Federal Register / Vol. 74, No. 145 / Thursday, July 30, 2009 / Notices 38077 

16 17 CFR 200.30–3(a)(12). 

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

2 17 CFR 240.19b–4. 

3See Securities Exchange Release No. 60070 

(June 8, 2009), 74 FR 28302 (‘‘Notice’’). 

4The current FINRA rulebook consists of (1) 

FINRA Rules; (2) NASD Rules; and (3) rules 

incorporated from NYSE (‘‘Incorporated NYSE 

Rules’’) (together, the NASD Rules and Incorporated 

NYSE Rules are referred to as the ‘‘Transitional 

Rulebook’’). While the NASD Rules generally apply 

to all FINRA members, the Incorporated NYSE 

Rules apply only to those members of FINRA that 

are also members of the NYSE (‘‘Dual Members’’). 

The FINRA Rules apply to all FINRA members, 

unless such rules have a more limited application 

by their terms. For more information about the 

rulebook consolidation process, see FINRA 

Information Notice, March 12, 2008 (Rulebook 

Consolidation Process). 

5 15 U.S.C. 78o–3(b)(6). 

6 In approving this proposal, the Commission has 

considered the proposed rule’s impact on 

efficiency, competition and capital formation. See 

15 U.S.C. 78c(f). 

7 15 U.S.C. 78s(b)(2). 

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–NASDAQ–2009–070 on the 

subject line. 

Paper Comments 

• Send paper comments in triplicate 

to Elizabeth M. Murphy, Secretary, 

Securities and Exchange Commission, 

Station Place, 100 F Street, NE., 

Washington, DC 20549–1090. 

All submissions should refer to File 

Number SR–NASDAQ–2009–070. 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 inspection and copying 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 Nasdaq. 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– 

NASDAQ–2009–070 and should be 

submitted on or before August 20, 2009. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.16

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E9–18164 Filed 7–29–09; 8:45 am] 

BILLING CODE 8010–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–60367; File No. SR–FINRA– 

2009–038] 

Self-Regulatory Organizations; 

Financial Industry Regulatory 

Authority, Inc.; Order Granting 

Approval of Proposed Rule Change to 

Repeal Incorporated NYSE Rule 134 

(Differences and Omissions—Cleared 

Transactions) and NYSE Rule 440I 

(Records of Compensation 

Arrangements—Floor Brokerage) as 

Part of the Process To Develop the 

Consolidated FINRA Rulebook 

July 22, 2009. 

On June 1, 2009, Financial Industry 

Regulatory Authority, Inc. (‘‘FINRA’’) 

(f/k/a National Association of Securities 

Dealers, Inc. (‘‘NASD’’)) filed with the 

Securities and Exchange Commission 

(‘‘SEC’’ or ‘‘Commission’’) a proposed 

rule change pursuant to Section 19(b)(1) 

of the Securities Exchange Act of 1934 

(‘‘Act’’) 1 and Rule 19b–4 thereunder.2

Notice of the proposal was published for 

comment in the Federal Register on 

June 15, 2009.3 The Commission 

received no comments on the proposed 

rule change. This order approves the 

proposed rule change. 

I. Description of the Proposal 

As part of the process of developing 

a new consolidated rulebook 

(‘‘Consolidated FINRA Rulebook’’),4

FINRA proposed not to transfer from the 

Transitional Rulebook to the FINRA 

Consolidated Rulebook two rules that 

are specific to the New York Stock 

Exchange LLC (‘‘NYSE’’) marketplace 

and relate primarily to activities by floor 

brokers. Specifically, FINRA proposed 

not to include in the Consolidated 

FINRA Rulebook NYSE Incorporated 

Rule 134 (Differences and Omissions— 

Cleared Transactions) and NYSE 

Incorporated Rule 440I (Records of 

Compensation Arrangements—Floor 

Brokerage). 

As more fully described in the Notice, 

Incorporated NYSE Rule 134, sets forth 

procedures for clearing member firms to 

identify uncompared transactions and 

resolve them by making any necessary 

additions, deletions or changes to their 

data through the facilities of the NYSE 

Correction System. Further, NYSE Rule 

134(d) requires floor brokers to maintain 

or participate in an error account in 

which all bona fide error transactions 

are processed and recorded. 

