Federal Register / Vol. 74, No. 36 / Wednesday, February 25, 2009 / Notices 8605 

20 15 U.S.C. 78s(b)(3)(A). 

21 17 CFR 240.19b–4(f)(6). 

22 17 CFR 240.19b–4(f)(6)(iii). In addition, Rule 

19b–4(f)(6)(iii) requires the self-regulatory 

organization to give the Commission notice of its 

intent to file the proposed rule change, along with 

a brief description and text of the proposed rule 

change, at least five business days prior to the date 

of filing of the proposed rule change, or such 

shorter time as designated by the Commission. The 

Exchange has satisfied this requirement. 

23See supra note 10. 

24For purposes only of waiving the operative 

delay for this proposal, the Commission has 

considered the proposed rule’s impact on 

efficiency, competition, and capital formation. See 

15 U.S.C. 78c(f). 

25 15 U.S.C. 78s(b)(3)(C). 

26 17 CFR 200.30–3(a)(12). 

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

2 17 CFR 240.19b–4. 

to prevent fraudulent and manipulative 

acts and practices, to promote just and 

equitable principles of trade, to remove 

impediments to and perfect the 

mechanism of a free and open market 

and a national market system, and, in 

general, to protect investors and the 

public interest. The Exchange believes 

the proposed rule changes are consistent 

with these principles in that it amends 

legacy rules to accurately reflect the role 

performed by the Exchange’s market 

maker thus removing impediments to 

and perfecting the mechanism of a free 

and open market. 

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 

Because the foregoing proposed rule 

change: (1) Does not significantly affect 

the protection of investors or the public 

interest; (2) does not impose any 

significant burden on competition; and 

(3) by its terms, does not become 

operative for 30 days after the date of 

filing, or such shorter time as the 

Commission may designate if consistent 

with the protection of investors and the 

public interest, the proposed rule 

change has become effective pursuant to 

Section 19(b)(3)(A) of the Act 20 and 

Rule 19b–4(f)(6) thereunder.21

A proposed rule change filed under 

Rule 19b–4(f)(6) normally does not 

become operative for 30 days after the 

date of filing.22 However, Rule 19b– 

4(f)(6)(iii) permits the Commission to 

designate a shorter time if such action 

is consistent with the protection of 

investors and the public interest. The 

Exchange requested that the 

Commission waive the 30-day operative 

delay and designate the proposed rule 

change operative upon filing. 

The Commission believes that 

waiving the 30-day operative delay is 

consistent with the protection of 

investors and the public interest. The 

proposed rule change seeks to remove 

legacy language that is inconsistent with 

the role performed by DMMs as 

approved by the Commission in NYSE’s 

New Market Model filing,23 which also 

applies to DMMs on Alternext. 

Furthermore, it seeks to clarify its rule 

text in order to avoid any undue 

confusion on the part of Exchange 

market participants as it relates to the 

function performed by DMMs. 

Therefore, the Commission designates 

the proposal operative upon filing.24

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.25

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–NYSEALTR–2009–09 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–NYSEALTR–2009–09. 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 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 

available publicly. All submissions 

should refer to File Number SR– 

NYSEALTR–2009–09 and should be 

submitted on or before March 18, 2009. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.26

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E9–3981 Filed 2–24–09; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–59418; File No. SR– 

NYSEALTR–2009–07] 

Self-Regulatory Organizations; NYSE 

Alternext US LLC; Notice of Filing and 

Immediate Effectiveness of Proposed 

Rule Change To Provide Instructions 

as to the Payment of Listing Fees in 

Connection With the Listing of 

Additional Securities 

February 18, 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 February 

2, 2009, NYSE Alternext US LLC 

(‘‘NYSE Alternext’’ or ‘‘Exchange’’) filed 

with the Securities and Exchange 

Commission (‘‘Commission’’) the 

proposed rule changes as described in 

Items I and II below, which items have 

been prepared by the Exchange. NYSE 

Alternext filed the proposed rule change 

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


pwalker on PROD1PC71 with NOTICES
8606 Federal Register / Vol. 74, No. 36 / Wednesday, February 25, 2009 / Notices 

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

4 17 CFR 240.19b–4(f)(6). 5 15 U.S.C. 78f(b)(5). 

6 15 U.S.C. 78s(b)(3)(A). 

7 17 CFR 240.19b–4(f)(6). 

8 17 CFR 240.19b–4(f)(6)(iii). In addition, Rule 

19b–4(f)(6)(iii) requires the self-regulatory 

organization to give the Commission notice of its 

intent to file the proposed rule change, along with 

a brief description and text of the proposed rule 

change, at least five business days prior to the date 

of filing of the proposed rule change, or such 

shorter time as designated by the Commission. The 

Exchange has satisfied this requirement. 

