Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Notices 58987 

1 15 U.S.C. 78l(k)(2). 

2See Exchange Act Release No. 58591 (September 

18, 2008). 

3See Exchange Act Release No. 58591A 

(September 21, 2008). 

4These reports must be filed electronically using 

the Commission’s EDGAR system. 

Chief Information Officer, Securities 

and Exchange Commission, C/O Shirley 

Martinson, 6432 General Green Way, 

Alexandria, Virginia 22312; or send an 

e-mail to: PRA_Mailbox@sec.gov . 

Dated: October 1, 2008. 

Florence E. Harmon, 

Acting Secretary. 

[FR Doc. E8–23835 Filed 10–7–08; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Securities Exchange Act of 1934 Release 

No. 58724/October 2, 2008] 

Amendment to Order and Order 

Extending Emergency Order Pursuant 

to Section 12(k)(2) of the Securities 

Exchange Act of 1934 Taking 

Temporary Action To Respond to 

Market Developments 

Pursuant to Section 12(k)(2) of the 

Securities Exchange Act of 1934 

(‘‘Exchange Act’’),1 on September 18, 

2008, the Securities and Exchange 

Commission (‘‘Commission’’) issued an 

Emergency Order,2 as amended on 

September 21, 2008 (the ‘‘Order’’),3

requiring institutional investment 

managers to report short sales of certain 

publicly traded securities. That Order 

took effect on September 22, 2008, and 

required the filing of a Form SH on 

September 29, 2008. The Order is 

currently set to terminate on October 2, 

2008. 

Pursuant to its authority under 

Section 12(k)(2)(C) of the Exchange Act, 

the Commission is extending the Order. 

Section 12(k)(2)(C) authorizes the 

Commission to extend an emergency 

order issued pursuant to Section 

12(k)(2)(A) of the Exchange Act for a 

total effective period of up to 30 

calendar days, if the Commission finds 

that the emergency still exists and 

determines that an extension is 

necessary in the public interest and for 

the protection of investors to maintain 

fair and orderly securities markets. As a 

result of the extension, Forms SH shall 

be required to be filed on October 6, 

2008, and October 14, 2008.4 The 

Commission is also making technical 

amendments to Form SH and its 

accompanying Instructions. 

The Commission continues to be 

concerned about the potential for 

sudden and excessive fluctuations of 

securities prices and disruption in the 

functioning of the securities markets 

that could threaten fair and orderly 

markets. The Commission also 

continues to believe that some persons 

may take advantage of issuers that have 

become temporarily weakened by 

current market conditions to engage in 

inappropriate short selling in the 

securities of such issuers. Therefore, the 

Commission has concluded that it 

remains necessary to require certain 

institutional investment managers to 

report information concerning short 

sales of securities. Accordingly, the 

Commission has determined that 

extending the Order is necessary in the 

public interest and for the protection of 

investors to maintain fair and orderly 

securities markets. 

The Commission believes that the 

nonpublic submission of Form SH may 

help prevent artificial volatility in 

securities as well as further downward 

swings that are caused by short selling, 

while at the same time, providing the 

Commission with useful information to 

combat market manipulation that 

threatens investors and capital markets. 

Also, the Commission has considered 

further the reasons to maintain the 

information as nonpublic in the current 

market environment, and is concerned 

that publicly available Form SH data 

could give rise to additional, imitative 

short selling that was not intended by 

the Commission’s Order. Accordingly, 

the Commission has determined that 

Forms SH filed under the Order 

including those that were due on 

September 29, 2008, will remain 

nonpublic to the extent permitted by 

law without the filer needing to submit 

a confidential treatment request. 

Therefore, it is ordered, pursuant to 

Section 12(k)(2)(C) of the Exchange Act, 

that the Order is extended such that it 

will terminate at 11:59 p.m. EDT on 

Friday, October 17, 2008. 

By the Commission. 

Florence E. Harmon, 

Acting Secretary. 