Incorporated NYSE Rule 440I also 

applies to floor brokers. As more fully 

described in the Notice, NYSE Rule 440I 

requires each member and member 

organization that is ‘‘primarily engaged 

as an agent in executing transactions on 

the Floor of the Exchange’’ to maintain 

certain records of compensation 

arrangements in excess of $5,000 per 

year. 

In the Notice, FINRA noted that the 

NYSE may choose to retain NYSE Rule 

134 and Rule 440I for its own purposes. 

In addition, FINRA stated that it would 

announce the implementation date of 

the proposed rule change in a 

Regulatory Notice to be published no 

later than 90 days following 

Commission approval. 

II. Discussion and Commission’s 

Findings 

After careful review of the proposal, 

the Commission finds that the proposed 

rule change is consistent with the 

provisions of Section 15A(b)(6) of the 

Act,5 which requires, among other 

things, that FINRA rules must be 

designed to prevent fraudulent and 

manipulative acts and practices, to 

promote just and equitable principles of 

trade, and, in general, to protect 

investors and the public interest.6 The 

Commission notes that Dual Members 

remain subject to both the Consolidated 

FINRA Rulebook and the NYSE 

Rulebook. Therefore, FINRA’s proposal 

to repeal from the Transitional Rulebook 

two Incorporated NYSE Rules that are 

specific to the NYSE marketplace does 

not relieve Dual Members of their 

obligation to comply with rules retained 

by the NYSE. 

III. Conclusion 

It is therefore ordered, pursuant to 

Section 19(b)(2) of the Act,7 that the 

proposed rule change (SR–FINRA– 


erowe on DSK5CLS3C1PROD with NOTICES
38078 Federal Register / Vol. 74, No. 145 / Thursday, July 30, 2009 / Notices 

8 17 CFR 200.30–3(a)(12). 

2009–038) be, and it hereby is, 

approved. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.8

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E9–18163 Filed 7–29–09; 8:45 am] 

BILLING CODE 8010–01–P 

DEPARTMENT OF STATE 

[Public Notice 6714] 

Determination Pursuant to Section 451 

of the Foreign Assistance Act Relating 

to the Guatemala and Dominican 

Republic Helicopter Programs 

Pursuant to section 451 of the Foreign 

Assistance Act of 1961, as amended (the 

‘‘Act’’), section 1–100 of Executive 

Order 12163, as amended, and 

Delegation of Authority 245–1, I hereby 

authorize, notwithstanding any other 

provision of law, the use of up to 

$20,000,000 in FY 2008 funds 

appropriated for counternarcotics 

activities in the Andean region of South 

America under chapter 8 of part I of the 

Act, in order to provide assistance 

authorized by part I of the Act for the 

countries of Guatemala and the 

Dominican Republic. 

This Determination shall be reported 

to the Congress promptly and published 

in the Federal Register. 

Dated: July 15, 2009. 

Jacob L. Lew, 

Deputy Secretary of State, Department of 

State. 

[FR Doc. E9–18224 Filed 7–29–09; 8:45 am] 

BILLING CODE 4710–17–P 

DEPARTMENT OF STATE 

[Public Notice 6665] 

U.S. Department of State Advisory 

Committee on Private International 

Law: Public Meeting on Revision of 

UNCITRAL Arbitration Rules 

A Working Group of the United 

Nations Commission on International 

Trade Law (UNCITRAL) has for some 

time been considering revisions to the 

1976 UNCITRAL Arbitration Rules, 

which are widely used internationally. 

The next meeting of the Working Group 

is scheduled for September 14–18, and 

it is possible that the Working Group 

may conclude its work at that session. 

Accordingly, prior to that session a 

public meeting will be held, under the 

auspices of the Advisory Committee on 

Private International Law, to provide an 

update on the status of the Working 

Group discussions. 

Time and Place: The public meeting 

will take place in Room 240, South 

Building, 2430 E Street, NW., 

Washington, DC on September 9, 2009. 

