Federal Register / Vol. 73, No. 186 / Wednesday, September 24, 2008 / Notices 55185 

16 15 U.S.C. 78q(d)(1). 17 17 CFR 240.17d–2. 18 17 CFR 200.30–3(a)(34). 1 15 U.S.C. 78s(b)(1). 

2 17 CFR 240.19b–4. 

In addition, the following provisions 

shall be part of this 17d–2 Agreement: Securities Exchange Act of 1934: 

Section 15(f) 

SEC Rules: 

Rule 200 of Regulation SHO—Definition 

of ‘‘Short Sale’’ and Marking 

Requirements Rule 203 of Regulation SHO— 

Borrowing and Delivery Requirements Rule 606 of Regulation NMS— 

Disclosure of Order Routing 

Information 

Rule 607 of Regulation NMS—Customer 

Account Statements 

* * * * * 

III. Date of Effectiveness of the 

Proposed Plan and Timing for 

Commission Action 

Pursuant to section 17(d)(1) of the 

Act 16 and Rule 17d–2 thereunder,17

October 15, 2008, the Commission may, 

by written notice, declare the plan 

submitted by BATS and FINRA, File No. 

4–569, to be effective if the Commission 

finds that the plan is necessary or 

appropriate in the public interest and 

for the protection of investors, to foster 

cooperation and coordination among 

self-regulatory organizations, or to 

remove impediments to and foster the 

development of the national market 

system and a national system for the 

clearance and settlement of securities 

transactions and in conformity with the 

factors set forth in section 17(d) of the 

Act. 

IV. Solicitation of Comments 

In order to assist the Commission in 

determining whether to approve the 

proposed 17d–2 Plan and to relieve 

BATS of the responsibilities which 

would be assigned to FINRA, interested 

persons are invited to submit written 

data, views, and arguments concerning 

the foregoing. Comments may be 

submitted by any of the following 

methods: 

Electronic Comments 

• Use the Commission’s Internet 

comment form (http://www.sec.gov/ 

rules/other.shtml); or • Send an e-mail to rulecomments@sec.gov. Please include File 

Number 4–569 on the subject line. 

Paper Comments 

• Send paper comments in triplicate 

to Secretary, Securities and Exchange 

Commission, Station Place, 100 F Street, 

NE., Washington, DC 20549–1090. 

All submissions should refer to File 

Number 4–569. 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/ 

other.shtml). Copies of the submission, 

all subsequent amendments, all written 

statements with respect to the proposed 

plan that are filed with the Commission, 

and all written communications relating 

to the proposed plan 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 plan also will be available for 

inspection and copying at the principal 

offices of BATS and FINRA. 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 4–569 and should be submitted 

on or before October 15, 2008. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.18

Florence E. Harmon, 

Acting Secretary. 

[FR Doc. E8–22212 Filed 9–23–08; 8:45 am] 

BILLING CODE 8010–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

Sunshine Act Meeting 

Notice is hereby given, pursuant to 

the provisions of the Government in the 

Sunshine Act, Public Law 94–409, that 

the Securities and Exchange 

Commission will hold a Closed Meeting 

on Thursday, September 18, 2008, at 

5:30 p.m. Commissioners and certain staff 

members who have an interest in the 

matter will attend the Closed Meeting. The General Counsel of the 

Commission, or his designee, has 

certified that, in his opinion, one or 

more of the exemptions as set forth in 

5 U.S.C. 552b(c)(8) and (9) and 17 CFR 

200.402(a)(8) and (9), permit 

consideration of the scheduled matter at 

the Closed Meeting. Commissioner Paredes as duty officer, 

voted to consider the item listed for the 

closed meeting in closed session, and 

determined that no earlier notice thereof 

was possible. The subject matter of the Closed 

Meeting scheduled for Thursday, 

September 18, 2008, will be: 

Matters related to the financial 

markets. 

At times, changes in Commission 

priorities require alterations in the 

scheduling of meeting items. For further 

information and to ascertain what, if 

any, matters have been added, deleted 

or postponed, please contact: 

The Office of the Secretary at 

(202) 551–5400. 

Dated: September 18, 2008. 

Florence E. Harmon, 

Acting Secretary. 

[FR Doc. E8–22246 Filed 9–23–08; 8:45 am] 

BILLING CODE 8010–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–58570; File No. SR–Amex– 

2008–70] 

Self-Regulatory Organizations; 

American Stock Exchange LLC; Notice 

of Filing of Proposed Rule Change, as 

Modified by Amendment No. 1, To 

Revise Its Initial Listing Process To 

Eliminate the Current Appeal Process 

for Initial Listing Decisions, Add a New 

Confidential Pre-application Eligibility 

Review Process, and Upgrade Its 

Listing Requirements by Eliminating 

the Alternative Listing Standards 

September 17, 2008. 

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 4, 2008, the American Stock 

Exchange LLC (‘‘Amex’’ or the 

‘‘Exchange’’) filed with the Securities 

and Exchange Commission 

(‘‘Commission’’) the proposed rule 

change as described in Items I, II, and 

III below, which Items have been 

prepared by the Exchange. Amex filed 

Amendment No. 1 on September 17, 

2008. The Commission is publishing 

this notice to solicit comments on the 

proposed rule change, as amended, from 

interested persons. 

I. Self-Regulatory Organization’s 

Statement of the Terms of Substance of 

the Proposed Rule Change 

In connection with its pending 

acquisition by NYSE Euronext, the 

parent company of the New York Stock 

Exchange LLC (‘‘NYSE’’) and NYSE 

Arca, Inc. (‘‘NYSE Arca’’), the Exchange 

desires to revise its initial listing 

process to more closely align it with the 

process in place at the NYSE, as well as 

to upgrade its listing requirements. To 

that end, the Exchange proposes to 

amend Sections 101, 201, 206 and 


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