Form SH—Information Required of 

Institutional Investment Managers Pursuant 

to Emergency Order, Securities Exchange 

Act of 1934 Release No. 58591a, September 

21, 2008, and Emergency Order, Securities 

Exchange Act of 1934 Release No. 58724, 

October 2, 2008 

General Instructions 

1. Rule as to Use of Form SH. Institutional 

investment managers (‘‘Managers’’) must use 

Form SH for reports to the Commission 

required by the Commission’s Emergency 

Order, Securities Exchange Act of 1934 

Release No. 58591A, September 21, 2008, 

and Emergency Order, Securities Exchange 

Act Release No. 58724, dated October 2, 2008 

(together, the ‘‘Form SH Emergency Orders’’). 

The Form SH Emergency Orders provide that 

every Manager that exercises investment 

discretion with respect to accounts holding 

section 13(f) securities, as defined in rule 

13f–1(c) under the Securities Exchange Act of 

1934 [15 U.S.C. 78m(f)] (‘‘Exchange Act’’), 

who has filed or was required to file a Form 

13F for the calendar quarter ended June 30, 

2008, must file a non-public report on Form 

SH with the Commission to report certain 

information about short sales and short 

positions. The non-public Form SH filing 

must be made on the Monday (or, if Monday 

is a federal holiday, the first business day 

thereafter) of each calendar week 

immediately following a Form SH reporting 

period (i.e., the preceding Sunday-Saturday 

calendar week) in which the Manager has 

entered into any new short positions with 

respect to any section 13(f) securities except 

for any short position(s) for options (‘‘SH 

Short Positions’’). The non-public Form SH 

will report SH Short Positions for the 

Sunday-Saturday calendar week that 

precedes the date on which the Form SH is 

due to be filed. 

2. Rules to Prevent Duplicative Reporting. 

If two or more Managers, each of which is 

required by the Form SH Emergency Orders 

to file a report on Form SH for the reporting 

period, exercise investment discretion with 

respect to the same securities, only one such 

Manager must include information in its 

reports on Form SH. 

A Manager having information that is 

required by the Form SH Emergency Orders 

to be reported on Form SH, and such 

information is reported by another Manager 

(or Managers), such Manager must identify 

the Manager(s) reporting on its behalf in the 

manner described in Special Instruction 6. 

3. Filing of Form SH. A Form SH report 

that is filed by a Manager with the 

Commission shall be non-public upon filing. 

A Manager must label its Form SH as nonpublic by adding the phrase NON–PUBLIC 

(in bold and capital letters) at the top and 

bottom of each page of the entire form, i.e., 

each page(s) of the Form SH Cover Page (the 

‘‘Cover Page’’), the Form SH Summary Page 

(the ‘‘Summary Page’’), and the Form SH 

Information Table (the ‘‘Information Table’’). 

A Manager must file a Form SH report with 

the Commission on or before 5:30 p.m. 

Eastern Daylight Time on the Monday (or, if 

Monday is a federal holiday, the first 

business day thereafter) of each week 

immediately following the preceding seven 

calendar day period in which the Manager 

has entered into any new SH Short 

Position(s). The Form SH must be filed 

electronically using the Commission’s 

EDGAR system. 

4. Official List of Section 13(f) Securities. 

The official list of section 13(f) securities 

published by the Commission (the ‘‘13F 

List’’) lists the securities the holdings of 

which a Manager is to report on Form 13F. 

See rule 13f–1(c) [17 CFR 240.13f–1(c)]. Form 

SH filers may rely on the current 13F List in 

determining whether they need to report on 

Form SH information about any particular 

equity security, excluding short positions for 

options that are on the 13F List. The 13F List 


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is available on the SEC’s Web site, at http:// 

www.sec.gov/divisions/investment/ 

13flists.htm. Paper copies are available at a 

reasonable fee from the Securities and 

Exchange Commission, Public Reference 

Room, 100 F Street, NE., Washington, DC 

20549. 

Special Instructions 

1. This form consists of three parts: the 

Cover Page, the Summary Page, and the 

Information Table. 

2. When preparing the report, omit all 

bracketed text. Include brackets used to form 

check boxes. 

