57586 Federal Register / Vol. 71, No. 189 / Friday, September 29, 2006 / Notices 

foreign tariff rates, and providing the 

harmonized system number. Current 

applied tariff rates for the EU can be 

accessed at: http://www.trade.gov/td/tic/ 

tariff/eu_schedule/index.htm. (The 

public is being directed to sources of 

applied tariff rates for ease of finding 

such information. The assessment of 

compensation, as described above, will 

be done using bound rates.) 

Services 

Applicable GATS Procedures: Article 

V, paragraph 5, of the General 

Agreement on Trade in Services 

(‘‘GATS’’) provides that if a WTO 

Member intends to modify or withdraw 

a specific GATS commitment as a result 

of joining an economic integration 

agreement such as a customs union, it 

must provide 90 days advance notice of 

such modification and follow the 

applicable procedures set out in GATS 

Article XXI. Paragraph 2 of Article XXI 

provides that WTO Members who 

believe they may be affected by the 

proposed modification of commitments 

can request negotiations with the 

modifying Member with the purpose of 

reaching an agreement on compensation 

for the proposed modification in the 

form of offsetting liberalization 

commitments in other services sectors. 

If the negotiation does not result in an 

agreement on compensation, the 

Member affected by the modification 

may request arbitration. If the modifying 

Member does not comply with the 

findings of the arbitration, the affected 

Member may withdraw substantially 

equivalent concessions. 

Bulgaria and Romania’s entry into the 

EU may also entail modification of the 

exiting lists of MFN exemptions 

maintained by the EU or the accession 

countries under GATS Article II. The 

United States maintains that the EU 

must engage through a separate WTO 

process (namely a waiver process under 

Article IX of the Agreement Establishing 

the WTO) with its partners in cases 

where modifications to MFN exemption 

lists are contemplated. However, 

comments from the public on 

anticipated trade impacts implied by a 

consolidation of the existing accession 

country and EU MFN exemptions lists 

are also solicited through this notice. 

Submissions: The public is advised to 

examine the existing GATS schedules of 

specific commitments and lists of mostfavored-nation exemptions of the EU in 

comparison with those of Bulgaria and 

Romania to determine whether changes 

that occur as a result of the 

consolidation of the schedules and lists 

would adversely impact U.S. 

commercial interests. The existing 

schedules and lists are accessible 

through the WTO’s Services Database 

Web site, http://tsdb.wto.org/wto/ 

WTOHomepublic.htm. From that site, 

click on ‘‘Pre-defined Reports’’ and then 

‘‘All Sectors in Each Country’’. 

Other Regulatory Measures 

Adoption of the EU acquis 

communautaire by Bulgaria and 

Romania will entail adoption of the 

EU’s standards, regulations and 

conformity assessment procedures, 

including sanitary and phytosanitary 

requirements, testing, certification, 

labeling requirements, etc. The 

accession countries will also be 

obligated to impose import restrictions, 

quantitative restrictions and 

antidumping orders similar to those of 

the EU. The public is encouraged to 

comment where appropriate on how the 

introduction of these types of regulatory 

measures would affect U.S. commercial 

interests. 

Supportive Data and Recommendations 

for Compensation 

All submissions should describe the 

product or service in question, and in 

the case of products, should include the 

Harmonized System tariff heading(s). 

Submissions should describe the 

current market access for the products 

or services, including value and 

quantity of exports, any existing 

problems, and should identify changes 

that are anticipated upon accession 

countries’ entry into the EU. In the area 

of services, submissions should include, 

if possible, detailed information 

regarding conditions for market access 

over the period leading up to entry into 

the EU, because these countries may 

have made incremental changes over a 

long period of time to conform their 

practices and access to that of the 

European Union. 

Submissions may also include 

recommendations for appropriate 

compensatory adjustments the United 

States might seek for instances of 

diminished market access. These 

recommendations could include such 

items as reductions in the EU common 

external tariff on goods, improvements 

to EU market access commitments on 

goods and services, or other changes in 

the EU trade regime for goods and 

services. 

