46266 Federal Register / Vol. 74, No. 172 / Tuesday, September 8, 2009 / Notices 

15 17 CFR 200.30–3(a)(12). 

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

2 17 CFR 240.19b–4. 

3The Commission notes that Exhibit 5 is attached 

to the filing, but is not attached to this Notice. 

4The Commission notes that, as with all filings 

submitted under Section 19(b)(3)(A) of the Act, the 

filing is effective on the date it was filed, in this 

case August 17, 2009. 

5Securities Exchange Act Release No. 59682 

(April 1, 2009), 74 FR 16015 (April 8, 2009) (SR– 

BX–2009–018). 

6See http://nasdaqomxbx.cchwallstreet.com/ 

NASDAQOMXBX/pdf/bx-filings/2009/SR–BX– 

2009–018.pdf. 

7See http://www.sec.gov/rules/sro/bx/2009/34- 

59682.pdf. 

8See Securities Exchange Act Release No. 59682 

(April 1, 2009), 74 FR 16015 (April 8, 2009) (SR– 

BX–2009–018). 

9See http://www.nasdaqtrader.com/ 

TraderNews.aspx?id=ETA2009–16. 

10See http://www.nasdaqtrader.com/ 

Trader.aspx?id=bx_pricing. 

11 15 U.S.C. 78f. 

12 15 U.S.C. 78f(b)(5). 

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–2009–76 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–2009–76. 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 the 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-2009–76 and should 

be submitted on or before September 29, 

2009. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.15

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E9–21611 Filed 9–4–09; 8:45 am] 

BILLING CODE 8010–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–60603; File No. SR–BX– 

2009–049] 

Self-Regulatory Organizations; 

NASDAQ OMX BX, Inc.; Notice of Filing 

and Immediate Effectiveness of 

Proposed Rule Change To Correct an 

Error in Rule 7018 

September 1, 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 August 

17, 2009, NASDAQ OMX BX, Inc. 

(‘‘BX’’) 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 Exchange. 

The Commission is publishing this 

notice to solicit comments on the 

proposed rule from interested persons. 

I. Self-Regulatory Organization’s 

Statement of the Terms of Substance of 

the Proposed Rule Change 

BX is filing a proposed rule change to 

correct a typographical error in Rule 

7018. The text of the proposed rule 

change is attached as Exhibit 5 3 and is 

available at http:// 

nasdaqomxbx.cchwallstreet.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, BX 

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. BX 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 

BX is submitting this filing to correct 

a typographical error in Rule 7018.4 In 

SR–BX–2009–018,5 BX modified its 

pricing for execution of orders in 

securities listed on The NASDAQ Stock 

Market (‘‘NASDAQ’’) and the New York 

Stock Exchange (‘‘NYSE’’) by, among 

other things, replacing a charge to 

access liquidity of $0.0014 per share 

executed with a credit of $0.0006 per 

share executed. This change was 

accurately described in the ‘‘Purpose’’ 

section of BX’s Form 19b–4 filing,6 in 

the Commission’s notice of the filing on 

the SEC Web site 7 and in the Federal 

Register,8 in widely disseminated 

announcements of the pricing change,9

and in the pricing schedule that appears 

on BX’s market Web site.10 However, 

due to a typographical error, the credit 

incorrectly appeared as ‘‘$0.006’’ in 

Exhibit 5 to the filing. Accordingly, BX 

is submitting this filing to correct the 

typographical error. BX has been billing 

members in accordance with the correct 

fee since the effective date of the change 

in April 2009, and accordingly believes 

that all of its members that trade on the 

NASDAQ OMX BX Equities System are 

cognizant of the correct fee. 

2. Statutory Basis 

BX believes that the proposed rule 

change is consistent with the provisions 

of Section 6 of the Act,11 in general, and 

with Section 6(b)(5) of the Act,12 in 

particular, in that it is designed to 

remove impediments to and perfect the 

mechanism of a fee [sic] and open 

market and a national market system. 

The proposed rule change corrects a 

typographical error in BX Rule 7018. 

