58464 Federal Register / Vol. 75, No. 185 / Friday, September 24, 2010 / Notices 

13 17 CFR 200.30–3(a)(12). 

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

2 17 CFR 240.19b–4. 

3The Exchange’s corporate affiliate, New York 

Stock Exchange LLC (‘‘NYSE’’), submitted a 

companion rule filing proposing corresponding 

amendments to NYSE Rule 476A. See SR–NYSE– 

2010–66. 

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–NYSEArca–2010–83 on the 

subject line. 

Paper Comments 

• Send paper comments in triplicate 

to Elizabeth M. Murphy, Secretary, 

Securities and Exchange Commission, 

Station Place, 100 F Street, NE., 

Washington, DC 20549–1090. 

All submissions should refer to File 

Number SR–NYSEArca–2010–83. 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 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 publicly available. All 

submissions should refer to File 

Number SR–NYSEArca–2010–83 and 

should be submitted on or before 

October 15, 2010. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.13

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. 2010–23969 Filed 9–23–10; 8:45 am] 

BILLING CODE 8010–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–62941; File No. SR– 

NYSEAmex–2010–94] 

Self-Regulatory Organizations; NYSE 

Amex LLC; Notice of Filing and 

Immediate Effectiveness of Proposed 

Rule Change to Add Certain Rules to 

the List of Exchange Rule Violations 

and Fines Applicable Thereto 

September 20, 2010. 

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

Securities Exchange Act of 1934 (the 

‘‘Act’’) 1 and Rule 19b–4 thereunder,2

notice is hereby given that on 

September 9, 2010, NYSE Amex LLC 

(the ‘‘Exchange’’ or ‘‘NYSE Amex’’) 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 Exchange. 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 Amex Disciplinary Rule 476A to 

add certain rules to Part 1A: List of 

Exchange Rule Violations and Fines 

Applicable Thereto (‘‘Minor Rule 

Violation Plan’’). 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, at the Commission’s 

Public Reference Room, and on the 

Commission’s Web site at http:// 

www.sec.gov. 

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 Amex Disciplinary Rule 476A to 

add certain rules to Part 1A of its Minor 

Rule Violation Plan to reflect approved 

changes to Exchange rules.3

Specifically, in connection with the 

Exchange’s process to harmonize certain 

Exchange rules with rules of the 

Financial Industry Regulatory 

Authority, Inc. (‘‘FINRA’’), the Exchange 

has deleted certain Exchange rules and 

replaced them with new rules that have 

different rule numbers. The Exchange 

proposes this rule filing to add the new 

rule references to the Minor Rule 

Violation Plan for those rules that have 

been added as part of the FINRA 

harmonization process. The Exchange 

will not delete the old rule references in 

the Minor Rule Violation Plan so that 

violations of prior Exchange rules that 

occurred before the amendments 

described below took effect still fall 

under the jurisdiction of the Minor Rule 

Violation Plan. 

In connection with the harmonization 

process, the Exchange adopted the 

following new NYSE Amex Equities 

Rules, which correspond with the samenumbered consolidated FINRA Rules, 

and which replaced prior Exchange 

rules: 

• Rule 2150—NYSE Amex Equities 

(Improper Use of Customers’ Securities 

or Funds; Prohibition Against 

Guarantees and Sharing in Accounts) 

replaced old Rules 352(a)–(d)—NYSE 

Amex Equities; 

• Rule 3130—NYSE Amex Equities 

(Annual Certification of Compliance 

and Supervisory Processes) replaced, in 

relevant part, old Rules 342.30(d)– and 

(e)-NYSE Amex Equities and Rule 

Interpretation 311(b)(5)—NYSE Amex 

Equities; 

• Rule 3310—NYSE Amex Equities 

(Anti-Money Laundering Compliance 

Program) replaced old Rule 445—NYSE 

Amex Equities; 

• Rule 4110—NYSE Amex Equities 

(Capital Compliance) replaced, in 


srobinson on DSKHWCL6B1PROD with NOTICES
Federal Register / Vol. 75, No. 185 / Friday, September 24, 2010 / Notices 58465 

