Federal Register / Vol. 74, No. 125 / Wednesday, July 1, 2009 / Notices 31471 

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

2 17 CFR 240.19b–4. 

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

4 17 CFR 240.19b–4(f)(2). 

FAX (202) 606–0910 or via E-mail to 

Cyrus.Benson@opm.gov. Please include 

a mailing address with your request. 

DATES: Comments on this proposal 

should be received within 30 calendar 

days from the date of this publication. 

ADDRESSES: Send or deliver comments 

to— 

James K. Freiert, Deputy Assistant 

Director, Retirement Services 

Program, Center for Retirement and 

Insurance Services, U.S. Office of 

Personnel Management, 1900 E Street, 

NW., Room 3305, Washington, DC 

20415–3500. 

and 

OPM Desk Officer, Office of Information 

& Regulatory Affair, Office of 

Management and Budget, New 

Executive Office Building, 725 17th 

Street, NW., Room 10235, 

Washington, DC 20503. 

For information regarding 

administrative Coordination contact: 

Cyrus S. Benson, Team Leader, 

Publications Team, RIS Support 

Services/Support Group, 1900 E 

Street, NW., Room 4H28, Washington, 

DC 20415, (202) 606–0623. 

U.S. Office of Personnel Management. 

John Berry, 

Director. 

[FR Doc. E9–15565 Filed 6–30–09; 8:45 am] 

BILLING CODE 6325–38–P 

SMALL BUSINESS ADMINISTRATION 

[Disaster Declaration #11791 and #11792] 

Kentucky Disaster #KY–00025 

AGENCY: U.S. Small Business 

Administration. 

ACTION: Notice. 

SUMMARY: This is a notice of an 

Administrative declaration of a disaster 

for the Commonwealth of Kentucky 

dated 06/24/2009. 

Incident: Severe Storms and 

Tornadoes. 

Incident Period: 05/08/2009. 

DATES: Effective Date: 06/24/2009. 

Physical Loan Application Deadline 

Date: 08/24/2009. 

Economic Injury (EIDL) Loan 

Application Deadline Date: 03/24/2010. 

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 

Administrator’s disaster declaration, 

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: Madison. 

Contiguous Counties: 

Kentucky: Clark, Estill, Fayette, 

Garrard, Jackson, Jessamine, 

Rockcastle. 

The Interest Rates are: 

Percent 

Homeowners With Credit Available Elsewhere ......................... 4.875 

Homeowners Without Credit 

Available Elsewhere .................. 2.437 

Businesses With Credit Available 

Elsewhere ................................. 6.000 

Businesses & Small Agricultural 

Cooperatives Without Credit 

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

Other (Including Non-Profit Organizations) With Credit Available 

Elsewhere ................................. 4.500 

Businesses and Non-Profit Organizations Without Credit Available Elsewhere ......................... 4.000 

The number assigned to this disaster 

for physical damage is 11791 B and for 

economic injury is 11792 0. 

The Commonwealth which received 

an EIDL Declaration # is Kentucky. 

(Catalog of Federal Domestic Assistance 

Numbers 59002 and 59008) 

June 24, 2009. 

Karen G. Mills, 

Administrator. 

[FR Doc. E9–15518 Filed 6–30–09; 8:45 am] 

BILLING CODE 8025–01–P 

SECURITIES AND EXCHANGE 

COMMISSION 

[Release No. 34–60168; File No. SR–FINRA– 

2009–043] 

Self-Regulatory Organizations; 

Financial Industry Regulatory 

Authority, Inc.; Notice of Filing and 

Immediate Effectiveness of Proposed 

Rule Change Relating to the 

Application of Transaction-Related 

Charges for Trade Reporting to the 

OTC Reporting Facility 

June 24, 2009. 

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 June 17, 

2009, Financial Industry Regulatory 

Authority, Inc. (‘‘FINRA’’) (f/k/a 

National Association of Securities 

Dealers, Inc. (‘‘NASD’’)) filed with the 

Securities and Exchange Commission 

(‘‘SEC’’ or ‘‘Commission’’) the proposed 

rule change as described in Items I and 

II below [sic], which Items have been 

prepared by FINRA. FINRA has 

designated the proposed rule change as 

‘‘establishing or changing a due, fee or 

other charge’’ under Section 

19(b)(3)(A)(ii) of the Act 3 and Rule 19b– 

4(f)(2) thereunder,4 which renders the 

proposal effective upon receipt of this 

filing by the Commission. 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 

FINRA is proposing to amend FINRA 

Rule 7710 to clarify the application of 

transaction-related charges for trade 

reporting to the OTC Reporting Facility 

(‘‘ORF’’). 

The text of the proposed rule change 

is available on FINRA’s Web site at 

http://www.finra.org, at the principal 

office of FINRA and at the 

Commission’s Public Reference Room. 

