5880 Federal Register / Vol. 74, No. 20 / Monday, February 2, 2009 / Notices 

9 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. 

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–NSCC–2008–12 on the 

subject line. 

Paper Comments 

• Send paper comments in triplicate 

to Secretary, Elizabeth M. Murphy, 

Securities and Exchange Commission, 

100 F Street, NE., Washington, DC 

20549–1090. 

All submissions should refer to File 

Number SR–NSCC–2008–12. 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 filings also will be 

available for inspection and copying at 

the principal office of NSCC and on 

NSCC’s Web site at http:// 

www.dtcc.com/downloads/legal/ 

rule_filings/2008/nscc/2008-12.pdf. 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–NSCC–2008–12 and should 

be submitted on or before February 23, 

2009. 

For the Commission by the Division of 

Trading and Markets, pursuant to delegated 

authority.9

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E9–2120 Filed 1–30–09; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–59270; File No. SR– 

NYSEArca–2009–01] 

Self-Regulatory Organizations; Notice 

of Filing of Proposed Rule Change by 

NYSE Arca, Inc. Relating to Reduction 

of Annual Fee for Certain Issues Listed 

Under Rule 5.2(j)(6). 

January 21, 2009. 

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 January 

6, 2009, NYSE Arca, Inc. (‘‘NYSE Arca’’ 

or the ‘‘Exchange’’) filed with the 

Securities and Exchange Commission 

(the ‘‘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 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, through its wholly 

owned subsidiary NYSE Arca Equities, 

Inc. (‘‘NYSE Arca Equities’’), is 

proposing to amend its Schedule of Fees 

and Charges for Exchange Services 

(‘‘Fee Schedule’’) to revise the Annual 

Fees applicable to securities listed in 

calendar year 2009 under Rule 5.2(j)(6) 

on NYSE Arca, LLC (‘‘NYSE Arca 

Marketplace’’), the equities facility of 

NYSE Arca Equities. The text of the 

proposed rule change is available on the 

Exchange’s Web Site at http:// 

www.nyx.com, at the Exchange’s 

principal office, 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, 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 

NYSE Arca has determined to amend 

the Exchange’s Fee Schedule to revise 

the Annual Fee applicable to securities 

listed on the NYSE Arca Marketplace in 

calendar year 2009 under Rule 5.2(j)(6) 

(Equity Index-Linked Securities, 

Commodity-Linked Securities, 

Currency-Linked Securities, Fixed 

Income Index-Linked Securities, 

Futures-Linked Securities and 

Multifactor Indexed-Linked Securities). 

Specifically, the Exchange proposes to 

add new footnote 10 to the Fee 

Schedule to state that, during 2009, the 

Annual Fee for an issue of securities 

listed under Rule 5.2(j)(6) of up to 

500,000 shares outstanding will be 

$5,000, pro-rated based on days 

remaining in 2009. 

Under the current Fee Schedule for 

Structured Products, which include 

securities listed under Rule 5.2(j)(6), the 

Annual Fee ranges from $10,000 to 

$55,000, based on the total number of 

securities outstanding per listed issue. 

The current Annual Fee for issues with 

up to 6 million shares outstanding is 

$10,000. The proposed reduced Annual 

Fee would apply for calendar year 2009 

to issues newly listed on the NYSE Arca 

Marketplace beginning as of January 1, 

2009, and would not apply to issues 

listed prior to or after calendar year 

2009. 

As an example of how the Annual Fee 

would apply to such issues, if an Equity 

Index-Linked Security lists on the NYSE 

Arca Marketplace on July 1, 2009 with 

500,000 shares outstanding, such 

security would pay a pro-rated Annual 

Fee for 2009 of $2500 (1⁄2 × $5,000). 

The Exchange believes that 

temporarily reducing the Annual Fee for 

newly listed securities listed under Rule 

5.2(j)(6), which include Exchange 

Traded Notes or ‘‘ETNs’’, will provide 

an incentive for issuers to introduce and 

list more such products on the NYSE 

Arca Marketplace in 2009, thereby 

increasing competition among such 

products. 


dwashington3 on PROD1PC60 with NOTICES
Federal Register / Vol. 74, No. 20 / Monday, February 2, 2009 / Notices 5881 

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

5 15 U.S.C. 78f(b)(4). 6 17 CFR 200.30–3(a)(12). 