9For purposes only of waiving the operative 

delay for this proposal, the Commission has 

considered the proposed rule’s impact on 

efficiency, competition, and capital formation. See 

15 U.S.C. 78c(f). 

Act 3 and Rule 19b–4(f)(6) thereunder,4

which renders the proposal effective 

upon filing. The Commission is 

publishing this notice to solicit 

comments on the proposed rule changes 

from interested persons. 

I. Self-Regulatory Organization’s 

Statement of the Terms of Substance of 

the Proposed Rule Change 

The Exchange proposes to amend 

Section 332 of the Exchange’s Company 

Guide to provide instructions as to the 

payment of listing fees in connection 

with the listing of additional securities. 

The text of the proposed rule change is 

available on the Exchange’s Web site 

(http://www.nyse.com), at the 

Exchange’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, 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 these statements may be examined at 

the places specified in Item IV below. 

NYSE Alternext 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 

Section 332 of the Exchange’s 

Company Guide provides that a check 

drawn to the order of ‘‘NYSE Alternext 

US LLC’’ should accompany each 

application for the listing of additional 

securities of a previously listed class. In 

the absence of specific instruction to the 

contrary, it has been the Exchange’s 

experience that many companies have 

complied with the plain wording of this 

provision and forwarded the check 

along with the listing application to the 

regulatory staff that are responsible for 

processing the listing applications. The 

Exchange believes that it is 

inappropriate for the employees of 

NYSE Regulation who process listing 

applications to be accepting payments 

on behalf of the business. Furthermore, 

the internal routing of checks to the 

Exchange’s Treasury Department from 

NYSE Regulation leads to unnecessary 

delays and the possibility that checks 

may be lost or not cashed on a timely 

basis. As such, the Exchange proposes 

to amend Section 332 to provide that 

checks in payment of listing fees in 

connection with listings of additional 

shares should be sent to the following 

address: NYSE Alternext US LLC, Attn: 

Treasury Department, 20 Broad Street, 

9th Floor, New York, NY 10005. 

Section 332 as amended will require 

that checks sent to the Treasury 

Department in payment of listing fees 

should be accompanied by a copy of the 

related listing application required by 

Section 303 of the Company Guide, to 

ensure that Exchange staff knows to 

apply the funds to the listing fee 

obligation incurred in connection with 

that listing application. Companies 

should continue to provide a copy of the 

listing application required by Section 

303, accompanied by the exhibits 

detailed in Section 306, to the staff of 

NYSE Regulation who process listing 

applications on behalf of NYSE 

Alternext. 

2. Statutory Basis 

The basis under the Exchange Act for 

this proposed rule change is the 

requirement under Section 6(b)(5) 5 that 

an Exchange have rules that are 

designed to promote just and equitable 

principles of trade, to remove 

impediments to and perfect the 

mechanism of a free and open market 

and a national market system and, in 

general, to protect investors and the 

public interest. The Exchange believes 

that the proposed amendment to Section 

332 is consistent with the requirements 

of Section 6(b)(5), as it simply provides 

practical guidance as to how to make 

payments of listing fees payable to the 

Exchange in connection with listings of 

additional securities, without making 

any change to the fees themselves. 

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 Exchange Act. 

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 

Because the foregoing proposed rule 

change does not: (1) Significantly affect 

the protection of investors or the public 

interest; (2) impose any significant 

burden on competition; and (3) by its 

terms, become operative for 30 days 

after the date of filing, or such shorter 

time as the Commission may designate 

if consistent with the protection of 

investors and the public interest, the 

proposed rule change has become 

effective pursuant to Section 19(b)(3)(A) 

of the Act 6 and Rule 19b–4(f)(6) 

thereunder.7

A proposed rule change filed under 

Rule 19b–4(f)(6) normally does not 

become operative for 30 days after the 

date of filing.8 However, Rule 19b– 

4(f)(6)(iii) permits the Commission to 

designate a shorter time if such action 

is consistent with the protection of 

investors and the public interest. The 

Exchange requested that the 

Commission waive the 30-day operative 

delay, as specified in Rule 19b– 

4(f)(6)(iii). 

The Commission believes that 

waiving the 30-day operative delay is 

consistent with the protection of 

investors and the public interest 

because doing so would enable the 

Exchange to immediately direct issuers 

to send checks for the listing of 

additional shares to the appropriate 

non-regulatory staff, and ensure proper 

application of the fees. Further, the 

proposal will help to maintain the 

integrity of the Exchange’s review 

process for the listing of additional 

shares by ensuring the NYSE regulatory 

staff is not improperly accepting 

payments on behalf of the listing 

business. Accordingly, the Commission 

designates the proposed rule change as 

operative upon filing.9

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 


pwalker on PROD1PC71 with NOTICES
Federal Register / Vol. 74, No. 36 / Wednesday, February 25, 2009 / Notices 8607 

10 17 CFR 200.30–3(a)(12). 

