9010 Federal Register / Vol. 75, No. 38 / Friday, February 26, 2010 / Notices 

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

9 15 U.S.C. 78f(b)(5). 

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

11 17 CFR 240.19b–4(f)(6). In addition, Rule 19b– 

4(f)(6)(iii) requires the self-regulatory organization 

to submit to the Commission written notice of its 

intent to file the proposed rule change, along with 

a brief description and text of the proposed rule 

change, at least five business days prior to the date 

of filing of the proposed rule change, or such 

shorter time as designated by the Commission. The 

Exchange has satisfied this requirement. 12 17 CFR 200.30–3(a)(12). 

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

2 17 CFR 240.19b–4. 

(the ‘‘Act’’),8 in general, and furthers the 

objectives of Section 6(b)(5) of the Act,9

in particular, in that it is designed to 

prevent fraudulent and manipulative 

acts and practices, to promote just and 

equitable principles of trade, to remove 

impediments to and perfect the 

mechanism of a free and open market 

and a national market system, and, in 

general, to protect investors and the 

public interest. The Exchange believes 

the proposal facilitates the fair and 

orderly execution of the closing 

transactions in an unusual market 

situation and thus ultimately served to 

protect investors and the public interest. 

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 proposed rule 

change: (i) Does not significantly affect 

the protection of investors or the public 

interest; (ii) does not impose any 

significant burden on competition; and 

(iii) by its terms, does not become 

operative for 30 days from the date on 

which it was filed, or such shorter time 

as the Commission may designate, if 

consistent with the protection of 

investors and the public interest, 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 may summarily abrogate 

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–NYSE–2010–09 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–NYSE–2010–09. 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 on official business 

days between the hours of 10 a.m. and 

3 p.m. Copies of such 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–NYSE–2010–09 and should 

be submitted on or before March 19, 

2010. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.12

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. 2010–3946 Filed 2–25–10; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–61558; File No. SR–Phlx– 

2010–16] 

Self-Regulatory Organizations; 

NASDAQ OMX PHLX, Inc.; Notice of 

Filing and Immediate Effectiveness of 

Proposed Rule Change Relating to 

Modification of Fees 

February 22, 2010. 

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 January 

28, 2010, NASDAQ OMX PHLX, Inc. 

(‘‘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 

substantially 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: (i) Amend 

its Monthly Cap on equity options 

transaction fees; (ii) amend the 

calculation of the Monthly Cap; and (iii) 

amend the fee schedule to reflect 

current appeal fees and make other 

technical modifications. 

While changes to the Exchange’s Fee 

Schedule pursuant to this proposal are 

effective upon filing, the Exchange has 

designated this proposal to be operative 

for trades settling on or after February 

1, 2010. 

The text of the proposed rule change 

is available on the Exchange’s Web site 

at http://nasdaqtrader.com/ 

micro.aspx?id=PHLXfilings, on the 

Commission’s Web site at http:// 

www.sec.gov, at the principal office of 

the Exchange, and at the Commission’s 

Public Reference Room. 


sroberts on DSKD5P82C1PROD with NOTICES
Federal Register / Vol. 75, No. 38 / Friday, February 26, 2010 / Notices 9011 

3A ROT is a regular member or a foreign currency 

options participant of the Exchange located on the 

trading floor who has received permission from the 

Exchange to trade in options for his own account. 

4This monthly cap is not applicable to electronic 

trading in Standard and Poor’s Depositary Receipts/ 

SPDRs (‘‘SPY’’), PowerShares QQQ Trust 

(‘‘QQQQ’’)®; Ishares Russell 2000 (‘‘IWM’’) and 

Citigroup Inc. (‘‘C’’). 

5See Securities Exchange Act Release No. 61207 

(December 18, 2009), 74 FR 69185 (December 30, 

2009) (SR–Phlx–2009–84). 

6See Securities Exchange Act Release No. 53548 

(March 24, 2006), 71 FR 16389 (March 31, 2006) 

(SR–Phlx–2005–42). 

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

8 15 U.S.C. 78f(b)(4). 

9 15 U.S.C. 78s(b)(3)(A)(ii). 

10 17 CFR 240.19b–4(f)(2). 

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 decrease the current 

Monthly Cap on equity options 

transactions from $900,000 to $750,000. 