The Cover Page: 

3. The period end date used in the report 

(and in the EDGAR submission header) is the 

Saturday before the Form SH is filed. The 

date should name the month, and express the 

day and year in Arabic numerals, with the 

year being a four-digit numeral (i.e., 2008). 

4. Amendments to a Form SH must either 

restate the Form SH in its entirety or include 

only entries that are being reported in 

addition to those already reported in a 

current Form SH for the same period. If the 

Manager is filing the Form SH report as an 

amendment, then the Manager must check 

the amendment box on the Cover Page; enter 

the amendment number; and check the 

appropriate box to indicate whether the 

amendment (a) is a restatement or (b) adds 

new entries. Each amendment must include 

a complete Cover Page and, if applicable, a 

Summary Page and Information Table. 

Amendments must be filed sequentially. 

5. Present the Cover Page and the Summary 

Page information in the format and order 

provided in the form. The Cover Page may 

include information in addition to the 

required information, so long as the 

additional information does not, either by its 

nature, quantity, or manner of presentation, 

impede the understanding or presentation of 

the required information. Place all additional 

information after the signature of the person 

signing the report (immediately preceding 

the Report Type section). Do not include any 

additional information on the Summary Page 

or in the Information Table. 

6. Designate the Report Type for the Form 

SH by checking the appropriate box in the 

Report Type section of the Cover Page, and 

include, where applicable, the List of Other 

Managers Reporting for this Manager (on the 

Cover Page), the Summary Page and the 

Information Table, as follows: 

a. If all of the information that a Manager 

is required by the Form SH Emergency 

Orders to report on Form SH is reported by 

another Manager (or Managers), check the 

box for Report Type ‘‘FORM SH NOTICE,’’ 

include (on the Cover Page) the List of Other 

Managers Reporting for this Manager, and 

omit both the Summary Page and the 

Information Table. 

b. If all of the information that a Manager 

is required by the Form SH Emergency 

Orders to report on Form SH is reported in 

this report, check the box for Report Type 

‘‘FORM SH ENTRIES REPORT,’’ omit from 

the Cover Page the List of Other Managers 

Reporting for this Manager, and include both 

the Summary Page and the Information 

Table. 

c. If only a part of the information that a 

Manager is required by the Form SH 

Emergency Orders to report on Form SH is 

reported in this report, check the box for 

Report Type ‘‘FORM SH COMBINATION 

REPORT,’’ include (on the Cover Page) the 

List of Other Managers Reporting for this 

Manager, and include both the Summary 

Page and the Information Table. 

Summary Page: 

7. Include on the Summary Page the Report 

Summary, containing the Number of Other 

Included Managers, the Information Table 

Entry Total and the Information Table Value 

Total. 

a. Enter as the Number of Other Included 

Managers the total number of other Managers 

listed in the List of Other Included Managers 

on the Summary Page, not counting the 

Manager filing this report. See Special 

Instruction 8. If none, enter the number zero 

(‘‘0’’). 

b. Enter as the Information Table Entry 

Total the total number of line entries 

providing issuer information included in the 

Information Table. 

c. Enter as the Information Table Value 

Total the aggregate fair market value in U.S. 

dollars (× $1000) of all securities sold short 

during the reporting period that are required 

to be reported on Form SH. The Information 

Table Value Total is determined by 

multiplying the Number of Securities Sold 

Short (Day) (Column 4) by the closing market 

price of the security on that day, or, when 

applicable, the most recent business day. The 

Manager must express this total as a rounded 

figure. See Special Instruction 9. 

8. Include on the Summary Page the List 

of Other Included Managers. Use the title, 

column headings and format provided. 

a. If this Form SH does not report the 

information that a Manager is required by the 

Form SH Emergency Orders to report on 

Form SH of any Manager other than the 

Manager filing this report, enter the word 

‘‘NONE’’ under the title and omit the column 

headings and list entries. 

b. If this Form SH reports the information 

that a Manager is required by the Form SH 

Emergency Orders to report on Form SH of 

one or more Managers other than the 

Manager filing this report, enter in the List 

of Other Included Managers all such 

Managers together with their respective Form 

13F file numbers, if known. (The Form 13F 

file numbers are assigned to Managers when 

they file their first Form 13F). Assign a 

number to each Manager in the List of Other 

Included Managers, and present the list in 

sequential order. The numbers need not be 

consecutive. The List of Other Managers 

cannot include the Manager filing this report. 