B. Self-Regulatory Organization’s 

Statement on Burden on Competition 

BX does not believe that the proposed 

rule change will result in any burden on 

competition that is not necessary or 

appropriate in furtherance of the 

purposes of the Act, as amended. 


jlentini on DSKJ8SOYB1PROD with NOTICES
Federal Register / Vol. 74, No. 172 / Tuesday, September 8, 2009 / Notices 46267 

13 15 U.S.C. 78s(b)(3)(a)(iii). 

14 17 CFR 240.19b–4(f)(3). 

15 17 CFR 200.30–3(a)(12). 

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

2 17 CFR 240.1919b–4. 

3Changes are marked to the rule text that appears 

in the electronic manual of Nasdaq found at http:// 

nasdaqomx.cchwallstreet.com. 

C. Self-Regulatory Organization’s 

Statement on Comments on the 

Proposed Rule Change Received From 

Members, Participants or Others 

Written comments were neither 

solicited nor 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)(iii) of the Act 13 and 

subparagraph (f)(3) of Rule 19b–4 

thereunder.14 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–BX–2009–049 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–BX–2009–049. 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 publicly available. All 

submissions should refer to File 

Number SR–BX–2009–049 and should 

be submitted on or before September 29, 

2009. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.15

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E9–21667 Filed 9–4–09; 8:45 am] 

BILLING CODE 8010–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–60611; File No. SR– 

NASDAQ–2009–077] 

Self-Regulatory Organizations; The 

NASDAQ Stock Market LLC; Notice of 

Filing of Proposed Rule Change To 

Modify the Procedures Followed When 

a Listed Company Falls Below Certain 

Listing Requirements 

September 2, 2009. 

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

Securities Exchange Act of 1934 

(‘‘Act’’),1 and Rule 1919b–4 

thereunder,2 notice is hereby given that 

on August 17, 2009, The NASDAQ 

Stock Market LLC (‘‘Nasdaq’’) 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 Nasdaq. 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 

Nasdaq proposes to modify the 

procedures followed when a listed 

company falls below certain listing 

requirements. Nasdaq will implement 

the proposed rule upon approval. 

The text of the proposed rule change 

is below. Proposed new language is in 

italics; proposed deletions are in 

brackets.3

5810. Notification of Deficiency by the 

Listing Qualifications Department 

When the Listing Qualifications 

Department determines that a Company 

does not meet a listing standard set forth 

in the Rule 5000 Series, it will 

immediately notify the Company of the 

deficiency. As explained in more detail 

below, deficiency notifications are of 

four types: 

(1)–(4) No change. 

Notifications of deficiencies that 

allow for submission of a compliance 

plan or an automatic cure or compliance 

period may result, after review of the 

compliance plan or expiration of the 

cure or compliance period, in issuance 

of a Staff Delisting Determination or a 

Public Reprimand Letter. 

(a)–(b) No change. 

IM–5810–1. No change. 

(c) Types of Deficiencies and 

Notifications. 

The type of deficiency at issue 

determines whether the Company will 

be immediately suspended and delisted, 

or whether it may submit a compliance 

plan for review or is entitled to an 

automatic cure or compliance period 

before a Staff Delisting Determination is 

issued. In the case of a deficiency not 

specified below, Staff will issue the 

Company a Staff Delisting 

Determination or a Public Reprimand 

Letter. 

(1) No change. 

(2) Deficiencies for which a Company 

may Submit a Plan of Compliance for 

Staff Review. 

(A) Unless the Company is currently 

under review by an Adjudicatory Body 

for a Staff Delisting Determination, the 

Listing Qualifications Department may 

accept and review a plan to regain 

compliance when a Company is 

deficient with respect to one of the 

standards listed in subsections (i) 

through (iv) below. In accordance with 

Rule 5810(c)(2)(C), plans provided 

pursuant to subsections (i) through (iii) 

below must be provided generally 

within [15] 45 calendar days, and in 

accordance with Rule 5810(c)(2)(F), 

plans provided pursuant to subsection 

(iv) must be provided generally within 

60 calendar days. 

(i)–(iv) No change. 

IM–5810–2. No change. 


jlentini on DSKJ8SOYB1PROD with NOTICES