committees and to the Director of the 

Office of Management and Budget 

(‘‘OMB’’) as required by 5 U.S.C. 552a(r) 

(Privacy Act of 1974) and guidelines 

mstockstill on DSKH9S0YB1PROD with NOTICES

Federal Register / Vol. 75, No. 42 / Thursday, March 4, 2010 / Notices 9969 

issued by OMB on December 12, 2000 

(65 FR 77677). 

Accordingly, the Commission is 

revising the system of records to read as 

follows: 

SEC–56 

SYSTEM NAME: 

Mailing, Contact and Other Lists. 

SYSTEM LOCATION: 

Securities and Exchange Commission, 

100 F Street, NE., Washington, DC 

20549. Records are also maintained in 

the SEC Regional Offices. 

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM: 

Records contain information related 

to individuals and employees who 

submit requests for information, 

subscriptions, inquiries, guidance, 

informal advice and other assistance to 

the SEC in any format, including but not 

limited to paper, telephone, and 

electronic submissions; SEC personnel 

assigned to handle such 

correspondence; individuals who have 

registered for SEC events, such as 

seminars, training programs or 

compliance meetings; and individuals 

who have responded to questionnaires, 

request forms and feedback forms. 

CATEGORIES OF RECORDS IN THE SYSTEM: 

Records may contain information 

relating to but not limited to name, title, 

affiliation, mailing address, telephone 

number, cell phone number, fax 

number, e-mail address, business 

affiliation, other contact and related 

supporting information provided to the 

Commission by individuals or derived 

from other sources covered by this 

system of records and not currently 

covered under an existing SORN. 

AUTHORITY FOR MAINTENANCE OF THE SYSTEM: 

15 U.S.C. 77a et seq., 78a et seq., 80a– 

1 et seq., and 80b–1 et seq. 

PURPOSE(S): 

1. To track and process complaints/ 

inquiries/requests/comments and 

communications from members of the 

public, including industry 

representatives, counsel, and others. 

2. To handle subscription requests for 

informational literature, reports, and 

other SEC materials, via individual, 

mass, and targeted mailing in the 

furtherance of SEC activities. 

3. To process registration to SECrelated activities and events, and allow 

the sharing of personal contact 

information of registrants who consent 

to the sharing of their personal 

information at the time of registration. 

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES: 

In addition to those disclosures 

generally permitted under 5 U.S.C. 

552a(b) of the Privacy Act, these records 

or information contained therein may 

specifically be disclosed outside the 

Commission as a routine use pursuant 

to 5 U.S.C. 552a(b)(3) as follows: 

1. When (1) it is suspected or 

confirmed that the security or 

confidentiality of information in the 

system of records has been 

compromised; (2) the SEC has 

determined that as a result of the 

suspected or confirmed compromise 

there is a risk of harm to economic or 

property interests, identity theft or 

fraud, or harm to the security or 

integrity of this system or other systems 

or programs (whether maintained by the 

SEC or another agency or entity) that 

rely upon the compromised 

information; and (3) the disclosure is 

made to such agencies, entities, and 

persons who are reasonably necessary to 

assist in connection with the SEC’s 

efforts to respond to the suspected or 

confirmed compromise and prevent, 

minimize, or remedy such harm. 

2. Where there is an indication of a 

violation or potential violation of law, 

whether civil, criminal or regulatory in 

nature, and whether arising by general 

statute or particular program statute, or 

by regulation, rule or order issued 

pursuant thereto, the relevant records in 

the system of records may be referred, 

as a routine use, to the appropriate 

agency, whether federal, state, local, 

foreign or a securities self-regulatory 

organization charged with the 

responsibility of investigating or 

prosecuting such violation or charged 

with enforcing or implementing the 

statute, or rule, regulation or order 

issued pursuant thereto. 

3. Records in this system may, in the 

discretion of the Commission’s staff, be 

disclosed to any person during the 

course of any inquiry or investigation 

conducted by the Commission staff, or 

in connection with civil litigation, if the 

staff has reason to believe that the 

person to whom the record is disclosed 

may have further information about the 

matters related therein, and those 

matters appeared to be relevant at the 

time to the subject matter of the inquiry. 

4. A record or information in this 

system may be disclosed to any person 

with whom the Commission contracts to 

reproduce, by typing, photocopy or 

other means, any record within this 

system for use by the Commission and 

its staff in connection with their official 

duties or to any person who is utilized 

by the Commission to perform clerical 

or stenographic functions relating to the 

official business of the Commission. 