4See Securities Exchange Act Release Nos. 59975 

(May 26, 2009), 74 FR 26449 (June 2, 2009) (SR– 

NYSEAltr–2009–26) (adopting, inter alia, NYSE 

Amex Equities Rules 3130, 4560, 5190); 61157 

(December 11, 2009), 74 FR 67939 (December 21, 

2009) (SR–NYSEAmex–2009–88) (adopting NYSE 

Amex Equities Rule 2150); 61272 (December 31, 

2009), 75 FR 1099 (January 8, 2010) (SR– 

NYSEAmex–2009–99) (adopting NYSE Amex 

Equities Rule 3310); 61556 (February 22, 2010), 75 

FR 9468 (March 2, 2010) (SR–NYSEAmex–2010–13) 

(adopting, inter alia, NYSE Amex Equities Rules 

4110, 4521). See also NYSE and NYSE Amex 

Information Memoranda 09–24 (June 2, 2009); 10– 

09 (February 18, 2010); 10–12 (March 11, 2010). 

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

6 15 U.S.C. 78f(b)(6). 

7 15 U.S.C. 78s(b)(3)(A). 

8 17 CFR 240.19b–4(f)(3). 9 17 CFR 200.30–3(a)(12); 200.30–3(a)(44). 

relevant part, old Rules 312(h)– and 

313-NYSE Amex Equities; 

• Rule 4521—NYSE Amex Equities 

(Notifications, Questionnaires and 

Reports) replaced, in relevant part, old 

Rule 421—NYSE Amex Equities; 

• Rule 4560—NYSE Amex Equities 

(Short-Interest Reporting) replaced old 

Rules 421(1)– and 421.10–NYSE Amex 

Equities; and 

• Rule 5190—NYSE Amex Equities 

(Notification Requirements for Offering 

Participants) replaced old Rule 392— 

NYSE Amex Equities.4

These old Rules, or certain provisions 

thereof, are subject to the Exchange’s 

Minor Rule Violation Plan under NYSE 

Amex Disciplinary Rule 476A. At the 

time the new Rules were adopted to 

replace the old Exchange Rules, 

however, they were not added to the 

Exchange’s Minor Rule Violation Plan. 

The Exchange therefore proposes to 

update the Exchange’s Minor Rule 

Violation Plan under NYSE Amex 

Disciplinary Rule 476A by adding the 

new rule references identified above. 

2. Statutory Basis 

The Exchange believes that the 

proposed rule change is consistent with, 

and furthers the objectives of, Section 

6(b)(5) of the Act,5 in that it is designed 

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 proposed rule 

change also furthers the objectives of 

Section 6(b)(6) of the Act,6 in that it 

provides for appropriate discipline for 

violations of Exchange rules and 

regulations. 

The Exchange believes that the 

proposed rule change will provide the 

Exchange with greater regulatory 

flexibility to enforce the prescriptions of 

certain rules in a more informal manner 

while also preserving the Exchange’s 

discretion to seek formal discipline for 

more serious transgressions as 

warranted. 

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 

The Exchange has filed the proposed 

rule change pursuant to Section 

19(b)(3)(A) of the Act 7 and Rule 

19b–4(f)(3) thereunder.8 Because the 

proposed rule change is concerned 

solely with the administration of the 

Exchange, the proposed rule change has 

become immediately effective upon 

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

the Act and Rule 19b–4(f)(3) thereunder. 

At any time within 60 days of the 

filing of the proposed rule change, the 

Commission summarily may 

temporarily suspend 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. 

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–NYSEAmex–2010–94 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–NYSEAmex–2010–94. 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 Web site viewing and 

printing 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– 

NYSEAmex–2010–94 and should be 

submitted on or before October 15, 

2010. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.9

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. 2010–23911 Filed 9–23–10; 8:45 am] 

BILLING CODE 8010–01–P 

DEPARTMENT OF STATE 

[Public Notice: 7163] 

U.S. Department of State Advisory 

Committee on Private International 

Law: Notice of Annual Meeting 

The Department of State’s Advisory 

Committee on Private International Law 

(ACPIL) will hold its annual meeting on 

developments in private international 

law on Thursday, October 28 and 

Friday, October 29, 2010 in Washington, 

DC. The meeting will be held at the 

Gewirz Student Center, Georgetown 

University Law Center, 600 New Jersey 

Avenue, NW., Washington, DC 20001. 


srobinson on DSKHWCL6B1PROD with NOTICES