2. Statutory Basis 

The proposed rule change is 

consistent with Section 6(b) 4 of the Act 

in general and Section 6(b)(4) 5 of the 

Act, in particular, in that it provides for 

the equitable allocation of reasonable 

dues, fees and other charges among its 

issuers and other persons using its 

facilities. The Exchange believes that 

temporarily reducing the Annual Fee for 

newly listed securities listed under Rule 

5.2(j)(6) will provide an incentive for 

issuers to introduce and list more such 

products on the NYSE Arca Marketplace 

in 2009, thereby increasing competition 

among such products. 

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 

Within 35 days of the date of 

publication of this notice in the Federal 

Register or within such longer period (i) 

as the Commission may designate up to 

90 days of such date if it finds such 

longer period to be appropriate and 

publishes its reasons for so finding or 

(ii) as to which the self-regulatory 

organization consents, the Commission 

will: 

(A) By order approve the proposed 

rule change, or 

(B) Institute proceedings to determine 

whether the proposed rule change 

should be disapproved. 

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–NYSEArca–2009–01 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–NYSEArca–2009–01. 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 

Section, 100 F Street, NE., Washington, 

DC 20549–1090 on official business 

days between the hours of 10 a.m. and 

3 p.m. Copies of the filing will also be 

available for inspection and copying at 

NYSE Arca’s principal office and on its 

Internet Web site at http:// 

www.nyse.com. 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– 

NYSEArca–2009–01 and should be 

submitted on or before February 23, 

2009. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.6

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E9–2121 Filed 1–30–09; 8:45 am] 

BILLING CODE 8011–01–P 

DEPARTMENT OF STATE 

[Public Notice 6503] 

Imposition of Category II Missile 

Sanctions Against Three North Korean 

Entities 

AGENCY: Bureau of International 

Security and Nonproliferation, 

Department of State. 

ACTION: Notice. 

SUMMARY: A determination has been 

made that three North Korean entities 

have engaged in activities that require 

the imposition of missile sanctions 

pursuant to the Arms Export Control 

Act, as amended, and the Export 

Administration Act of 1979, as amended 

(as carried out under Executive Order 

13222 of August 17, 2001). 

DATES: Effective Date: February 2, 2009. 

FOR FURTHER INFORMATION CONTACT: Pam 

Durham, Office of Missile Threat 

Reduction, Bureau of International 

Security and Nonproliferation, 

Department of State (202–647–4931). On 

import ban issues, Rochelle Stern, 

Director Policy Planning and Program 

Management, Office of Foreign Assets 

Control, Department of the Treasury 

(202–622–2500). On U.S. Government 

procurement ban issues, Kim Triplett, 

office of the Procurement Executive, 

Department of State (703–875–4079). 

SUPPLEMENTARY INFORMATION: Pursuant 

to Section 73(a)(1) of the Arms Export 

Control Act (22 U.S.C. 2797b(a)(1)); 

Section 11B(b)(1) of the Export 

Administration Act of 1979 (50 U.S.C. 

app. 2410b(b)(1)), as carried out under 

Executive Order 13222 of August 17, 

2001 (hereinafter cited as the ‘‘Export 

Administration Act of 1979’’); and 

Executive Order 12851 of June 11, 1993; 

the U.S. Government determined on 

January 15, 2009 that the following 

foreign entities had engaged in missile 

technology proliferation activities that 

require the imposition of missile 

sanctions described in Section 73 of the 

AECA (22 U.S.C. 2797b) and Section 

11B of the EAA (50 U.S.C. Appx 

24710b) on these entities: 

—Korea Mining and Development 

Corporation (KOMID) (North Korea) 

and its sub-units and successors 

—Mokong Trading Corporation (North 

Korea) and its sub-units and 

successors 

—Sino-Ki (North Korea) and its subunits and successors 

Accordingly, the following sanctions 

are being imposed on these entities for 

two years: 

(A) Denial of all new individual 

export licenses for the transfer of MTCR 

Annex items to the sanctioned entities; 


dwashington3 on PROD1PC60 with NOTICES