Federal Register / Vol. 74, No. 11 / Friday, January 16, 2009 / Notices 3123 

18 17 CFR 200.30–3(a)(12). 

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

2 15 U.S.C. 78a. 

3 17 CFR 240.19b–4. 

4See Securities Exchange Act Release No. 59231 

(January 12, 2009) (SR–NYSE–2008–143). 

5See Securities Exchange Act Release No. 58673 

(September 29, 2008), 73 FR 57707 (October 3, 

2008) (SR–NYSE–2008–60 and SR–Amex 2008–62) 

(approving the Merger). 

6 15 U.S.C. 78f. 

7See Securities Exchange Act Release No. 58705 

(October 1, 2008), 73 FR 58995 (October 8, 2008) 

(SR–Amex 2008–63) (approving the Equities 

Relocation). 

8See Securities Exchange Act Release No. 58705 

(October 1, 2008), 73 FR 58995 (October 8, 2008) 

(SR–Amex 2008–63) (approving the Equities 

Relocation); Securities Exchange Act Release No. 

58833 (October 22, 2008), 73 FR 64642 (October 30, 

2008) (SR–NYSE–2008–106) and Securities 

Exchange Act Release No. 58839 (October 23, 2008), 

73 FR 64645 (October 30, 2008) (SR–NYSEALTR– 

2008–03) (together, approving the Bonds 

Relocation); Securities Exchange Act Release No. 

59022 (November 26, 2008), 73 FR 73683 

(December 3, 2008) (SR–NYSEALTR–2008–10) 

(adopting amendments to NYSE Alternext Equities 

Rules to track changes to corresponding NYSE 

Rules); Securities Exchange Act Release No. 59027 

(November 28, 2008), 73 FR 73681 (December 3, 

2008) (SR–NYSEALTR–2008–11) (adopting 

amendments to Rule 62—NYSE Alternext Equities 

to track changes to corresponding NYSE Rule 62). 

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 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–NYSE– 

2008–143 and should be submitted on 

or before February 6, 2009. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.18

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E9–932 Filed 1–15–09; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–59233; File No. SR– 

NYSEALTR–2008–21] 

Self-Regulatory Organizations; Notice 

of Filing and Immediate Effectiveness 

of Proposed Rule Change by NYSE 

Alternext US LLC Amending NYSE 

Alternext Equities Rule 103B To 

Conform to Amendments Filed by the 

New York Stock Exchange To: (1) 

Prohibit DMM Units From 

Communicating With Issuers After 

Receipt of Notice From the Exchange 

of the Issuer’s Impending Listing; and 

(2) Provide DMM Unit Marketing 

Materials to the Issuer Prior to the 

Scheduled Interview Rather Than the 

Day Before 

January 12, 2009. 

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

Securities Exchange Act of 1934 (the 

‘‘Act’’) 2 and Rule 19b–4 thereunder,3

notice is hereby given that on December 

31, 2008, NYSE Alternext US LLC (the 

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

with the Securities and Exchange 

Commission (the ‘‘Commission’’) the 

proposed rule change as described in 

Items I and II below, which Items have 

been prepared by the self-regulatory 

organization. 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 amend 

NYSE Alternext Equities Rule 103B 

(‘‘Security Allocation and 

Reallocation’’) to conform to 

amendments filed by the New York 

Stock Exchange to: (1) Prohibit DMM 

units from communicating with issuers 

after receipt of notice from the Exchange 

of the issuer’s impending listing; and (2) 

provide DMM unit marketing materials 

to the issuer prior to the scheduled 

interview rather than the day before. 

The text of the proposed rule change 

is available on the Exchange’s Web site 

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

Exchange’s principal office, 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 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 

The Exchange proposes to amend 

NYSE Alternext Equities Rule 103B 

(‘‘Security Allocation and 

Reallocation’’) to conform with 

amendments filed by the New York 

Stock Exchange 4 to: (1) Prohibit DMM 

units from communicating with issuers 

after receipt of notice from the Exchange 

of the issuer’s impending listing; and (2) 

provide DMM unit marketing materials 

to the issuer prior to the scheduled 

interview rather than the day before. 