2. Requirements for Submissions 

To ensure prompt and full 

consideration of responses, USTR 

strongly recommends that interested 

persons submit comments by electronic 

mail to the following e-mail address: 

FR0628@ustr.eop.gov. Persons making 

submissions by e-mail should use the 

following subject line: ‘‘Enlargement: 

Romania and Bulgaria’’ Documents 

should be submitted in WordPerfect, 

MSWord, or text (.TXT) files. 

Supporting documentation submitted as 

spreadsheets is acceptable in Quattro 

Pro or Excel format. For any document 

containing business confidential 

information submitted electronically, 

the file name of the business 

confidential version should begin with 

the characters ‘‘BC–’’, and the file name 

of the public version should begin with 

the character ‘‘P–’’. The ‘‘P–’’ or ‘‘BC–’’

should be followed by the name of the 

submitted information. Persons who 

make submissions by e-mail should not 

provide separate cover letters; 

information that might appear in a cover 

letter should be included in the 

submission itself. To the extent 

possible, any attachments to the 

submission should be included in the 

same file as the submission itself, and 

not as separate files. 

Written submissions will be placed in 

a file open to public inspection 

pursuant to 15 CFR 2003.5, except 

confidential business information 

exempt from public inspection in 

accordance with 15 CFR 2003.6 must be 

clearly marked ‘‘Business Confidential’’

at the top of each page, including any 

cover letter or cover page, and must be 

accompanied by a non-confidential 

summary of the confidential 

information. All public documents and 

non-confidential summaries will be 

available for public inspection in the 

USTR Reading Room in Room 3 of the 

Annex of the Office of the USTR, 1724 

F Street, NW., Washington, DC 20508. 

An appointment to review the file may 

be made by calling (202) 395–6186. The 

USTR Reading Room is generally open 

to the public from 10 a.m.–12 noon and 

1–4 p.m., Monday through Friday. 

Appointments must be scheduled at 

least 48 hours in advance. 

Carmen Suro-Bredie, 

Chairperson, Trade Policy Staff Committee. 

[FR Doc. E6–15989 Filed 9–28–06; 8:45 am] 

BILLING CODE 3190–W6–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[File No. 500–1] 

In the matter of Geographics, Inc. (n/ 

k/a G Printing, Inc.), Window Rock 

Capital Corp. (n/k/a Window Rock 

Capital Holdings, Inc.); Order of 

Suspension of Trading 

It appears to the Securities and 

Exchange Commission that there is a 

lack of current and accurate information 

concerning the securities of 


jlentini on PROD1PC65 with NOTICES
Federal Register / Vol. 71, No. 189 / Friday, September 29, 2006 / Notices 57587 

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)(6). 5 15 U.S.C. 78o–3(b)(6). 

Geographics, Inc. (n/k/a G Printing, Inc.) 

because it has not filed any periodic 

reports since the period ended 

December 31, 2001. 

It appears to the Securities and 

Exchange Commission that there is a 

lack of current and accurate information 

concerning the securities of Window 

Rock Capital Corp. (n/k/a Window Rock 

Capital Holdings, Inc.) because it has 

filed only one periodic report, a Form 

10–QSB for the period ended September 

30, 2005, in the last three years. 

The Commission is of the opinion that 

the public interest and the protection of 

investors require a suspension of trading 

in the securities of the above-listed 

companies. 

Therefore, it is ordered, pursuant to 

Section 12(k) of the Securities Exchange 

Act of 1934, that trading in the abovelisted companies is suspended for the 

period from 9:30 a.m. EDT on 

September 27, 2006, through 11:59 p.m. 

EDT on October 10, 2006. 

By the Commission. 

Nancy M. Morris, 

Secretary. 

[FR Doc. 06–8396 Filed 9–27–06; 11:58 am] 

BILLING CODE 8010–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–54496; File No. SR–NASD–

2006–105] 

Self-Regulatory Organizations; 

National Association of Securities 

Dealers, Inc.; Notice of Filing and 

Immediate Effectiveness of Proposed 

Rule Change Relating to 

Communications Concerning 

Investment Analysis Tools 

September 25, 2006. 