II. Self-Regulatory Organization’s 

Statement of the Purpose of, and 

Statutory Basis for, the Proposed Rule 

Change 

In its filing with the Commission, 

FINRA 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. FINRA 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 FINRA Rule 7700 Series, among 

other things, sets forth the pricing 

schedule for the ORF, the OTC Bulletin 

Board, and the Trade Reporting and 

Compliance Engine Services. On March 

1, 2007, FINRA filed a proposed rule 

change (SR–NASD–2007–018) for 

immediate effectiveness that deleted 

certain fee provisions from the FINRA 

31472 Federal Register / Vol. 74, No. 125 / Wednesday, July 1, 2009 / Notices 

5At the time of the rule filing, the FINRA Rule 

7700 Series was the NASD Rule 7000 Series. The 

NASD Rule 7000 Series was renumbered as the 

FINRA Rule 7700 Series in 2008. See Securities 

Exchange Act Release No. 58643 (September 25, 

2008), 73 FR 57174 (October 1, 2008); see also 

FINRA Regulatory Notice 08–57 (October 2008). 6See Securities Exchange Act Release No. 55538 

(March 27, 2007), 72 FR 15924 (April 3, 2007) 

(Notice of Filing and Immediate Effectiveness of 

SR–NASD–2007–018). 7NASD Rule 7010 was later renumbered as 

FINRA Rule 7710. See Securities Exchange Act 

Release No. 58643 (September 25, 2008), 73 FR 

57174 (October 1, 2008). 8See Securities Exchange Act Release No. 55538 

(March 27, 2007), 72 FR 15924 (April 3, 2007) 

(Notice of Filing and Immediate Effectiveness of 

SR–NASD–2007–018). 

9See FINRA Rule 6420(c), (d). 

10 15 U.S.C. 78o–3(b)(5). 

11 15 U.S.C. 78s(b)(3)(A). 

12 17 CFR 240.19b–4(f)(2). 13 17 CFR 200.30–3(a)(12). 

Rule 7700 Series 5 and amended certain 

other provisions.6 In that filing, NASD 

Rule 7010(g) was renumbered as NASD 

Rule 7010, renamed, and amended to 

apply only to the ORF.7 The 

amendments became operative on 

March 5, 2007.8 As FINRA stated in the 

filing, the amendments made to the rule 

language were not intended to modify 

any of the charges relating to the ORF. 

Although there was no intent to 

modify any charges in connection with 

reporting transactions to the ORF, the 

rule language, as amended, omits some 

securities from the rule because of the 

definition of ‘‘OTC Equity Security’’ in 

FINRA Rule 6420. The previous rule, 

NASD Rule 7010(g), included a catch-all 

provision that applied a charge of 

$0.029/side to the ‘‘reporting of all other 

transactions not subject to comparison.’’ 

This language included, for example, 

PORTAL equity securities, which are 

reported to the ORF pursuant to the 

PORTAL rules in the FINRA Rule 6630 

Series. The term ‘‘OTC Equity Security,’’ 

however, specifically excludes PORTAL 

securities and restricted securities from 

the definition.9 Thus, by using the 

defined term ‘‘OTC Equity Security,’’ 

the rule was inadvertently amended to 

exclude PORTAL equity securities from 

the scope of the rule. 

The proposed rule change would 

delete the reference to ‘‘OTC Equity 

Security’’ in FINRA Rule 7710 and 

clarify that the charge applies to the 

reporting of transactions in any security, 

not just OTC Equity Securities, to the 

ORF that are not subject to comparison 

through the ORF. 

FINRA has filed the proposed rule 

change for immediate effectiveness. The 

effective date and the implementation 

date will be the date of filing, June 17, 

2009. 

2. Statutory Basis 

FINRA believes that the proposed rule 

change is consistent with the provisions 

of Section 15A(b)(5) of the Act,10 which 

requires, among other things, that 

FINRA rules provide for the equitable 

allocation of reasonable dues, fees and 

other charges among members and 

issuers and other persons using any 

facility or system that FINRA operates 

or controls. FINRA believes that the 

proposed rule change clarifies the 

charges assessed with respect to 

transactions reported to the ORF and 

correctly reflects FINRA’s intent when 

amending the rule in SR–NASD–2007– 

018. 

B. Self-Regulatory Organization’s 

Statement on Burden on Competition 

FINRA does not believe that the 

proposed rule change will result in 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 

Written comments were neither 

solicited nor received. 

III. Date of Effectiveness of the 

Proposed Rule Change and Timing for 

Commission Action 

The foregoing rule change has become 

effective pursuant to Section 19(b)(3)(A) 

of the Act 11 and paragraph (f)(2) of Rule 

19b–4 thereunder.12 At any time within 

60 days of the filing of the 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–FINRA–2009–043 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–FINRA–2009–043. 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 FINRA. 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–FINRA–2009–043 and 

should be submitted on or before July 

21, 2009. 

For the Commission, by the Division of 

Trading and Markets, pursuant to delegated 

authority.13

Florence E. Harmon, 

Deputy Secretary. 

[FR Doc. E9–15468 Filed 6–30–09; 8:45 am] 

BILLING CODE 8010–01–P 

DEPARTMENT OF STATE 

[Public Notice 6687] 

Bureau of Political-Military Affairs: 

Directorate of Defense Trade Controls; 

Notifications to the Congress of 

Proposed Commercial Export Licenses 

SUMMARY: Notice is hereby given that 

the Department of State has forwarded 

the attached Notifications of Proposed 

Export Licenses to the Congress on the 

dates indicated on the attachments 

pursuant to sections 36(c) and 36(d) and 

in compliance with section 36(f) of the