Federal Register / Vol. 74, No. 152 / Monday, August 10, 2009 / Notices 39983 

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

10 15 U.S.C. 78s(b)(2). 

11 17 CFR 200.30–3(a)(12). 

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

2 15 U.S.C. 78a. 

3 17 CFR 240.19b–4. 

4 17 CFR 240.19b–4(f)(2). 

5Registration fees are currently being waived 

through September 30, 2009 for NYSE member 

organizations that automatically became member 

organizations of NYSE Amex by operation of NYSE 

Amex Equities Rule 2 at the time of relocation of 

all NYSE Amex equities trading to the to the NYSE 

trading facilities and systems located at 11 Wall 

Street, New York, NY. 

6 15 U.S.C. 78f. 

7 15 U.S.C. 78a et seq. 

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

particular, the Commission finds that 

the proposed rule change is consistent 

with Section 6(b)(4) of the Act,9 which 

requires that the rules of an exchange to 

provide for the equitable allocation of 

reasonable dues, fees and other charges 

among its members and other persons 

using its facilities. 

The Commission finds good cause for 

approving this proposal before the 30th 

day after the publication of notice 

thereof in the Federal Register. The 

proposal seeks to conform the 

Exchange’s fees charged for linkage 

transactions in Non-Penny Pilot Classes 

with the fees charged for transactions to 

BOX Participants in the same NonPenny Pilot Classes. The Commission 

notes that the proposal would reduce 

net costs for both inbound and 

outbound Linkage Orders. The 

Exchange requests that the effective date 

of the proposed rule change be August 

3, 2009. The Commission believes that 

accelerating approval of this proposal 

would allow the Exchange to implement 

this new Linkage Fee in conjunction 

with the implementation of other 

related transactions fees on August 3, 

2009 and would allow the fees/credits 

applicable to Linkage Orders to conform 

to such other fees. 

V. Conclusion 

It is therefore ordered, pursuant to 

Section 19(b)(2) of the Act,10 that the 

proposed rule change (SR–BX–2009– 

045) be, and it hereby is, approved on 

an accelerated basis. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.11

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E9–19016 Filed 8–7–09; 8:45 am] 

BILLING CODE 8010–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–60418; File No. SR– 

NYSEAmex–2009–50] 

Self-Regulatory Organizations; NYSE 

Amex LLC; Notice of Filing and 

Immediate Effectiveness of Proposed 

Rule Change To Duplicate in the NYSE 

Amex Equities Price List the Section of 

the NYSE Amex Options Price List 

Setting Forth Regulatory Fees 

Applicable to Member Organizations 

August 3, 2009. 

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

Securities Exchange Act of 1934 

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

notice is hereby given that on July 27, 

2009, NYSE Amex LLC (‘‘NYSE Amex’’ 

or the ‘‘Exchange’’) filed with the 

Securities and Exchange Commission 

(‘‘Commission’’) the proposed rule 

change as described in Items I, II and III 

below, which Items have been prepared 

by the self-regulatory organization. The 

Exchange has designated this proposal 

eligible for immediate effectiveness 

pursuant to Rule 19b–4(f)(2).4 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 duplicate 

in the NYSE Amex Equities Price List 

the section of the NYSE Amex Options 

Price List setting forth regulatory fees 

applicable to member organizations. 

The text of the proposed rule change is 

available at the Exchange, the 

Commission’s Public Reference Room, 

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 

Statutory Basis for, the Proposed Rule 

Change 

1. Purpose 

Member organizations of NYSE Amex 

are subject to the same regulatory fees 

regardless of whether they hold licenses 

to trade equities or options.5 Currently, 

the schedule of regulatory fees 

applicable to NYSE Amex member 

organizations is included only in the 

NYSE Amex Options Price List. Member 

organizations that hold only licenses to 

trade equity securities may not be 

familiar with the NYSE Amex Options 

Price List and may therefore not know 

where to find the schedule of regulatory 

fees. Additionally, the fact that the 

schedule of regulatory fees is not 

included in the NYSE Amex Equities 

Price List may cause confusion and lead 

to the erroneous impression that these 

regulatory fees do not apply to member 

organizations that hold only equity 

trading licenses. Consequently, NYSE 

Amex proposes to duplicate in its 

entirety in the NYSE Amex Equities 

Price List the regulatory fee section 

included in the NYSE Amex Options 

Price List. In doing so, NYSE Amex is 

not proposing to amend in any way the 

regulatory fees that member 

organizations currently pay. Going 

forward, NYSE Amex will make parallel 

changes to the two price lists whenever 

it amends any fees included in the 

schedule of regulatory fees. 