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 

September 7, 2006, the National 

Association of Securities Dealers, Inc. 

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

Exchange Commission (‘‘SEC’’ or 

‘‘Commission’’) the proposed rule 

change as described in Items I and II, 

which Items have been prepared by 

NASD. NASD has designated the 

proposed rule change as constituting a 

‘‘non-controversial’’ rule change under 

Section 19(b)(3)(A) of the Act 3 and Rule 

19b–4(f)(6) thereunder,4 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 

NASD is proposing to amend NASD 

Rule 2210 and Interpretive Material 

2210–6 to clarify the filing requirements 

for communications concerning 

investment analysis tools. The text of 

the proposed rule change is available on 

NASD’s Web site (www.nasd.com), at 

the NASD’s Office of the Secretary, 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, 

NASD included statements concerning 

the purpose of and basis for the 

proposed rule change. The text of these 

statements may be examined at the 

places specified in Item IV below. 

NASD 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 

On September 28, 2004, the 

Commission approved IM–2210–6, 

regarding ‘‘investment analysis tools.’’

IM–2210–6(b) defines the term 

‘‘investment analysis tool’’ as ‘‘an 

interactive technological tool that 

produces simulations and statistical 

analyses that present the likelihood of 

various investment outcomes if certain 

investments are made or certain 

investment strategies or styles are 

undertaken, thereby serving as an 

additional resource to investors in the 

evaluation of the potential risks and 

returns of investment choices.’’ IM–

2210–6 allows a member to use and 

provide customers access to investment 

analysis tools if the member complies 

with certain disclosure and other 

requirements. IM–2210–6 became 

effective on February 14, 2005. 

IM–2210–6(a) requires a member that 

offers or intends to offer an investment 

analysis tool, within 10 days of first use, 

to (1) provide the NASD Advertising 

Regulation Department (Department) 

access to the investment analysis tool, 

and (2) file with the Department any 

template for written reports produced 

by, or sales material concerning, the 

tool. Recently, questions have arisen 

regarding why the filing requirement 

was not included with other 

communications filing requirements 

under Rule 2210(c). Members have 

noted that persons reading Rule 2210(c) 

might not understand that there is an 

additional filing requirement for 

investment analysis tool report 

templates and sales material under IM–

2210–6. Members have also asked 

NASD staff what the term ‘‘sales 

material’’ as used in IM–2210–6, is 

intended to include, since ‘‘sales 

material’’ is not defined in either Rule 

2210 or IM–2210–6. 

In response to these inquiries, NASD 

is including a provision in Rule 2210(c) 

that refers to the existing requirement 

set forth in IM–2210–6 to file templates 

for written reports produced by, or 

advertisements and sales literature 

concerning, investment analysis tools. 

This new provision does not make any 

substantive changes to the current filing 

requirements for communications 

concerning investment analysis tools. 

NASD also is deleting the term ‘‘sales 

material’’ throughout IM–2210–6 and 

replacing it with the terms 

‘‘advertisement’’ and ‘‘sales literature’’

to clarify the rule’s application. This 

clarification is consistent with how the 

staff has applied the rule to date, and 

thus also does not make any substantive 

changes to the scope of IM–2210–6. 

2. Statutory Basis 

NASD believes that the proposed rule 

change is consistent with the provisions 

of Section 15A(b)(6) of the Act,5 which 

requires, among other things, NASD 

rules to be designed to prevent 

fraudulent and manipulative acts and 

practices, to promote just and equitable 

principles of trade, and, in general, to 

protect investors and the public interest. 

NASD believes that clarifying the filing 

requirements for communications 

concerning investment analysis tools 

will eliminate confusion regarding 

certain provisions of Rule 2210 and IM–

2210–6. 

B. Self-Regulatory Organization’s 

Statement on Burden on Competition 

NASD 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 PROD1PC65 with NOTICES