59752 Federal Register / Vol. 75, No. 187 / Tuesday, September 28, 2010 / Notices 

1 15 U.S.C. 78k–1. 

2 17 CFR 242.608. 

3Each participant executed the proposed 

amendment. The Participants are: BATS Exchange, 

Inc.; Chicago Board Options Exchange, Inc.; 

Chicago Stock Exchange, Inc.; Financial Industry 

Regulatory Authority, Inc.; International Securities 

Exchange, LLC; NASDAQ OMX BX, Inc.; NASDAQ 

OMX PHLX, Inc.; The NASDAQ Stock Market LLC; 

National Stock Exchange, Inc.; New York Stock 

Exchange LLC; NYSE Amex LLC; and NYSE Arca, 

Inc. 

4See Securities Exchange Act Release No. 10787 

(May 10, 1974), 39 FR 17799 (declaring the CTA 

Plan effective). The CTA Plan, pursuant to which 

markets collect and disseminate last sale price 

information for non-NASDAQ listed securities, is a 

‘‘transaction reporting plan’’ under Rule 601 under 

the Act, 17 CFR 242.601, and a ‘‘national market 

system plan’’ under Rule 608 under the Act, 17 CFR 

242.608. 

Please direct general comments 

regarding the above information to the 

following persons: (i) Desk Officer for 

the Securities and Exchange 

Commission, Office of Management and 

Budget, Room 10102, New Executive 

Office Building, Washington, DC 20503 

or send an email to Shagufta Ahmed at 

Shagufta_Ahmed@omb.eop.gov; and (ii) 

Jeff Heslop, Acting Director/Chief 

Information Officer, Securities and 

Exchange Commission, C/O Remi 

Pavlik-Simon, 6432 General Green Way, 

Alexandria, VA, 22312; or send an email to: PRA_Mailbox@sec.gov. 

Comments must be submitted to OMB 

within 30 days of this notice. 

Dated: September 20, 2010. 

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. 2010–24187 Filed 9–27–10; 8:45 am] 

BILLING CODE 8010–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–62966; File No. SR–CTA– 

2010–02] 

Consolidated Tape Association; Notice 

of Filing and Immediate Effectiveness 

of the Fifteenth Charges Amendment 

to the Second Restatement of the 

Consolidated Tape Association Plan 

September 21, 2010. 

Pursuant to Section 11A of the 

Securities Exchange Act of 1934 

(‘‘Act’’),1 and Rule 608 thereunder,2

notice is hereby given that on 

September 21, 2010, the Consolidated 

Tape Association (‘‘CTA’’) Plan and 

participants (‘‘Participants’’) 3 filed with 

the Securities and Exchange 

Commission (‘‘Commission’’) a proposal 

to amend the Second Restatement of the 

CTA Plan (the ‘‘CTA Plan’’).4 The 

proposal represents the fifteenth charges 

amendment to the CTA Plan (‘‘Fifteenth 

Charges Amendment’’), and reflects 

changes unanimously adopted by the 

Participants. The Fifteenth Charges 

Amendment seeks to reduce the 

maximum amount that any entity is 

required to pay for any calendar 

month’s charge for broadcast, cable or 

satellite television distribution of a 

Network A ticker. Pursuant to Rule 

608(b)(3) under Regulation NMS, the 

Participants designate the amendment 

as establishing or changing a fee or other 

charge collected on their behalf in 

connection with access to, or use of, the 

facilities contemplated by the Plans. As 

a result, the amendment becomes 

effective upon filing with the 

Commission. The Commission is 

publishing this notice to solicit 

comments from interested persons on 

the proposed amendment. 

I. Rule 608(a) 

A. Description and Purpose of the 

Amendment 

The CTA Plan currently imposes a 

monthly charge of $2.00 for every 1000 

households reached on broadcast, cable 

and satellite television distribution of a 

Network A ticker (the ‘‘Broadcast 

Charge’’). A minimum monthly vendor 

payment of $2,000 applies. CTA permits 

prorating for those who broadcast the 

data for less than the entire business 

day, based upon the number of minutes 

that the vendor displays the real-time 

ticker, divided by the number of 

minutes the primary market is open for 

trading (currently 390 minutes). 

In 2007, the Participants introduced a 

cap (the ‘‘Television Ticker Maximum’’) 

on the Broadcast Charge each calendar 

month. For months falling in calendar 

year 2007, the ‘‘Television Ticker 

Maximum’’ was $150,000. 

For each subsequent calendar year, 

the monthly Television Ticker 

Maximum increases by the ‘‘Annual 

Increase Amount.’’ The ‘‘Annual 

Increase Amount’’ is an amount equal to 

the percentage increase in the annual 

composite share volume for the 

preceding calendar year, subject to a 

maximum annual increase of five 

percent. For 2008, the ‘‘Annual Increase 

Amount’’ raised the ‘‘Television Ticker 

Maximum’’ to $157,500. For 2008, the 

‘‘Annual Increase Amount’’ raised the 

‘‘Television Ticker Maximum’’ to 

$164,000. The ‘‘Annual Increase 

Amount’’ is the same adjustment factor 

that the Network A rate schedule has 

long applied to the monthly brokerdealer enterprise fee. 

