Federal Register / Vol. 74, No. 198 / Thursday, October 15, 2009 / Notices 52993 

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

2 17 CFR 240.19b–4. 

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

4 17 CFR 240.19b–4(f)(2). 

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

6 15 U.S.C. 78f(b)(4). 

SBIC, L.P., own more than ten percent 

of AltheaDx, Inc. 

Therefore, this transaction is 

considered a financing of an Associate 

requiring an exemption. Notice is 

hereby given that any interested person 

may submit written comments on the 

transaction within fifteen days of the 

date of this publication to the Associate 

Administrator for Investment, U.S. 

Small Business Administration, 409 

Third Street, SW., Washington, DC 

20416. 

Dated: September 24, 2009. 

Sean J. Greene, 

Associate Administrator for Investment. 

[FR Doc. E9–24844 Filed 10–14–09; 8:45 am] 

BILLING CODE 8025–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–60799] 

Draft 2010–2015 Strategic Plan for 

Securities and Exchange Commission 

AGENCY: Securities and Exchange 

Commission. 

ACTION: Request for comment. 

SUMMARY: The Securities and Exchange 

Commission (SEC) is providing notice 

that it is seeking comments on its draft 

2010–2015 Strategic Plan. The draft 

Strategic Plan includes a draft of the 

SEC’s mission, vision, values, strategic 

goals, planned initiatives, and 

performance metrics. 

DATES: Comments should be received on 

or before November 16, 2009. 

ADDRESSES: Comments may be 

submitted by any of the following 

methods: 

Electronic Comments 

• Send an e-mail to 

strategicplan@sec.gov. 

Paper Comments 

• Send paper comments in triplicate 

to Kenneth A. Johnson, Management 

and Program Analyst, Securities and 

Exchange Commission, 100 F Street, 

NE., Washington, DC 20549–2521. 

FOR FURTHER INFORMATION CONTACT: 

Kenneth A. Johnson, Management and 

Program Analyst, Office of the Executive 

Director, at (202) 551–4300, Securities 

and Exchange Commission, 100 F 

Street, NE., Washington, DC 20549– 

2521. 

SUPPLEMENTARY INFORMATION: The draft 

strategic plan is available at the 

Commission’s Web site at http:// 

www.sec.gov/about/ 

secstratplan1015.htm or by contacting 

Kenneth A. Johnson, Management and 

Program Analyst, Office of the Executive 

Director, at (202) 551–4300, Securities 

and Exchange Commission, 100 F 

Street, NE., Washington, DC 20549– 

2521. 

Dated: October 8, 2009. 

By the Commission. 

Elizabeth M. Murphy, 

Secretary. 

[FR Doc. E9–24713 Filed 10–14–09; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–60800; File No. SR– 

NYSEAmex–2009–66] 

Self-Regulatory Organizations; NYSE 

Amex LLC; Notice of Filing and 

Immediate Effectiveness of Proposed 

Rule Change To Amend Its Schedule of 

Transaction Fees and Rebates 

October 8, 2009. 

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

Securities Exchange Act of 1934 (the 

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

notice is hereby given that, on 

September 30, 2009, NYSE Amex LLC 

(‘‘NYSE Amex’’ 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 Exchange. 

The Exchange filed this proposal 

pursuant to Section 19(b)(3)(A) of the 

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

which renders the proposal effective 

upon filing with 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 

The Exchange proposes to (i) increase 

from $0.0015 per share to $0.0030 per 

share the rebate it provides to customers 

adding liquidity and (ii) increase from 

$0.0020 per share to $0.0025 per share 

the fee charged to floor brokers when 

taking liquidity from the Exchange. 

These changes will take effect on 

October 1, 2009. 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 the 

Statutory Basis for, the Proposed Rule 

Change 

1. Purpose 

NYSE Amex currently pays a rebate of 

$0.0015 per share to customers 

providing liquidity in securities with a 

trading price of at least $1.00 per share. 

With effect from October 1, 2009, this 

rebate will increase to $0.0030 per 

share. The Exchange intends to 

reevaluate this rebate again in three 

months time and will submit an 

additional rule filing if it decides to 

change its rebate policy at that time. The 

description of the rebate in the 2009 

NYSE Amex Price List is also amended 

to clarify that it applies to both 

displayed and non-displayed orders. 

Floor brokers currently pay a fee of 

$0.0020 per share when taking liquidity 

from the Exchange. Effective October 1, 

2009, this fee will be increased to 

$0.0025 per share. 

2. Statutory Basis 

The Exchange believes that the 

proposed rule change is consistent with 

the provisions of Section 6 of the Act,5

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

Act,6 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. The Exchange 

believes that the proposal does not 

constitute an inequitable allocation of 

dues, fees and other charges as all 

similarly situated member organizations 

will be subject to the same fee structure. 

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 

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