6424 Federal Register / Vol. 75, No. 26 / Tuesday, February 9, 2010 / Notices 

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

7 15 U.S.C. 78f(b)(4). 

8 15 U.S.C. 78s(b)(3)(A)(ii). 

9 17 CFR 240.19b–4. 

10 17 CFR 200.30–3(a)(12). 

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

2 17 CFR 240.19b–4. 

3The Commission notes that the form 19b–4 

correctly notes that the 75 new classes were added 

to the Penny Pilot on February 1, 2010. 

Display Orders in AutoEx. Based upon 

the information above, the Exchange 

believes that the proposed rule change 

is consistent with the protection of 

investors and the public interest. 

Operative Date and Notice 

The Exchange intends to make the 

proposed modifications, which are 

effective on filing of this proposed rule, 

operative for trading on February 1, 

2010. Pursuant to Exchange Rule 

16.1(c), the Exchange will ‘‘provide ETP 

Holders with notice of all relevant dues, 

fees, assessments and charges of the 

Exchange’’ through the issuance of a 

Regulatory Circular of the changes to the 

Fee Schedule and will post a copy of the 

rule filing on the Exchange’s Web site 

(http://www.nsx.com). 

2. Statutory Basis 

The Exchange believes that the 

proposed rule change is consistent with 

the provisions of Section 6(b) of the 

Act,6 in general, and Section 6(b)(4) of 

the Act,7 in particular, in that it is 

designed to provide for the equitable 

allocation of reasonable dues, fees and 

other charges among its members and 

other persons using the facilities of the 

Exchange. Moreover, the proposed rule 

change is not discriminatory in that all 

ETP Holders are eligible to submit (or 

not submit) trades and quotes at any 

price in AutoEx in all tapes, as either 

displayed or undisplayed, and as 

liquidity adding or liquidity taking, and 

may do so at their discretion. 

B. Self-Regulatory Organization’s 

Statement on Burden on Competition 

The Exchange does not believe that 

the proposed rule change will impose 

any inappropriate burden on 

competition. 

C. Self-Regulatory Organization’s 

Statement on Comments on the 

Proposed Rule Change Received From 

Members, Participants, or Others 

The Exchange has neither solicited 

nor received written comments on the 

proposed rule change. 

III. Date of Effectiveness of the 

Proposed Rule Change and Timing for 

Commission Action 

The proposed rule change has taken 

effect upon filing pursuant to Section 

19(b)(3)(A)(ii) of the Act 8 and 

subparagraph (f)(2) of Rule 19b–4 9

thereunder, because, as provided in 

(f)(2), it changes ‘‘a due, fee or other 

charge applicable only to a member’’ 

(known on the Exchange as an ETP 

Holder). At any time within sixty (60) 

days of the filing of such proposed rule 

change, the Commission may summarily 

abrogate 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–NSX–2010–01 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–NSX–2010–01. 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 will 

also be available for inspection and 

copying at the principal office of the 

self-regulatory organization. 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–NSX–2010–01 and should 

be submitted on or before March 2, 

2010. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.10

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. 2010–2740 Filed 2–8–10; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–61471; File No. SR– 

NYSEAmex–2010–06] 

Self-Regulatory Organizations; NYSE 

Amex LLC; Notice of Filing and 

Immediate Effectiveness of Proposed 

Rule Change Adding 75 Options 

Classes to the Penny Pilot Program 

February 2, 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 February 

1, 2010, NYSE Amex LLC (the ‘‘NYSE 

Amex’’ or the ‘‘Exchange’’) filed with the 

Securities and Exchange Commission 

(the ‘‘Commission’’) the proposed rule 

change as described in Items I, II, and 

III below, which Items have been 

prepared by the self-regulatory 

organization. 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 identify the 

next 75 options classes to be added to 

the Penny Pilot Program for Options 

(‘‘Penny Pilot’’ or ‘‘Pilot’’) on November 

2, 2009 [sic].3 There are no changes to 

the Rule text. A copy of this filing 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. 


Cprice-sewell on DSK2BSOYB1PROD with NOTICES
Federal Register / Vol. 75, No. 26 / Tuesday, February 9, 2010 / Notices 6425 

4See Exchange Act Release No. 61106 (December 

3, 2009) 74 FR 65193 (December 9, 2009). 