Information Table: 

9. In determining the fair market value of 

securities sold short, a Manager must use the 

market price of the section 13(f) securities as 

of the close of floor trading on the New York 

Stock Exchange (‘‘NYSE’’) for the day in 

question. If the securities are sold short on 

a non-business day, a Manager must use the 

market price of the section 13(f) securities as 

of the close of the NYSE for the most recent 

business day. Such market closing time shall 

be used to determine the price for all SH 

Short Positions, irrespective of which U.S. 

equity market the issuer trades on. Enter 

values rounded to the nearest one thousand 

dollars (with ‘‘000’’ omitted). 

10. Furnish the Information Table using 

the table title, column headings and format 

provided. Provide column headings once at 

the beginning of each page of the Information 

Table. Present the table in accordance with 

the column instructions provided in Special 

Instructions 10.a.i through 10.a.viii. Do not 

include any additional information in the 

Information Table. Begin the Information 

Table on a new page for each day of the prior 

calendar week, and number any 

supplemental pages for a day using the page 

number and upper case letters (e.g., MondayPage 2, Monday-Page 2A, Monday-Page 2B, 

etc.). Do not include any portion of the 

Information Table on either the Cover Page 

or the Summary Page. 

a. Instructions for each column in the 

Information Table: 

i. Column 1. Name of Issuer. Enter in 

Column 1 the name of the issuer as it appears 

in the current 13F List. Reasonable 

abbreviations are permitted. 

ii. Column 2. CUSIP Number. Enter in 

Column 2 the nine (9) digit CUSIP number 

of the security for which information is being 

reported. 

iii. Column 3. Short Position (Start of Day). 

Enter in Column 3 the number of securities 

that represent the Manager’s short position in 

the issuer as of the start of each calendar day 

during the reporting period. The Short 

Position (Start of Day) for Monday, 

September 22, 2008 shall be zero. 

iv. Column 4. Number of Securities Sold 

Short (Day). Enter in Column 4 the aggregate 

number of securities in the issuer that the 

Manager sold short for each calendar day 

during the reporting period. 

v. Column 5. Value of Securities Sold Short 

(Day). Enter in Column 5 the market value in 

U.S. dollars (x $1,000) of the number of 

securities reported in Column 4. In valuing 

such securities, use the fair market value for 

each security. See Special Instruction 9. 

vi. Column 6. Short Position (End of Day). 

Enter in Column 6 the number of securities 

that represent the Manager’s short position in 

the issuer as of the end of each calendar day 

during the reporting period. 

vii. Column 7. Largest Intraday Short 

Position. Enter in Column 7 the number of 

securities that represent the Manager’s largest 

single short position in the issuer for each 

calendar day during the reporting period. 

viii. Column 8. Time of Day of Largest 

Intraday Short Position. Enter in Column 7 

the time of day (Eastern Daylight Time) that 

the Manager had the largest single short 

position in the issuer, as reported in Column 

7. 

11. Preparation of the electronic filing: 

Filing documents may be submitted in 

either ASCII or HTML document format. For 

ASCII submissions, please note items a, b, 

and c. Preparation of the filing document 

should follow instructions in the EDGAR 

Filer Manual, (Volume 2) EDGAR Filing 

available on the SEC’s website at http:// 

www.sec.gov/info/edgar/edmanuals.htm. 

a. No line on the Cover Page or the 

Summary Page may exceed 80 characters in 

length. See rule 305 of Regulation S–T [17 


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CFR 232.305]. The EDGAR <TABLE> tag may 

be used if it is necessary to increase the 

width of a line on the Cover Page or the 

Summary Page in a Form SH that is 

formatted in ASCII. See EDGAR Filer Manual 

(Volume 2) for details on the use of this tag. 

b. No line in the Form SH Information 

Table may exceed 132 characters in length. 