In light of the Network A Participants’ 

experience with the Network A ticker, 

the Participants have determined to 

reduce the Television Ticker Maximum. 

In the amendment, the Participants 

propose to re-set the Television Ticker 

Maximum to $125,000 for calendar 

months falling in 2010. For calendar 

months falling in subsequent calendar 

years, the Participants would impose 

the Annual Increase Amount to the 

Television Ticker Maximum. For 

example, for calendar months falling in 

2011, the Participants would increase 

2010’s $125,000 monthly Television 

Ticker Maximum by the Annual 

Increase Amount. 

The text of the proposed amendment 

is available on the CTA’s Web site 

(http://www.nysedata.com/cta), at the 

principal office of the CTA, and at the 

Commission’s Public Reference Room. 

B. Additional Information Required by 

Rule 608(a) 

1. Governing or Constituent Documents 

Not applicable. 

2. Implementation of the Amendment 

The reduction in the monthly 

Television Ticker Maximum currently 

affects only one vendor. The 

Participants have notified that vendor. 

The Participants propose to implement 

the change retroactively so that it 

applies to all calendar months of 2010. 

3. Development and Implementation 

Phases 

See Item I(B)(2) above. 

4. Analysis of Impact on Competition 

The amendment will impose no 

burden on competition. 

5. Written Understanding or Agreements 

Relating to Interpretation of, or 

Participation in, Plan 

The Participants have no written 

understandings or agreements relating 

to interpretation of the CTA Plan as a 

result of the amendment. 

6. Approval by Sponsors in Accordance 

With Plan 

Under Section IV(b) of the CTA Plan, 

each CTA Plan Participant must execute 

a written amendment to the CTA Plan 

before the amendment can become 

effective. The amendment is so 

executed. 

7. Description of Operation of Facility 

Contemplated by the Proposed 

Amendment 

Not applicable. 

8. Terms and Conditions of Access 

Not applicable. 

9. Method of Determination and 

Imposition, and Amount of, Fees and 

Charges 

The Participants believe that the 

proposed reduction in the cap on 


srobinson on DSKHWCL6B1PROD with NOTICES
Federal Register / Vol. 75, No. 187 / Tuesday, September 28, 2010 / Notices 59753 

5 17 CFR 200.30–3(a)(27). 

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

2 17 CFR 240.19b–4. 

Broadcast Charges is fair and reasonable 

and provides for an equitable allocation 

of dues, fees, and other charges among 

vendors, data recipients and other 

persons using CTA Network A facilities. 

10. Method of Frequency of Processor 

Evaluation 

Not applicable. 

11. Dispute Resolution 

Not applicable. 

II. Rule 601(a) 

A. Equity Securities for Which 

Transaction Reports Shall Be Required 

by the Plan 

Not applicable. 

B. Reporting Requirements 

Not applicable. 

C. Manner of Collecting, Processing, 

Sequencing, Making Available and 

Disseminating Last Sale Information 

Not applicable. 

D. Manner of Consolidation 

Not applicable. 

E. Standards and Methods Ensuring 

Promptness, Accuracy and 

Completeness of Transaction Reports 

Not applicable. 

F. Rules and Procedures Addressed to 

Fraudulent or Manipulative 

Dissemination 

Not applicable. 

G. Terms of Access to Transaction 

Reports 

The Network A Participants and the 

vendor that the proposed amendment 

would affect have already entered into 

the Network A Participants’ standard 

form of agreement. No new terms of 

access will apply, other than the 

reduction to the cap on the Broadcast 

Charge. 

8. Identification of Marketplace of 

Execution 

Not applicable. 

III. Solicitation of Comments 

Interested persons are invited to 

submit written data, views, and 

arguments concerning the foregoing, 

including whether the proposed 

Fifteenth Charges Amendment to the 

CTA Plan 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–CTA–2010–02 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–CTA–2010–02. 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 Fifteenth Charges 

Amendment to the CTA Plan that are 

filed with the Commission, and all 

written communications relating to the 

Fifteenth Charges Amendment to the 

CTA 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 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 Fifteenth 

Charges Amendment to the CTA Plan 

also will be available for inspection and 

copying at the principal office of the 

CTA. 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–CTA–2010–02 and should 

be submitted on or before October 19, 

2010. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.5

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. 2010–24226 Filed 9–27–10; 8:45 am] 

BILLING CODE 8010–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–62963; File No. SR– 

NYSEAmex–2010–71] 

Self-Regulatory Organizations; Notice 

of Filing and Immediate Effectiveness 

of Proposed Rule Change by NYSE 

Amex LLC Amending NYSE Amex 

Equities Rule 36 

September 21, 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 14, 2010, the NYSE Amex 

LLC (‘‘NYSE Amex’’ 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 Amex Equities Rule 36 

(‘‘Communications Between Exchange 

and Members’ Offices’’) to incorporate 

the provisions of its current Wireless 

Policy. The text of the proposed rule 

change is available at the Exchange, the 

Commission’s Public Reference Room, 

and http://www.nyse.com. 

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 

NYSE Amex proposes to amend NYSE 

Amex Equities Rule 36 

(‘‘Communications Between Exchange 

and Members’ Offices’’) to incorporate 


srobinson on DSKHWCL6B1PROD with NOTICES