The Monthly Cap is currently applicable 

to ROTs 3 and specialists.4 The 

Exchange believes that by reducing the 

Monthly Cap, a greater number of 

members may benefit from the Monthly 

Cap and the Exchange will attract 

additional order flow. 

Additionally, the Exchange proposes 

to amend the calculation of the Monthly 

Cap by aggregating the trading activity 

of separate ROTs and specialist member 

organizations if there is at least 75% 

common ownership between the 

member organizations as reflected on 

each member organizations’ Form BD, 

Schedule A. The Exchange believes that 

this aggregation will create an 

additional incentive for members to 

transact more business on the Exchange. 

The Exchange also proposes to 

memorialize certain appeal fees on its 

Fee Schedule. Currently the Exchange 

assesses a forum fee of $100 pursuant to 

Exchange Rule 60, Commentary (a).06.5

This forum fee is assessed when a 

member contests a citation imposed 

pursuant to Rule 60 and the citation is 

upheld by the reviewing body. 

Additionally, the Exchange assesses a 

$250 fee on members seeking a review 

of an Options Exchange Official ruling 

pursuant to Exchange Rule 124.6

Specifically, a member or member 

organization seeking the Referee’s 

review of a Floor Official ruling 

concerning the nullification or 

adjustment of a trade would be assessed 

a fee of $250 for each Floor Official 

ruling they seek to have reviewed if the 

Referee upholds the Floor Official 

decision. No fee would be assessed to 

the member or member organization 

seeking a review if the Floor Official 

decision is overturned or modified. 

These fees do not currently appear on 

the Exchange’s Fee Schedule. The 

Exchange proposes to list these fees, 

which are currently in effect, on the Fee 

Schedule in order to provide additional 

notice to members of these fees, which 

exist in the Exchange Rules. 

The Exchange also proposes to make 

a technical modification to the Fee 

Schedule by moving the location of the 

Options Regulatory Fee on the Fee 

Schedule and creating a separate text 

box for that fee for purposes of clarity. 

The proposed changes to the Fee 

Schedule will be effective for 

transactions settling on or after February 

1, 2010. 

2. Statutory Basis 

The Exchange believes that its 

proposal to amend its schedule of fees 

is consistent with Section 6(b) of the 

Act 7 in general, and furthers the 

objectives of Section 6(b)(4) of the Act 8

in particular, in that it is an equitable 

allocation of reasonable fees and other 

charges among Exchange members. The 

Exchange believes that members will 

benefit from the reduced Monthly Cap 

and the proposed amendment to the 

calculation of the monthly cap in that a 

greater number of members will be able 

to qualify for the Monthly Cap and this 

would decrease fees to members. Also, 

the addition of the appeal fees should 

provide additional notice to members of 

these fees. 

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 9 and paragraph 

(f)(2) of Rule 19b–4 10 thereunder. At 

any time within 60 days of the filing of 

the proposed rule change, the 

Commission may summarily abrogate 

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–Phlx–2010–16 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–2010–16. 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 


sroberts on DSKD5P82C1PROD with NOTICES
9012 Federal Register / Vol. 75, No. 38 / Friday, February 26, 2010 / Notices 

11 17 CFR 200.30–3(a)(12). 

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 such 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– 

2010–16 and should be submitted on or 

before March 19, 2010. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.11

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. 2010–3947 Filed 2–25–10; 8:45 am] 

BILLING CODE 8011–01–P 

SOCIAL SECURITY ADMINISTRATION 

[Docket No. SSA–2009–0052] 

Privacy Act of 1974, as Amended; 

Computer Matching Program (SSA/U.S. 

Department of Health and Human 

Services (HHS), Administration for 

Children and Families (ACF), Office of 

Child Support Enforcement (OCSE)— 

Match #1306 

AGENCY: Social Security Administration 

(SSA). 

ACTION: Notice of a renewal of an 

existing computer matching program 

that is scheduled to expire on March 19, 

2010. 

SUMMARY: In accordance with the 

provisions of the Privacy Act, as 

amended, this notice announces a 

renewal of an existing computer 

matching program that we are currently 

conducting with OCSE. 

DATES: We will file a report of the 

subject matching program with the 

Committee on Homeland Security and 

Governmental Affairs of the Senate, the 

Committee on Oversight and 

Government Reform of the House of 

Representatives, and the Office of 

Information and Regulatory Affairs, 

Office of Management and Budget 

(OMB). The matching program will be 

effective as indicated below. 