See rule 305 of Regulation S–T [17 CFR 

232.305]. 

c. If the Form SH Report Type is ‘‘SH 

ENTRIES REPORT’’ or ‘‘SH COMBINATION 

REPORT,’’ then place one EDGAR <PAGE> 

tag at the end of the Cover Page and one 

<PAGE> tag at the end of the Summary Page. 

Additional EDGAR <PAGE> tags are not 

required. Those electing to include 

additional <PAGE> tags should, for each 

page containing a <PAGE> tag, include no 

more than sixty (60) lines per page, including 

the line on which the <PAGE> tag is placed. 

d. In preparing the Form SH report for 

electronic filing, a Manager may omit 

underscoring used in the form to indicate the 

placement of information that the Manager is 

to furnish. 

e. Use the following EDGAR submission 

types for the following Form SH Report 

Types: 

Form SH report type 

EDGAR 

submission 

type 

FORM SH ENTRIES 

REPORT: 

Initial Filing .......................... SH–ER 

Amendments ......................... SH–ER/A 

FORM SH NOTICE: 

Initial Filing .......................... SH–NT 

Amendments ......................... SH–NT/A 

FORM SH COMBINATION REPORT: 

Initial Filing .......................... SH–ER 

Amendments ......................... SH–ER/A 

Filings with the form types set forth in this 

instruction will be filed on a non-public 

basis. 

Paperwork Reduction Act Information 

The Office of Management and Budget has 

approved this collection of information 

pursuant to 44 U.S.C. 3507 and 5 CFR 

1320.13. The OMB control number for this 

collection of information is 3235–0646. An 

agency may not conduct or sponsor, and a 

person is not required to respond to, a 

collection of information unless it displays a 

currently valid control number. We estimate 

that providing the requested information will 

take, on average, approximately 5 hours. Any 

member of the public may direct to the 

Commission any comments concerning the 

accuracy of this burden estimate and any 

suggestions for reducing this burden. See 

Form SH Emergency Orders regarding 

confidentiality. 

UNITED STATES SECURITIES AND 

EXCHANGE COMMISSION, Washington, DC 

20549 

FORM SH 

FORM SH COVER PAGE 

Report for the Period Ended: 

lllllllllllllllllllll

[Month, Day, Year] 

Check here if Amendment b; 

Amendment Number: llllllllll

This Amendment (Check only one): 

b is a restatement. 

b adds new entries. 

Institutional Investment Manager Filing this 

Report: 

Name: lllllllllllllllll

Address: llllllllllllllll

lllllllllllllllllllll

lllllllllllllllllllll

Form 13F File Number: 28– llllllll

The institutional investment manager filing 

this report and the person by whom it is 

signed hereby represent that the person 

signing the report is authorized to submit it, 

that all information contained herein is true, 

correct and complete, and that it is 

understood that all required items, 

statements, schedules, lists, and tables, are 

considered integral parts of this form. 

Person Signing this Report on Behalf of 

Reporting Manager: 

Name: lllllllllllllllll

Title: llllllllllllllllll

Phone: lllllllllllllllll

Signature, Place, and Date of Signing: 

lllllllllllllllllllll

[Signature] 

lllllllllllllllllllll

[City, State] 

lllllllllllllllllllll

[Date] 

Report Type (Check only one): 

b FORM SH ENTRIES REPORT. (Check here 

if all entries of this reporting manager are 

reported in this report.) 

b FORM SH NOTICE. (Check here if no 

entries reported are in this report, and all 

entries are reported by other reporting 

manager(s).) 

b FORM SH COMBINATION REPORT. 

(Check here if a portion of the entries for this 

reporting manager is reported in this report 

and a portion is reported by other reporting 

manager(s).) 

List of Other Managers Reporting for this 

Manager: 

[If there are no entries in this list, omit this 

section.] 