Visitors should appear at the gate at the 

southwest corner of 23rd and C Streets 

by 12:45 p.m. EDT. The meeting will 

begin at 1 p.m. and is expected to last 

no later than 4 p.m. If you are unable 

to attend the public meeting and would 

like to participate from a remote 

location, teleconferencing will be 

available. 

Public Participation: It is requested 

that persons wishing to attend contact 

Trisha Smeltzer prior to September 2, 

2009, at smeltzertk@state.gov or 202– 

776–8423 and provide their name, and 

date of birth for pre-clearance purposes, 

as well as e-mail address and affiliation. 

Members of the public who are not precleared might encounter delays with 

security procedures. A member of the 

public requesting reasonable 

accommodation should make his or her 

request upon registering for the meeting. 

Such requests received after September 

7th will be considered, but might not be 

possible to fulfill. Please contact Ms. 

Smeltzer for additional meeting 

information, including teleconferencing 

dial-in details. 

Dated: July 24, 2009. 

Keith Loken, 

Assistant Legal Adviser, Office of Private 

International Law, Office of the Legal Adviser, 

Department of State. 

[FR Doc. E9–18232 Filed 7–29–09; 8:45 am] 

BILLING CODE 7410–08–P 

DEPARTMENT OF STATE 

[Public Notice 6713] 

Bureau of Oceans and International 

Environmental and Scientific Affairs; 

Preparation of Fifth U.S. Climate 

Action Report 

AGENCY: Department of State. 

ACTION: Notice. 

SUMMARY: The United States is a Party 

to the United Nations Framework 

Convention on Climate Change 

(UNFCCC). The Convention sets forth 

requirements for UNFCCC Parties to 

provide a national communication that 

lists the steps they are taking to 

implement the Convention. In 

particular, Parties are to provide: An 

inventory of anthropogenic emissions 

by sources and removal by sinks of all 

greenhouse gases not controlled by the 

Montreal Protocol; a detailed 

description of the policies and measures 

adopted to implement their 

commitments under the Convention; 

and estimates of the effects those 

policies and measures will have on 

emissions and sinks. Subsequent 

guidelines further elaborate the 

information that Parties are to submit 

periodically. The United States 

submitted the first U.S. Climate Action 

Report (USCAR) to the UNFCCC 

Secretariat in 1994, the second in 1997, 

the third in 2002, and the fourth in 

2007. The U.S. Government is currently 

preparing its fifth national 

communication, which is due to the 

UNFCCC secretariat on January 1, 2010. 

The purpose of this announcement is to 

notify interested members of the public 

of this process and to solicit 

contributions and input on the issues 

covered in the national communication 

for the purpose of preparing the report. 

The State Department intends to make 

available for public review a draft 

national communication in fall of 2009. 

DATES: Written comments should be 

received on or before noon, thirty (30) 

days from the date of publication of this 

notice. 

ADDRESSES: To expedite their receipt, 

comments should be submitted via email to: car5@state.gov. Comments may 

also be submitted in hard copy to, U.S. 

Department of State, Bureau of Oceans 

and International Environmental and 

Scientific Affairs, Office of Global 

Change (Room 2480), 2201 C Street, 

NW., Washington, DC 20520. 

FOR FURTHER INFORMATION CONTACT: 

Maurice N. LeFranc, Jr., U.S. 

Department of State, Bureau of Oceans 

and International Environmental and 

Scientific Affairs, Office of Global 

Change at (202) 647–6738. 

SUPPLEMENTARY INFORMATION: 

The Fifth United States Climate Action 

Report (CAR5) 

Articles 4.2 and 12 of the UNFCCC set 

forth initial requirements for national 

communications. Subsequently, Parties 

to the UNFCCC elaborated additional 

detailed guidelines relating to the 

content of the national communications. 

An overview of the reporting 

requirements is available from the 

UNFCCC Web site at: http://unfccc.int/ 

resource/docs/cop5/07.pdf. Guidelines 

specify chapter headings and the type of 

information that should be included in 

the report. Chapters are identified 

below. 

Table of Contents 

I. Executive Summary 

II. National Circumstances 

III. Greenhouse Gas Inventory 

IV. Policies and Measures 


erowe on DSK5CLS3C1PROD with NOTICES