5 Index products would be included in the 

expansion if the underlying index level was under 

200. 

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 

Statutory Basis for, the Proposed Rule 

Change 

1. Purpose 

NYSE Amex proposes to identify the 

next 75 options classes to be added to 

the Penny Pilot effective February 1, 

2010. The Exchange recently filed to 

extend and expand the Pilot through 

December 31, 2010.4 In that filing, the 

Exchange had proposed expanding the 

Pilot on a quarterly basis to add the next 

75 most actively traded multiply listed 

options classes based on national 

average daily volume for the six-months 

prior to selection, closing under $200 

per share on the Expiration Friday prior 

to expansion, except that the month 

immediately preceding their addition to 

the Penny Pilot will not be used for the 

purpose of the six month analysis.5

Nat’l ranking Symbol Company name Nat’l ranking Symbol Company name 

131 .................... ABT Abbott Laboratories. 192 ................... LEAP Leap Wireless International Inc. 

169 .................... AEM Agnico-Eagle Mines Ltd. 205 ................... LLY Eli Lilly & Co. 

151 .................... AET Aetna Inc. 162 ................... LO Lorillard Inc. 

156 .................... AFL Aflac Inc. 152 ................... LOW Lowe’s Co.s Inc. 

181 .................... AKAM Akamai Technologies Inc. 176 ................... M Macy’s Inc. 

178 .................... AMAT Applied Materials Inc. 155 ................... MCO Moody’s Corp. 

117 .................... AMR AMR Corp. 217 ................... MET MetLife Inc. 

166 .................... ANF Abercrombie & Fitch Co. 187 ................... MMM 3M Co. 

172 .................... APC Anadarko Petroleum Corp. 140 ................... MU Micron Technology Inc. 

209 .................... ATVI Activision Blizzard Inc. 177 ................... NUE Nucor Corp. 

145 .................... BBD Banco Bradesco SA. 157 ................... OXY Occidental Petroleum Corp. 

190 .................... BCRX BioCryst Pharmaceuticals Inc. 158 ................... PARD Poniard Pharmaceuticals Inc. 

218 .................... BK Bank of New York Mellon Corp./ 

The. 

150 ................... PEP PepsiCo. Inc./NC. 

194 .................... BRCM Broadcom Corp. 141 ................... PM Philip Morris International Inc. 

184 .................... BTU Peabody Energy Corp. 185 ................... PNC PNC Financial Services Group 

Inc. 

144 .................... BX Blackstone Group LP. 216 ................... QID ProShares UltraShort QQQ. 

200 .................... CAL Continental Airlines Inc. 149 ................... SHLD Sears Holdings Corp. 

211 .................... CF CF Industries Holdings Inc. 175 ................... SLM SLM Corp. 

142 .................... CMCSA Comcast Corp. 212 ................... SLW Silver Wheaton Corp. 

203 .................... CSX CSX Corp. 215 ................... SQNM Sequenom Inc. 

143 .................... CVS CVS Caremark Corp. 153 ................... STEC STEC Inc. 

174 .................... CX Cemex SA.B de CV. 219 ................... STX Seagate Technology. 

183 .................... DD EI du Pont de Nemours & Co. 202 ................... SU Suncor Energy Inc. 

146 .................... ERTS Electronic Arts Inc. 207 ................... TCK Teck Resources Ltd. 

121 .................... EWJ iShares MSCI Japan Index 

Fund. 

196 ................... TEVA Teva Pharmaceutical Industries 

Ltd. 

186 .................... FDX FedEx Corp. 135 ................... TLT iShares Barclays 20+ Year 

Treasury Bond Fund. 

118 .................... FNM Federal National Mortgage Association. 214 ................... TZA Direxion Daily Small Cap Bear 

3X Shares. 

182 .................... FRE Federal Home Loan Mortgage 

Corp. 

168 ................... UAUA UAL Corp. 

179 .................... GILD Gilead Sciences Inc. 154 ................... URE ProShares Ultra Real Estate. 

198 .................... GLW Corning Inc. 180 ................... UTX United Technologies Corp. 

170 .................... HBC HSBC Holdings PLC. 204 ................... WFR MEMC Electronic Materials Inc. 