Form 13F File Number: 

28–[Repeat as necessary.] lllllllll

Name: lllllllllllllllll

FORM SH SUMMARY PAGE 

Report Summary: 

Number of Other Included Managers: llllllllll

Form SH Information Table Entry Total: llllllll

Form SH Information Table Value Total: 

lllllllllllllllllllll

(thousands) 

List of Other Included Managers: 

Provide a numbered list of the name(s) and 

Form 13F file number(s) of all institutional 

investment managers with respect to which 

this Form SH report is filed, other than the 

manager filing this report. 

[If there are no entries in this list, state 

‘‘NONE’’ and omit the column headings and 

list entries.] 

No. lllllllllllllllllll

Form 13F File Number: 

28– lllllllllllllllllll

Name: lllllllllllllllll

[Repeat as necessary.] 

FORM SH INFORMATION TABLE—PAGE 1 

Sunday [Month, Day, Year] 

Name of issuer CUSIP 

Short position (start of 

day) 

Number of 

securities 

sold short 

(day) 

Value of securities sold 

short (day) 

(X $1,000) 

Short position (end of 

day) 

Largest 

intraday 

short position 

Time of day 

of largest 

intraday 

short position 

Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 


jlentini on PROD1PC65 with NOTICES
58990 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Notices 

FORM SH INFORMATION TABLE—PAGE 1—Continued 

Sunday [Month, Day, Year] 

Name of issuer CUSIP 

Short position (start of 

day) 

Number of 

securities 

sold short 

(day) 

Value of securities sold 

short (day) 

(X $1,000) 

Short position (end of 

day) 

Largest 

intraday 

short position 

Time of day 

of largest 

intraday 

short position 

Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 

FORM SH INFORMATION TABLE—PAGE 2 

Monday [Month, Day, Year] 

Name of issuer CUSIP 

Short position (start of 

day) 

Number of 

securities 

sold short 

(day) 

Value of securities sold 

short (day) 

(X $1,000) 

Short position (end of 

day) 

Largest 

intraday 

short position 

Time of day 

of largest 

intraday 

short position 

Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 

FORM SH INFORMATION TABLE—PAGE 3 

Tuesday [Month, Day, Year] 

Name of issuer CUSIP 

Short position (start of 

day) 

Number of 

securities 

sold short 

(day) 

Value of securities sold 

short (day) 

(X $1,000) 

Short position (end of 

day) 

Largest 

intraday 

short position 

Time of day 

of largest 

intraday 

short position 

Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 


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FORM SH INFORMATION TABLE—PAGE 3—Continued 

Tuesday [Month, Day, Year] 

Name of issuer CUSIP 

Short position (start of 

day) 

Number of 

securities 

sold short 

(day) 

Value of securities sold 

short (day) 

(X $1,000) 

Short position (end of 

day) 

Largest 

intraday 

short position 

Time of day 

of largest 

intraday 

short position 

Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 

FORM SH INFORMATION TABLE—PAGE 4 

Wednesday [Month, Day, Year] 

Name of issuer CUSIP 

Short position (start of 

day) 

Number of 

securities 

sold short 

(day) 

Value of securities sold 

short (day) 

(X $1,000) 

Short position (end of 

day) 

Largest 

intraday 

short position 

Time of day 

of largest 

intraday 

short position 

Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 


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58992 Federal Register / Vol. 73, No. 196 / Wednesday, October 8, 2008 / Notices 

FORM SH INFORMATION TABLE—PAGE 5 

Thursday [Month, Day, Year] 

Name of issuer CUSIP 

Short position (start of 

day) 

Number of 

securities 

sold short 

(day) 

Value of securities sold 

short (day) 

(X $1,000) 

Short position (end of 

day) 

Largest 

intraday 

short position 

Time of day 

of largest 

intraday 

short position 

Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 

FORM SH INFORMATION TABLE—PAGE 6 

Friday [Month, Day, Year] 

Name of issuer CUSIP 

Short position (start of 

day) 

Number of 

securities 

sold short 

(day) 

Value of securities sold 

short (day) 

(X $1,000) 

Short position (end of 

day) 

Largest 

intraday 

short position 

Time of day 

of largest 

intraday 

short position 

Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 


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1 15 U.S.C. 78k–1(a)(3). 

