58452 Federal Register / Vol. 75, No. 185 / Friday, September 24, 2010 / Notices 

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

2 17 CFR 240.19b–4. 

3The Exchange’s corporate affiliate, NYSE Amex 

LLC (‘‘NYSE Amex’’), submitted a companion rule 

filing proposing corresponding amendments to 

NYSE Amex Disciplinary Rule 476A. See SR– 

NYSEAmex–2010–94. 

SUMMARY: This is a Notice of the 

Presidential declaration of a major 

disaster for the State of Wisconsin 

(FEMA–1933–DR), dated 09/18/2010. 

Incident: Severe storms, tornadoes, 

and flooding. 

Incident Period: 07/20/2010 through 

07/24/2010. 

Effective Date: 09/18/2010. 

Physical Loan Application Deadline 

Date: 11/17/2010. 

Economic Injury (EIDL) Loan 

Application Deadline Date: 06/20/2011. 

ADDRESSES: Submit completed loan 

applications to: U.S. Small Business 

Administration, Processing And 

Disbursement Center, 14925 Kingsport 

Road, Fort Worth, TX 76155. 

FOR FURTHER INFORMATION CONTACT: A. 

Escobar, Office of Disaster Assistance, 

U.S. Small Business Administration, 

409 3rd Street, SW., Suite 6050, 

Washington, DC 20416 

SUPPLEMENTARY INFORMATION: Notice is 

hereby given that as a result of the 

President’s major disaster declaration on 

09/18/2010, applications for disaster 

loans may be filed at the address listed 

above or other locally announced 

locations. 

The following areas have been 

determined to be adversely affected by 

the disaster: 

Primary Counties (Physical Damage and 

Economic Injury Loans): 

Grant, Milwaukee. 

Contiguous Counties (Economic Injury 

Loans Only): 

Wisconsin: Crawford, Iowa, Lafayette, 

Ozaukee, Racine, Richland, 

Washington, Waukesha. 

Iowa: Clayton, Dubuque. 

Illinois: Jo Daviess. 

The Interest Rates are: 

Percent 

For Physical Damage: 

Homeowners With Credit Available Elsewhere ...................... 5.000 

Homeowners Without Credit 

Available Elsewhere .............. 2.500 

Businesses With Credit Available Elsewhere ...................... 6.000 

Businesses Without Credit 

Available Elsewhere .............. 4.000 

Non-Profit Organizations With 

Credit Available Elsewhere ... 3.625 

Non-Profit Organizations Without Credit Available Elsewhere ..................................... 3.000 

For Economic Injury: 

Businesses & Small Agricultural 

Cooperatives Without Credit 

Available Elsewhere .............. 4.000 

Non-Profit Organizations Without Credit Available Elsewhere ..................................... 3.000 

The number assigned to this disaster 

for physical damage is 12327B and for 

economic injury is 123280. 

(Catalog of Federal Domestic Assistance 

Numbers 59002 and 59008) 

James E. Rivera, 

Associate Administrator for Disaster 

Assistance. 

[FR Doc. 2010–23998 Filed 9–23–10; 8:45 am] 

BILLING CODE 8025–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–62940; File No. SR–NYSE– 

2010–66] 

Self-Regulatory Organizations; New 

York Stock Exchange 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, New York Stock 

Exchange LLC (‘‘NYSE’’ or the 

‘‘Exchange’’) 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 Rule 476A to add certain rules to 

its 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 Rule 476A to add certain rules to 

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 Rules, which 

correspond with the same-numbered 

consolidated FINRA Rules, and which 

replaced prior Exchange rules: 

• Rule 2150 (Improper Use of 

Customers’ Securities or Funds; 

Prohibition Against Guarantees and 

Sharing in Accounts) replaced old Rules 

352(a)–(d); 

• Rule 3130 (Annual Certification of 

Compliance and Supervisory Processes) 

replaced, in relevant part, old Rules 

342.30(d) and (e) and Rule 

Interpretation 311(b)(5); 

• Rule 3310 (Anti-Money Laundering 

Compliance Program) replaced old Rule 

445; 

• Rule 4110 (Capital Compliance) 

replaced, in relevant part, old Rules 

312(h) and 313; 


srobinson on DSKHWCL6B1PROD with NOTICES
Federal Register / Vol. 75, No. 185 / Friday, September 24, 2010 / Notices 58453 

4See Securities Exchange Act Release Nos. 59965 

(May 21, 2009), 74 FR 25783 (May 29, 2009) (SR– 

NYSE–2009–25) (adopting, inter alia, NYSE Rules 

3130, 4560, 5190); 61158 (December 11, 2009), 74 

FR 67942 (December 21, 2009) (SR–NYSE–2009– 

123) (adopting NYSE Rule 2150); 61273 (December 

31, 2009), 75 FR 1091 (January 8, 2010) (SR–NYSE– 

2009–134) (adopting NYSE Rule 3310); 61557 

(February 22, 2010), 75 FR 9472 (March 2, 2010) 

(SR–NYSE–2010–10) (adopting, inter alia, NYSE 

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). 

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

2 17 CFR 240.19b–4. 

• Rule 4521 (Notifications, 

Questionnaires and Reports) replaced, 

in relevant part, old Rule 421; 

• Rule 4560 (Short-Interest Reporting) 

replaced old Rules 421(1) and 421.10; 

and 

• Rule 5190 (Notification 

Requirements for Offering Participants) 

replaced old Rule 392.4

These old Rules, or certain provisions 

thereof, are subject to the Exchange’s 

Minor Rule Violation Plan under NYSE 

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 

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–NYSE–2010–66 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–NYSE–2010–66. 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–NYSE– 

2010–66 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. 2010–23908 Filed 9–23–10; 8:45 am] 

BILLING CODE 8010–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–62947; File No. SR– 

NYSEAmex–2010–96] 

Self-Regulatory Organizations; NYSE 

Amex LLC; Notice of Filing of a 

Proposed Rule Change Amending 

NYSE Amex Equities Rule 104 To 

Adopt Pricing Obligations for 

Designated Market Makers 

September 20, 2010. 

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 17, 2010, NYSE Amex LLC 

(‘‘NYSE Amex’’ or the ‘‘Exchange’’) filed 

with the Securities and Exchange 

Commission (‘‘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 


srobinson on DSKHWCL6B1PROD with NOTICES