197 .................... HES Hess Corp. 115 ................... WFT Weatherford International Ltd. 

161 .................... HL Hecla Mining Co. 165 ................... WLP. WellPoint Inc. 

193 .................... HOG Harley-Davidson Inc. 191 ................... XLB Materials Select Sector SPDR 

Fund. 

206 .................... HON Honeywell International Inc. 173 ................... XRX Xerox Corp. 

210 .................... JOYG Joy Global Inc. 148 ................... XTO XTO Energy Inc. 

213 .................... JWN Nordstrom Inc. 130 ................... YRCW YRC Worldwide Inc. 

137 .................... KFT Kraft Foods Inc. 

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, in that it is designed 

to promote just and equitable principles 

of trade, remove impediments to and 

perfect the mechanisms of a free and 

open market and a national market 

system and, in general, to protect 

investors and the public interest, by 

identifying the options classes added to 

the Pilot in a manner consistent with 

prior approvals and filings. 


Cprice-sewell on DSK2BSOYB1PROD with NOTICES
6426 Federal Register / Vol. 75, No. 26 / Tuesday, February 9, 2010 / Notices 

6 15 U.S.C. 78s(b)(3)(A)(i). 

7 17 CFR 240.19b–4(f)(1). 

8 17 CFR 200.30–3(a)(12). 

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

2 17 CFR 240.19b–4. 

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 proposed rule change is effective 

upon filing pursuant to Section 

19(b)(3)(A)(i) of the Exchange Act 6 and 

Rule 19b–4(f)(1) thereunder,7 in that it 

constitutes a stated policy, practice, or 

interpretation with respect to the 

meaning, administration, or 

enforcement of an existing rule of the 

Exchange. At any time within 60 days 

of the filing of the proposed rule change, 

the Commission may summarily 

abrogate the rule change if it appears to 

the Commission that the action is 

necessary or appropriate in the public 

interest, for the protection of investors, 

or would otherwise further 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–2010–06 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–2010–06. 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 such filing 

also will be available for inspection and 

copying at NYSE Amex’s principal 

office and on its Web site at 

www.nyse.com. 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 No. SR– 

NYSEAmex–2010–06 and should be 

submitted on or before March 2, 2010. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.8

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. 2010–2739 Filed 2–8–10; 8:45 am] 

BILLING CODE 8011–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–61486; File No. SR–Phlx– 

2010–18] 

Self-Regulatory Organizations; 

NASDAQ OMX PHLX, Inc.; Notice of 

Filing of Proposed Rule Change To 

Codify Prices for Co-Location Services 

February 3, 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 January 

29, 2010, NASDAQ OMX PHLX (‘‘Phlx’’ 

or ‘‘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 

substantially 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 the Substance 

of the Proposed Rule Change 

NASDAQ OMX PHLX is filing with 

the Securities and Exchange 

Commission (‘‘Commission’’) a proposed 

rule change to codify pricing for colocation services. The text of the 

proposed rule change is available at 

http://www.nasdaqtrader.com/ 

micro.aspx?id=PHLXRulefilings, on the 

Commission’s Web site at http:// 

www.sec.gov, at the Exchange’s 

principal office, and at the 

Commission’s Public Reference Room. 

The Exchange will implement the 

proposed rule change on the first day of 

the month immediately following 

Commission approval (or on the date of 

approval, if on the first business day of 

a month). 

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 

Exchange 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 these 

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 aspects of such 

statements. 

A. Self-Regulatory Organization’s 

Statement of the Purpose of, and 

Statutory Basis for, the Proposed Rule 

Change 

1. Purpose 

The Exchange is proposing to codify 

fees for its existing co-location services. 

Co-location services are a suite of 

hardware, power, telecommunication, 

and other ancillary products and 

services that allow market participants 

and vendors to place their trading and 

communications equipment in close 

physical proximity to the quoting and 

execution facilities of the Exchange. 

Phlx provides co-location services and 

imposes fees through Nasdaq 

Technology Services LLC and pursuant 

to agreements with the owner/operator 

of its data center where both the 

Exchange’s quoting and trading facilities 

and co-located customer equipment are 


Cprice-sewell on DSK2BSOYB1PROD with NOTICES