5. Records or information in records 

contained in this system may be 

disclosed to members of advisory 

committees that are created by the 

Commission or by Congress to render 

advice and recommendations to the 

Commission or to Congress, to be used 

solely in connection with their official, 

designated functions. 

6. Disclosure may be made to a 

Congressional office from the record of 

an individual in response to an inquiry 

from the Congressional office made at 

the request of that individual. 

7. To interns, grantees, experts and 

contractors who have been engaged by 

the Commission to assist in the 

performance of a service related to this 

system of records and who need access 

to the records for the purpose of 

assisting the Commission in the efficient 

administration of its programs. 

Recipients of these records shall be 

required to comply with the 

requirements of the Privacy Act of 1974, 

as amended, 5 U.S.C. 552a. 

8. To individuals who register for 

SEC-sponsored seminars, training 

programs or compliance meetings, such 

as the CCOutreach Program. 

POLICIES AND PRACTICES FOR STORING, 

RETRIEVING, ACCESSING, RETAINING, AND

DISPOSING OF RECORDS IN THE SYSTEM: 

STORAGE: 

Records are maintained in electronic 

format, paper form, magnetic disk and 

tape. Electronic records are stored in 

computerized databases. Paper, 

magnetic disk or tape records are stored 

in locked file rooms or file cabinets. 

RETRIEVABILITY: 

Records may be retrieved by any of 

the following: E-mail address, name, or 

an assigned file number for the purpose 

of responding to the requestor. 

Information may additionally be 

retrieved by other personal identifiers. 

SAFEGUARDS: 

Records are safeguarded in a secured 

environment. Buildings where records 

are stored have security cameras and 24 

hour security guard service. The records 

are kept in limited access areas during 

duty hours and in locked file cabinets 

and/or locked offices or file rooms at all 

other times. Access is limited to those 

personnel whose official duties require 

access. Computerized records are 

safeguarded through use of access codes 

and information technology security. 

Contractors and other recipients 

providing services to the Commission 

are contractually obligated to maintain 

equivalent safeguards. 

mstockstill on DSKH9S0YB1PROD with NOTICES

9970 Federal Register / Vol. 75, No. 42 / Thursday, March 4, 2010 / Notices 

1 15 U.S.C. 78q(d). 

2 17 CFR 240.17d–2. 

3 15 U.S.C. 78s(g)(1). 

4 15 U.S.C. 78q(d). 

5 15 U.S.C. 78s(g)(2). 

RETENTION AND DISPOSAL: 

These records will be maintained 

until they become inactive, at which 

time they will be retired or destroyed in 

accordance with records schedules of 

the United States Securities and 

Exchange Commission and as approved 

by the National Archives and Records 

Administration. 

SYSTEM MANAGER(S) AND ADDRESS: 

FOR SEC HEADQUARTERS

U. S. Securities and Exchange 

Commission, 100 F Street, NE., 

Washington, DC 20549. Components: 

Office of the Chairman and 

Commissioners, Division of Corporation 

Finance, Division of Trading and 

Markets, Division of Investment 

Management, Division of Enforcement, 

Office of the General Counsel, Office of 

the Chief Accountant, Office of 

Economic Analysis, Office of 

Compliance Inspections and 

Examinations, Office of International 

Affairs, Office of Investor Education and 

Advocacy, Office of Information 

Technology, Office of the Executive 

Director, Office of Human Resources, 

Office of Financial Management, Office 

of Administrative Services, Office of 

Risk Assessment, Office of the Inspector 

General, Office of Legislative and 

Intergovernmental Affairs, Office of 

Public Affairs, Office of the Secretary, 

Office of Equal Employment 

Opportunity, and Office of 

Administrative Law Judges. 

FOR REGIONAL OFFICES

New York Regional Office, Regional 

Director, 3 World Financial Center, 

Suite 400, New York, NY 10281–1022; 

