Federal Register / Vol. 74, No. 189 / Thursday, October 1, 2009 / Notices 50853 

10 17 CFR 200.30–3(a)(12). 

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

2 17 CFR 240.19b–4. 

3See Securities Exchange Act Release No. 60491 

(August 12, 2009), 74 FR 41953. 

4 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). 

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

6See Securities Exchange Act Release No. 46102 

(June 21, 2002), 67 FR 43692 (June 28, 2002) (SR– 

CBOE–2002–33) (immediately effective rule change 

relating to the identification of Market-Maker and 

Specialist orders). 

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

8 17 CFR 200.30–3(a)(12). 

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

2 17 CFR 240.19b–4. 

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–DTC–2009–15 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–DTC–2009–15. 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 DTC and on 

DTC’s Web site at http://www.dtcc.com/ 

legal/rule_filings/dtc/2009–15.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–DTC–2009–15 and should 

be submitted on or before October 22, 

2009. 

For the Commission by the Division of 

Trading and Markets, pursuant to delegated 

authority.10

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E9–23623 Filed 9–30–09; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–60710; File No. SR–CBOE– 

2009–057] 

Self-Regulatory Organizations; 

Chicago Board Options Exchange, 

Incorporated; Order Approving 

Proposed Rule Change Related to 

Market-Maker and Specialist Orders 

September 23, 2009. 

On August 10, 2009, the Chicago 

Board Options Exchange, Incorporated 

(‘‘CBOE’’) filed with the Securities and 

Exchange Commission (‘‘Commission’’), 

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

Securities Exchange Act of 1934 

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

proposed rule change to eliminate Rule 

6.73(d) and its requirement to orally 

identify a Market-Maker or a Specialist 

order in open outcry before requesting 

a quote. The proposed rule change was 

published for comment in the Federal 

Register on August 19, 2009.3 The 

Commission received no comments on 

the proposal. This order approves the 

proposed rule change. 

The Commission finds that the 

proposed rule change is consistent with 

the requirements of the Act and the 

rules and regulations thereunder 

applicable to a national securities 

exchange.4 In particular, the 

Commission finds that the proposed 

rule change is consistent with the 

provisions of Section 6(b)(5) of the Act,5

which requires, among other things, that 

the CBOE rules be designed to promote 

just and equitable principles of trade, to 

prevent fraudulent and manipulative 

acts and practices, to remove 

impediments to and to perfect the 

mechanism for a free and open market 

and a national market system, and, in 

general, to protect investors and the 

public interest. 

According to the CBOE, it adopted 

Rule 6.73(d) to ensure that MarketMaker and Specialist orders were not 

inadvertently represented as public 

customer orders, which receive 

preferential treatment in certain 

instances under CBOE rules.6 The CBOE 

proposes to eliminate the requirement 

in Rule 6.73(d) to orally identify the 

Market-Maker and Specialist orders in 

open outcry and represents that the 

requirement is superfluous and 

unnecessary because the preferential 

treatment afforded to public customer 

orders was system-enforced through the 

order marking requirement. In addition, 

the CBOE represents that it no longer 

utilizes the RAES trading platform for 

which the order identification 

procedure was introduced. 

In approving the proposed rule 

change, the Commission notes that it 

received no comments on the proposed 

rule change and bases its approval, in 

part, on the CBOE’s representations that 

public customer orders will continue to 

receive appropriate preferential 

treatment under its Hybrid Trading 

System and existing rules. 

It is therefore ordered, pursuant to 

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

proposed rule change (SR–CBOE–2009– 

057) 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. E9–23624 Filed 9–30–09; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–60717; File No. SR– 

NYSEArca–2009–74] 

Self-Regulatory Organizations; NYSE 

Arca, Inc.; Notice of Filing of 

Amendment No. 1 and Order Granting 

Accelerated Approval of a Proposed 

Rule Change, as Modified by 

Amendment No. 1, Relating To Listing 

Four Grail Advisors RP ExchangeTraded Funds 

September 24, 2009. 

On August 12, 2009, NYSE Arca, Inc. 

(‘‘NYSE Arca’’ or ‘‘Exchange’’), through 

its wholly owned subsidiary, NYSE 

Arca Equities, Inc. (‘‘NYSE Arca 

Equities’’), filed with the Securities and 

Exchange Commission (‘‘Commission’’), 

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

Securities Exchange Act of 1934 

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

proposed rule change to list and trade 

shares (‘‘Shares’’) of the following Grail 

Advisors actively-managed exchangetraded funds: RP Growth ETF, RP 

Focused Large Cap Growth ETF, RP 

Technology ETF and the RP Financials 


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