ADDRESSES: Interested parties may 

comment on this notice by either 

telefaxing to (410) 965–0201 or writing 

to the Deputy Commissioner for Budget, 

Finance and Management, 800 Altmeyer 

Building, 6401 Security Boulevard, 

Baltimore, MD 21235–6401. All 

comments received will be available for 

public inspection at this address. 

FOR FURTHER INFORMATION CONTACT: The 

Deputy Commissioner for Budget, 

Finance and Management as shown 

above. 

SUPPLEMENTARY INFORMATION: 

A. General 

The Computer Matching and Privacy 

Protection Act of 1988 (Pub. L. 100– 

503), amended the Privacy Act (5 U.S.C. 

552a) by describing the conditions 

under which computer matching 

involving the Federal government could 

be performed and adding certain 

protections for persons applying for, 

and receiving, Federal benefits. Section 

7201 of the Omnibus Budget 

Reconciliation Act of 1990 (Pub. L. 101– 

508) further amended the Privacy Act 

regarding protections for such persons. 

The Privacy Act, as amended, 

regulates the use of computer matching 

by Federal agencies when records in a 

system of records are matched with 

other Federal, State, or local government 

records. It requires Federal agencies 

involved in computer matching 

programs to: 

(1) Negotiate written agreements with 

the other agency or agencies 

participating in the matching programs; 

(2) Obtain the approval of the 

matching agreement by the Data 

Integrity Boards (DIB) of the 

participating Federal agencies; 

(3) Publish notice of the computer 

matching program in the Federal 

Register; 

(4) Furnish detailed reports about 

matching programs to Congress and 

OMB; 

(5) Notify applicants and beneficiaries 

that their records are subject to 

matching; and 

(6) Verify match findings before 

reducing, suspending, terminating, or 

denying a person’s benefits or 

payments. 

B. SSA Computer Matches Subject to 

the Privacy Act 

We have taken action to ensure that 

all of our computer matching programs 

comply with the requirements of the 

Privacy Act, as amended. 

Dated: February 18, 2010. 

Michael G. Gallagher, 

Deputy Commissioner for Budget, Finance 

and Management. 

Notice of Computer Matching Program, 

SSA with HHS/ACF/OCSE 

A. Participating Agencies 

SSA and HHS/ACF/OCSE. 

B. Purpose of the Matching Program 

The purpose of this matching program 

is to establish the terms, conditions, and 

safeguards under which OCSE will 

provide us with quarterly wage (QW) 

and unemployment insurance (UI) 

information from the National Directory 

of New Hires (NDNH) to allow us to 

determine eligibility of applicants for 

Low-Income subsidy assistance under 

the Medicare Prescription Drug, 

Improvement, and Modernization Act of 

2003 (Pub. L. 108–173). Under this 

agreement, we will use the QW and UI 

information to determine the eligibility 

of applicants for Low-Income subsidy 

assistance and existing Low-Income 

subsidy beneficiaries whose eligibility is 

being redetermined during periodic 

screening and routine reviews. 

C. Authority for Conducting the 

Matching Program 

The legal authority for this agreement 

is as follows: 

1. Section 453(j)(4) of the Social 

Security Act (Act) (42 U.S.C. 653(j)(4)) 

provides authority for OCSE to provide 

us with information from NDNH; 

2. Section 1631(f) of the Act (42 

U.S.C. 1383) provides authority for 

Federal agencies to provide information 

to us, allowing us to determine 

‘‘eligibility for or amount of benefits, or 

verifying other information with respect 

thereto;’’ and 

3. Section 1860D–14(a)(3) of the Act 

(42 U.S.C. 1395w-114) provides 

authority for us to determine whether 

Part D eligible persons are eligible for 

prescription drug subsidy assistance 

under Section 1860D–14 of the Act. 

D. Categories of Records and Persons 

Covered by the Matching Program 

1. Specified Data Elements Used in 

the Match: 

On the basis of certain identifying 

information extracted from our 

Medicare Database, SSA and OCSE will 

conduct a computerized comparison of 

the QW payment and UI benefit 

information in the NDNH maintained by 

OCSE in its Location and Collection 

(LCS) system of records. 

2. Systems of Records: 

OCSE will provide us with electronic 

files containing QW and UI data from its 

system of records, the LCS (ACF/OCSE, 


sroberts on DSKD5P82C1PROD with NOTICES