I. Background 

As described more fully in a related 

rule filing,5 NYSE Euronext acquired 

The Amex Membership Corporation 

(‘‘AMC’’) pursuant to an Agreement and 

Plan of Merger, dated January 17, 2008 

(the ‘‘Merger’’). In connection with the 

Merger, the Exchange’s predecessor, the 

American Stock Exchange LLC 

(‘‘Amex’’), a subsidiary of AMC, became 

a subsidiary of NYSE Euronext called 

NYSE Alternext US LLC, and continues 

to operate as a national securities 

exchange registered under Section 6 of 

the Securities Exchange Act of 1934, as 

amended (the ‘‘Act’’).6 The effective 

date of the Merger was October 1, 2008. 

In connection with the Merger, on 

December 1, 2008, the Exchange 

relocated all equities trading conducted 

on the Exchange legacy trading systems 

and facilities located at 86 Trinity Place, 

New York, New York, to trading systems 

and facilities located at 11 Wall Street, 

New York, New York (the ‘‘Equities 

Relocation’’). The Exchange’s equity 

trading systems and facilities at 11 Wall 

Street (the ‘‘NYSE Alternext Trading 

Systems’’) are operated by the NYSE on 

behalf of the Exchange.7

As part of the Equities Relocation, 

NYSE Alternext adopted NYSE Rules 1– 

1004, subject to such changes as 

necessary to apply the Rules to the 

Exchange, as the NYSE Alternext 

Equities Rules to govern trading on the 

NYSE Alternext Trading Systems.8 The 

NYSE Alternext Equities Rules, which 

became operative on December 1, 2008, 

are substantially identical to the current 

NYSE Rules 1–1004 and the Exchange 

continues to update the NYSE Alternext 

Equities Rules as necessary to conform 

with rule changes to corresponding 

NYSE Rules filed by the NYSE. 

II. Proposed Amendments 

The Exchange proposes to amend 

Section III (A) of NYSE Alternext 

Equities Rule 103B to prohibit DMM 

units from having contact with an issuer 

after the Exchange provides notice to 

DMM units about the issuer’s 

impending listing on the Exchange. 

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3124 Federal Register / Vol. 74, No. 11 / Friday, January 16, 2009 / Notices 

9 15 U.S.C. 78f(b)(5). 

10 15 U.S.C. 78s(b)(3)(A). 

11 17 CFR 240.19b–4(f)(6). Pursuant to Rule 19b4(f)(6)(iii) under the Act, the Exchange is required 

to give the Commission written 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. 

12See supra note 4. 

13For purposes only of waiving the 30-day 

operative delay, the Commission has considered the 

proposed rule’s impact on efficiency, competition, 

and capital formation. See 15 U.S.C. 78c(f). 

Currently NYSE Alternext Equities 

Rule 103B prohibits communication 

between DMM units and issuers 

following their interview. The Exchange 

believes that prohibiting 

communication between DMM units 

and issuers just prior to the interview is 

appropriate in order to promote fairness 

and objectivity in the interview process. 

The Exchange therefore proposes to 

amend NYSE Alternext Equities Rule 

103B, Section III to add a section 

prohibiting DMM units, or any 

individuals acting on their behalf, from 

having any contact with any listing 

company once the Exchange provides 

written notice to the DMM units that the 

listing company is listing on the 

Exchange. 

In addition to the above modification 

related to the interview process, the 

Exchange further seeks to allow more 

flexibility in the delivery of DMM 

marketing materials to an issuer based 

on the availability of the issuer. 

Currently, the rule provides that DMM 

marketing materials are to be provided 

the day before the interview. The 

Exchange proposes to amend the 

language to allow for the marketing 

materials to be provided prior to the 

interview. Some issuers that interview 

at the Exchange may be in transit the 

day prior to the interview or 

participating in road shows and 

business trips and are therefore 

unavailable to receive the materials the 

day before the scheduled interview. In 

those instances the Exchange provides 

the issuer with the materials the day of 

the interview. In instances where an 

issuer is available to receive the 

marketing materials in advance of the 

scheduled interview the Exchange 

would like to be able to provide the 

materials to the issuer. Accordingly, the 

Exchange proposes to amend the rule to 

simply state that the Exchange will 

provide the issuer with the DMM units’ 

marketing materials prior to the 

interview. 