2. Statutory Basis 

The Exchange believes that the 

proposed rule change is consistent with 

the provisions of Section 6 6 of the 

Securities Exchange Act of 1934 (the 

‘‘Act’’) 7 in general and Section 6(b)(4) of 

the Act 8 in particular, in that it is 

designed to provide for the equitable 

allocation of reasonable dues, fees and 

other charges among its members and 

other persons using its facilities. 

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. 


rmajette on DSK29S0YB1PROD with NOTICES
39984 Federal Register / Vol. 74, No. 152 / Monday, August 10, 2009 / Notices 

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

10 17 CFR 240.19b–4(f)(2). 

11 17 CFR 200.30–3(a)(12). 

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

2 17 CFR 240.19b–4. 

3 17 CFR 240.19b–4(f)(6). 

4Based upon instruction from the Commission 

staff, FINRA is submitting SR–FINRA–2009–049 for 

immediate effectiveness pursuant to Section 

19(b)(3)(A) of the Act and Rule 19b–4(f)(6) 

thereunder, and is not filing the question bank for 

Commission review. See Letter from Belinda Blaine, 

Associate Director, Division of Market Regulation, 

SEC, to Alden S. Adkins, Senior Vice President and 

General Counsel, NASD Regulation, dated July 24, 

2000. The question bank is available for 

Commission review. 

5FINRA will announce the effective date of 

NASD Rules 1022(a)(1)(B) and 1032(i) in the same 

Regulatory Notice that will announce the 

implementation date of the proposed rule change, 

and those two dates will be the same. 

6The Commission notes that the content outline 

is attached to the proposed rule change though not 

to this notice. 

7 17 CFR 240.24b–2. 

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 

The foregoing rule change is effective 

upon filing pursuant to Section 

19(b)(3)(A) 9 of the Act and 

subparagraph (f)(2) of Rule 19b–4 10

thereunder, because it establishes a due, 

fee, or other charge imposed by NYSE 

Amex. 

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–NYSEAmex–2009–50 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–NYSEAmex–2009–50. 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, 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 No. 

SR–NYSEAmex–2009–50 and should be 

submitted on or before August 31, 2009. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.11

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E9–19017 Filed 8–7–09; 8:45 am] 

BILLING CODE 8010–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–60424; File No. SR–FINRA– 

2009–049] 

Self-Regulatory Organizations; 

Financial Industry Regulatory 

Authority, Inc.; Notice of Filing and 

Immediate Effectiveness of Proposed 

Rule Change To Adopt the Selection 

Specifications and Study Outline for 

the Limited Representative— 

Investment Banking (‘‘Series 79’’) 

Examination Program 

August 4, 2009. 

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 July 28, 

2009, Financial Industry Regulatory 

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

designated the proposed rule change as 

constituting a ‘‘non-controversial’’ rule 

change under paragraph (f)(6) of Rule 

19b–4 under the Act,3 which renders 

the proposal effective upon receipt of 

this filing by the Commission. 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 

FINRA is proposing to adopt the 

selection specifications and content 

outline for the Limited Representative— 

Investment Banking (‘‘Series 79’’) 

Examination program.4

The Series 79 examination program is 

proposed in connection with NASD 

Rule 1032(i), a new limited 

representative registration category for 

persons whose activities are limited to 

investment banking and principals who 

supervise such activities.5 FINRA is not 

proposing any textual changes to its ByLaws, Schedules to the By-Laws or 

rules. 

A description of the Series 79 

examination is included in the attached 

content outline.6 Additional 

information on the examination is 

included in the Series 79 selection 

specifications, which FINRA has 

submitted under separate cover with a 

request for confidential treatment to the 

Commission’s Secretary pursuant to 

Rule 24b–2 under the Act.7

The text of the proposed rule change 

is available on FINRA’s Web site at 

http://www.finra.org, at the principal 

office of FINRA 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, 

FINRA 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 


rmajette on DSK29S0YB1PROD with NOTICES