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–NYSEALTR–2009–07 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–NYSEALTR–2009–07. 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–NYSEALTR–2009–07 and 

should be submitted on or before March 

18, 2009. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.10

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E9–3982 Filed 2–24–09; 8:45 am] 

BILLING CODE 8011–01–P 

SOCIAL SECURITY ADMINISTRATION 

Agency Information Collection 

Activities: Proposed Request and 

Comment Request 

The Social Security Administration 

(SSA) publishes a list of information 

collection packages requiring clearance 

by the Office of Management and 

Budget (OMB) in compliance with 

Public Law (Pub. L.) 104–13, the 

Paperwork Reduction Act of 1995, 

effective October 1, 1995. This notice 

includes revisions and an extension of 

OMB-approved information collections. 

SSA is soliciting comments on the 

accuracy of the agency’s burden 

estimate; the need for the information; 

its practical utility; ways to enhance its 

quality, utility, and clarity; and ways to 

minimize the burden on respondents, 

including the use of automated 

collection techniques or other forms of 

information technology. Mail, e-mail, or 

fax your comments and 

recommendations on the information 

collection(s) to the OMB Desk Officer 

and the SSA Reports Clearance Officer 

to the addresses or fax numbers listed 

below. 

(OMB), Office of Management and 

Budget, Attn: Desk Officer for SSA, 

Fax: 202–395–6974, E-mail address: 

OIRA_Submission@omb.eop.gov. 

(SSA), Social Security Administration, 

DCBFM, Attn: Reports Clearance 

Officer, 1332 Annex Building, 6401 

Security Blvd., Baltimore, MD 21235, 

Fax: 410–965–6400, E-mail address: 

OPLM.RCO@ssa.gov. 

I. The information collection below is 

pending at SSA. SSA will submit it to 

OMB within 60 days from the date of 

this notice. Therefore, your comments 

would be most helpful if you submit 

them to SSA within 60 days from the 

date of this publication. Individuals can 

obtain copies of the collection 

instrument by calling the SSA Reports 

Clearance Officer at 410–965–3758 or by 

writing to the e-mail address listed 

above. 

1. Medical or Psychological Review of 

Childhood Disability Evaluation Form 

(SSA–538)—20 CFR 416.1040, 416.1043, 

416.1045, 416.924(g)—0960–0675. 

SSA’s regional review component use 

Form SSA–536 to facilitate the contract 

medical or psychological consultant’s 

review of the Childhood Disability 

Evaluation Form (SSA–538). The SSA– 

536 records the reviewing consultant’s 

assessment of the evaluation prepared 

by the adjudicating component. The 

consultant completes an SSA–536 for 

each Title XVI childhood disability case 

he or she reviews because a Childhood 

Disability Evaluation Form (SSA–538) is 

required in each case. The respondents 

are consultants who review the 

adjudicating component’s completion of 

the Childhood Disability Evaluation 

Form (SSA–538). 

Type of Request: Revision of an OMBapproved information collection. 

Number of Respondents: 256. 

Frequency of Response: 66. 

Average Burden Per Response: 12 

minutes. 

Estimated Annual Burden: 3,379 

hours. 

2. Identifying Information for Possible 

Direct Payment of Authorized Fees— 

0960–0730. SSA uses Form SSA–1695 

to collect information from appointed 

representatives to process and facilitate 

direct payment of authorized fees to a 

financial institution. SSA will use this 

information to issue a Form 1099–MISC, 

if applicable. The respondents are 

attorneys and other individuals who 

represent claimants for benefits before 

SSA. 

Type of Request: Extension of an 

OMB-approved information collection. 

Number of Respondents: 10,000. 

Frequency of Response: 40. 

Average Burden Per Response: 10 

minutes. 

Estimated Annual Burden: 66,667 

hours. 

II. SSA has submitted the information 

collections listed below to OMB for 

clearance. Your comments on the 

information collections would be most 

useful if received by OMB and SSA 

within 30 days from the date of this 

publication. You can obtain a copy of 

the OMB clearance packages by calling 

the SSA Reports Clearance Officer at 

410–965–3758, or by writing to the 

above listed address. 

Application for a Social Security 

Card—20 CFR 422.103–.110—0960– 

0066. SSA collects information on 

Forms SS–5 (used in the United States) 

and SS–5–FS (used outside the United 

States) to issue original or replacement 

Social Security cards. SSA is revising 

the race/ethnicity question on the forms 

to comply with Office of Management 

and Budget standards. Additionally, 

SSA is making several other minor 

changes to the form’s instructions. The 

respondents are applicants for original 

and replacement Social Security cards. 

Type of Request: Revision to an OMBapproved information collection. 


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