The Exchange proposes these 

amendments to conform the allocation 

process of NYSE Alternext to the 

allocation process of its affiliated 

Exchange, the New York Stock 

Exchange LLC. 

2. Statutory Basis 

The basis under the Act for the 

proposed rule change is the requirement 

under Section 6(b)(5),9 which requires 

that an exchange have rules that are 

designed to foster cooperation and 

coordination with persons engaged in 

regulating, clearing, settling, processing 

information with respect to, and 

facilitating transactions in securities, 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 amendments are 

consistent with these objectives. The 

amendments sought herein seek to 

alleviate impediments in the 

administrative process of assigning 

securities to DMM units which 

ultimately facilitates the fair and orderly 

trading in the subject security. 

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 proposed rule change: (i) 

Does not significantly affect the 

protection of investors or the public 

interest; (ii) does not impose any 

significant burden on competition; and 

(iii) does not become operative for 30 

days after the date of the 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 10 and Rule 19b– 

4(f)(6) thereunder.11

The Exchange has requested that the 

Commission waive the 30-day operative 

delay in this case. The Commission 

believes that waiving the 30-day 

operative delay is consistent with the 

protection of investors and the public 

interest because it will immediately 

establish the specific point in time 

when DMM units must cease 

communication with issuers prior to 

interviews. In addition, this proposed 

rule change is substantially similar to an 

NYSE proposal.12 For these reasons, the 

Commission designates that the 

proposed rule change become operative 

immediately upon filing.13

At any time within 60 days of the 

filing of the proposed rule change, the 

Commission may summarily abrogate 

the 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–NYSEALTR–2008–21 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–2008–21. 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 the filing also will be available for 

mstockstill on PROD1PC66 with NOTICES

Federal Register / Vol. 74, No. 11 / Friday, January 16, 2009 / Notices 3125 

14 17 CFR 200.30–3(a)(12). 

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–2008–21 and should be 

submitted on or before February 6, 2009. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.14

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E9–930 Filed 1–15–09; 8:45 am] 

BILLING CODE 8011–01–P 

SOCIAL SECURITY ADMINISTRATION 

[Docket No. SSA 2008–0054] 

Privacy Act of 1974, as Amended; 

Computer Matching Program (SSA/ 

Department of the Treasury, Bureau of 

the Public Debt (BPD))—Match Number 

1038 

AGENCY: Social Security Administration 

(SSA). 

ACTION: Notice of the renewal of an 

existing computer matching program 

which is scheduled to expire on 

December 25, 2008. 

SUMMARY: In accordance with the 

provisions of the Privacy Act, as 

amended, we are announcing the 

renewal of an existing computer 

matching program we are currently 

conducting with BPD. 

DATES: We will file a report of the 

subject matching program with the 

Committee on Homeland Security and 

Governmental Affairs of the Senate, the 

Committee on Government Reform of 

the House of Representatives and the 

Office of Information and Regulatory 

Affairs, Office of Management and 

Budget (OMB). The matching program 

will be effective as indicated below. 

ADDRESSES: Interested parties may 

comment on this notice by either 

telefaxing to (410) 965–0201 or writing 

to the Deputy Commissioner for Budget, 

Finance and Management, 800 Altmeyer 

Building, 6401 Security Boulevard, 

Baltimore, MD 21235–6401. All 

comments received will be available for 

public inspection at this address. 

FOR FURTHER INFORMATION CONTACT: The 

Deputy Commissioner for Budget, 

Finance and Management as shown 

above. 

SUPPLEMENTARY INFORMATION: 

A. General 

The Computer Matching and Privacy 

Protection Act of 1988 (Pub. L. 100– 

503), amended the Privacy Act (5 U.S.C. 