2 17 CFR 242.608. 

3 17 CFR 242.605. On April 12, 2001, the 

Commission approved a national market system 

plan for the purpose of establishing procedures for 

market centers to follow in making their monthly 

reports available to the public under Rule 11Ac1– 

5 under the Act (n/k/a Rule 605 of Regulation 

NMS). See Securities Exchange Act Release No. 

44177 (April 12, 2001), 66 FR 19814 (April 17, 

2001). 

FORM SH INFORMATION TABLE—PAGE 7 

Saturday [Month, Day, Year] 

Name of issuer CUSIP 

Short position (start of 

day) 

Number of 

securities 

sold short 

(day) 

Value of securities sold 

short (day) 

(X $1,000) 

Short position (end of 

day) 

Largest 

intraday 

short position 

Time of day 

of largest 

intraday 

short position 

Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 

[FR Doc. E8–23861 Filed 10–7–08; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–58695, File No. 4–518] 

Joint Industry Plan; Notice of Filing 

and Order Granting Temporary 

Effectiveness of Amendment To Plan 

Establishing Procedures Under Rule 

605 of Regulation NMS 

September 30, 2008. 

Pursuant to Section 11A(a)(3) of the 

Securities Exchange Act of 1934 

(‘‘Act’’) 1 and Rule 608 of Regulation 

NMS,2 notice is hereby given that on 

September 19, 2008, the BATS 

Exchange, Inc. (‘‘BATS’’ or ‘‘BATS 

Exchange’’) submitted to the Securities 

and Exchange Commission (‘‘SEC’’ or 

‘‘Commission’’) an amendment to the 

national market system plan that 

establishes procedures under Rule 605 

of Regulation NMS (‘‘Joint-SRO Plan’’ or 

‘‘Plan’’).3 The amendment proposes to 

add BATS as a participant to the JointSRO Plan. The Commission is 

publishing this notice and order to 

solicit comments from interested 

persons on the proposed Joint-SRO Plan 

amendment, and to grant temporary 

effectiveness to the proposed 

amendment through February 5, 2009. 

I. Description and Purpose of the 

Amendment 

The current participants to the JointSRO Plan are the American Stock 

Exchange LLC, Boston Stock Exchange, 

Inc., Chicago Board Options Exchange, 

Incorporated, Chicago Stock Exchange, 

Inc., Cincinnati Stock Exchange, Inc. (n/ 

k/a National Stock ExchangeSM ), 

International Securities Exchange, LLC, 

The NASDAQ Stock Market LLC, 

National Association of Securities 

Dealers, Inc. (n/k/a Financial Industry 

Regulatory Authority, Inc.), New York 

Stock Exchange, Inc. (n/k/a New York 

Stock Exchange LLC), Pacific Exchange, 

Inc. (n/k/a NYSE Arca, Inc.), and 

Philadelphia Stock Exchange, Inc. (n/k/ 

a NASDAQ OMX PHLX, Inc.). The 

proposed amendment would add BATS 

as a participant to the Joint-SRO Plan. 

BATS has submitted a signed copy of 

the Joint-SRO Plan to the Commission 

in accordance with the procedures set 

forth in the Plan regarding new 

participants. Section III(b) of the JointSRO Plan provides that a national 

securities exchange or national 

securities association may become a 

party to the Plan by: (i) Executing a copy 

of the Plan, as then in effect (with the 

only changes being the addition of the 

new participant’s name in Section 11(a) 

of the Plan and the new participant’s 

single-digit code in Section VI(a)(1) of 

the Plan) and (ii) submitting such 

executed plan to the Commission for 

approval. 

II. Solicitation of Comments 

Interested persons are invited to 

submit written data, views, and 

arguments concerning the foregoing, 

including whether the proposed JointSRO Plan amendment 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 4–518 on the subject line. 

Paper Comments 

• Send paper comments in triplicate 

to Secretary, Securities and Exchange 


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