Boston Regional Office, Regional 

Director, 33 Arch Street, 23rd Floor, 

Boston, MA 02110–1424; Philadelphia 

Regional Office, Regional Director, The 

Mellon Independence Center, 701 

Market Street, Suite 2000, Philadelphia, 

PA 19106–1532; Miami Regional Office, 

Regional Director, 801 Brickell Avenue, 

Suite 1800, Miami, FL 33131–4901, 

Atlanta Regional Office, Regional 

Director, 3475 Lenox Road, NE, Suite 

1000, Atlanta, GA 30326–1232; Chicago 

Regional Office, Regional Director, 175 

West Jackson Boulevard, Suite 900, 

Chicago, IL 60604–2908; Denver 

Regional Office, Regional Director, 1801 

California Street, Suite 1500, Denver, 

CO 80202–2656; Fort Worth Regional 

Office, Regional Director, Burnett Plaza, 

Suite 1900, 801 Cherry Street, Unit #18, 

Fort Worth, TX 76102–6882; Salt Lake 

Regional Office, Regional Director, 15 

West South Temple Street, Suite 1800, 

Salt Lake City, UT 84101–1573; Los 

Angeles Regional Office, Regional 

Director, 5670 Wilshire Boulevard, 11th 

Floor, Los Angeles, CA 90036–3648; San 

Francisco Regional Office, Regional 

Director, 44 Montgomery Street, Suite 

2600, San Francisco, CA 94104–4716. 

NOTIFICATION PROCEDURE: 

All requests to determine whether this 

system of records contains a record 

pertaining to the requesting individual 

may be directed to the FOIA/PA Officer, 

Securities and Exchange Commission, 

100 F Street, NE., Washington, DC 

20549–5100. 

RECORD ACCESS PROCEDURES: 

Persons wishing to obtain information 

on the procedures for gaining access to 

or contesting the contents of these 

records may contact the FOIA/PA 

Officer, Securities and Exchange 

Commission, 100 F Street, NE., 

Washington, DC 20549–5100. 

CONTESTING RECORD PROCEDURES: 

See Record Access Procedures above. 

RECORD SOURCE CATEGORIES: 

The information is supplied by the 

individual and/or company making the 

request; or the individual who has 

registered for an SEC-related event such 

as a seminar, training program or 

compliance meeting. Data may also be 

added pertaining to the fulfillment of 

the request. Information may also be 

obtained from other SEC records 

systems. 

EXEMPTIONS CLAIMED FOR THE SYSTEM: 

None. 

Dated: February 25, 2010. 

By the Commission. 

Elizabeth M. Murphy, 

Secretary. 

[FR Doc. 2010–4529 Filed 3–3–10; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–61588; File No. 4–551] 

Program for Allocation of Regulatory 

Responsibilities Pursuant to Rule 17d– 

2; Notice of Filing and Order 

Approving and Declaring Effective an 

Amendment to the Plan for the 

Allocation of Regulatory 

Responsibilities Among the NYSE 

Amex LLC, BATS Exchange, Inc., C2 

Options Exchange, Incorporated, the 

Chicago Board Options Exchange, 

Incorporated, the International 

Securities Exchange, LLC, Financial 

Industry Regulatory Authority, Inc., the 

NYSE Arca, Inc., The NASDAQ Stock 

Market LLC, NASDAQ OMX BX, Inc., 

and NASDAQ OMX PHLX, Inc. 

Concerning Options-Related Market 

Surveillance 

February 25, 2010. 

Notice is hereby given that the 

Securities and Exchange Commission 

(‘‘Commission’’) has issued an Order, 

pursuant to Section 17(d) of the 

Securities Exchange Act of 1934 

(‘‘Act’’),1 approving and declaring 

effective an amendment to the plan for 

allocating regulatory responsibility 

(‘‘Plan’’) filed pursuant to Rule 17d–2 of 

the Act,2 by the NYSE Amex LLC 

(‘‘Amex’’), BATS Exchange, Inc. 

(‘‘BATS’’), C2 Options Exchange, 

Incorporated (‘‘C2’’), the Chicago Board 

Options Exchange, Incorporated 

(‘‘CBOE’’), the International Securities 

Exchange LLC (‘‘ISE’’), Financial 

Industry Regulatory Authority, Inc. 

(‘‘FINRA’’), NYSE Arca, Inc. (‘‘Arca’’), 

The NASDAQ Stock Market LLC 

(‘‘NASDAQ’’), NASDAQ OMX BX, Inc. 

(‘‘BX’’) and NASDAQ OMX PHLX, Inc. 

(‘‘Phlx’’) (collectively, ‘‘SRO 

participants’’). 

I. Introduction 

Section 19(g)(1) of the Act,3 among 

other things, requires every selfregulatory organization (‘‘SRO’’) 

registered as either a national securities 

exchange or national securities 

association to examine for, and enforce 

compliance by, its members and persons 

associated with its members with the 

Act, the rules and regulations 

thereunder, and the SRO’s own rules, 

unless the SRO is relieved of this 

responsibility pursuant to Section 

17(d) 4 or Section 19(g)(2) 5 of the Act. 

Without this relief, the statutory 

mstockstill on DSKH9S0YB1PROD with NOTICES