552a) by describing the manner in 

which computer matching involving 

Federal agencies could be performed 

and adding certain protections for 

individuals applying for and receiving 

Federal benefits. Section 7201 of the 

Omnibus Budget Reconciliation Act of 

1990 (Pub. L. 101–508) further amended 

the Privacy Act regarding protections for 

such persons. 

The Privacy Act, as amended, 

regulates the use of computer matching 

by Federal agencies when records in a 

system of records are matched with 

other Federal, State, or local government 

records. It requires Federal agencies 

involved in computer matching 

programs to: 

(1) Negotiate written agreements with 

the other agency or agencies 

participating in the matching programs; 

(2) Obtain the approval of the 

matching agreement by the Data 

Integrity Boards (DIB) of the 

participating Federal agencies; 

(3) Publish notice of the computer 

matching program in the Federal 

Register; 

(4) Furnish detailed reports about 

matching programs to Congress and 

OMB; 

(5) Notify applicants and beneficiaries 

that their records are subject to 

matching; and 

(6) Verify match findings before 

reducing, suspending, terminating or 

denying an individual’s benefits or 

payments. 

B. SSA Computer Matches Subject to 

the Privacy Act 

We have taken action to ensure that 

all of SSA’s computer matching 

programs comply with the requirements 

of the Privacy Act, as amended. 

Dated: December 4, 2008. 

Mary Glenn-Croft, 

Deputy Commissioner for Budget, Finance 

and Management. 

Notice of Computer Matching Program, 

Social Security Administration (SSA) 

With the Bureau of the Public Debt 

(BPD) 

A. Participating Agencies 

SSA and BPD. 

B. Purpose of the Matching Program 

The purpose of this matching program 

is to establish the conditions, safeguards 

and procedures for BPD’s disclosure of 

certain savings security information to 

SSA. (The term ‘‘savings security’’ 

means Series E, EE or I United States 

Savings Securities.) This disclosure will 

provide SSA with information necessary 

to verify eligibility and payment 

amounts of individuals under the 

Supplemental Security Income (SSI) 

program. The SSI program was created 

under title XVI of the Social Security 

Act (the Act) to provide benefits under 

the rules of that title to individuals with 

income and resources below levels 

established by law and regulations. 

C. Authority for Conducting the 

Matching Program 

Sections 1631(e)(1)(B) and (f) of the 

Act (42 U.S.C. 1383(e)(1)(B) and (f)). 

D. Categories of Records and 

Individuals Covered by the Matching 

Program 

We will provide BPD with a finder 

file extracted from SSA’s Supplemental 

Security Income Record and Special 

Veterans Benefits system of records 

(SSA 60–0103 full text last published in 

the Federal Register on January 11, 

2006 at 71 FR 1795, 1830), containing 

Social Security numbers of persons who 

have applied for, or receive, SSI 

payments. This information will be 

matched with BPD files in BPD’s 

savings-type securities registration 

systems of records (United States 

Savings Type Securities and Retail 

Treasury Securities Access Application) 

and a reply file of matched records will 

be furnished to SSA. These records are 

included under the systems of records 

Treasury/BPD.002, United States 

Savings Type Securities, and Treasury/ 

BPD.008, Retail Treasury Securities 

Access Application, last published in 

the Federal Register on July 23, 2008 at 

73 FR 42906 and 42918, respectively. 

Upon receipt of BPD’s reply file, we will 

match identifying information from the 

BPD file with SSA’s records to 

determine preliminarily whether the 

data pertain to the relevant SSI 

applicant or recipient before beginning 

the process of verifying savings security 

ownership and taking any necessary 

benefit actions. 

E. Inclusive Dates of the Matching 

Program 

The matching program will become 

effective upon signing of the agreement 

by both parties to the agreement and 

approval of the agreement by the Data 

Integrity Boards of the respective 

agencies, but no sooner than 40 days 

after notice of this matching program is 

sent to Congress and the Office of 

Management and Budget, or 30 days 

after publication of this notice in the 

Federal Register, whichever date is 

later. The matching program will 

continue for 18 months from the 

mstockstill on PROD1PC66 with NOTICES