65524 Federal Register / Vol. 66, No. 244 / Wednesday, December 19, 2001 / Notices

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

2 17 CFR 240.19b–4.

3The CSE confirmed that the filing received by

the Commission on November 29, 2001, file number

SR–CSE–2001–05, replaced in its entirety the filing

received by the Commission on November 20, 2001,

also with the file number SR–CSE–2001–05.

Telephone discussion between Jeffrey T. Brown,

Vice President, Regulation and General Counsel,

CSE, and Christopher B. Stone, Attorney Advisor,

Division of Market Regulation, Commission (Dec.

10, 2001).

collected from the tuition assistance

application forms submitted by

employees.

A report on the proposed new system

of records is being sent to the Office of

Management and Budget (OMB), the

Committee on Governmental Affairs of

the U.S. Senate, and the Committee on

Government Reform of the U.S. House

of Representatives as required by the

Privacy Act and OMB Circular No. A–

130, ‘‘Federal Agency Responsibilities

for Maintaining Records About

Individuals.’’

According, the NRC proposes to add

NRC–12 to read as follows:

NRC–12

SYSTEM NAME:

Child Care Tuition Assistance

Program Records

SYSTEM LOCATION:

Office of Human Resources, NRC,

Two White Flint North, 11545 Rockville

Pike, Rockville, Maryland.

CATEGORIES OF INDIVIDUALS COVERED BY THE

SYSTEM:

NRC employees who voluntarily

apply for child care tuition assistance.

CATEGORIES OF RECORDS IN THE SYSTEM:

These records include application

forms for child care tuition assistance

containing personal information,

including employee (parent) name,

social security number, grade, home and

work telephone numbers, home and

work addresses, total family income,

names of children on whose behalf the

parent is applying for tuition assistance,

child’s date of birth; information on

child care providers used, including

name, address, provider license number

and State where issued, tuition cost, and

provider tax identification number; and

copies of IRS Form 1040 and 1040A for

verification purposes.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:

Public Law 107–67, section 630 and

Executive Order 9397.

ROUTINE USES OF RECORDS MAINTAINED IN THE

SYSTEM, INCLUDING CATEGORIES OF USERS AND

THE PURPOSES OF SUCH USES:

In addition to the disclosures

permitted under subsection (b) of the

Privacy Act, the NRC may disclose

information contained in this system of

records without the consent of the

subject individual if the disclosure is

compatible with the purpose for which

the record was collected under the

following routine uses:

a. To the Office of Personnel

Management to provide statistical

reports;

b. For any of the routine uses

specified in the Prefatory Statement of

General Routine Uses.

POLICIES AND PRACTICES FOR STORING,

RETRIEVING, ACCESSING, RETAINING AND

DISPOSITION OF RECORDS IN THE SYSTEM:

STORAGE:

Information may be collected on

paper or electronically and may be

stored as paper forms or on computers.

RETRIEVABILITY:

Information may be retrieved by

employee name or social security

number.

SAFEGUARDS:

When not in use by an authorized

person, paper records are stored in

lockable file cabinets and computer

records are protected by the use of

passwords.

RETENTION AND DISPOSAL:

The records in this system are

currently unscheduled and must be

retained until the National Archives and

Records Administration (NARA)

approves a records disposition schedule

for this material.

SYSTEM MANAGER AND ADDRESS:

Director, Office of Human Resources,

U.S. Nuclear Regulatory Commission,

Washington, DC 20555–0001.

NOTIFICATION PROCEDURE:

Individuals seeking to determine

whether this system of records contains

information pertaining to themselves

should write to the Freedom of

Information Act and Privacy Act (FOIA/

PA) Officer, Office of the Chief

Information Officer, U.S. Nuclear

Regulatory Commission, Washington,

DC 20555–0001, and comply with the

procedures contained in NRC’s Privacy

Act regulations, 10 CFR part 9.

RECORD ACCESS PROCEDURE:

Same as ‘‘Notification procedure.’’

CONTESTING RECORD PROCEDURE:

Same as ‘‘Notification procedure.’’

RECORD SOURCE CATEGORIES:

Information in this system of records

is obtained from NRC employees who

apply for child care tuition assistance.

Furnishing of the information is

voluntary.

Dated at Rockville, MD, this 13th day of

December, 2001.

For the Nuclear Regulatory Commission.

Stuart Reiter,

Chief Information Officer.

[FR Doc. 01–31219 Filed 12–18–01; 8:45 am]

BILLING CODE 7590–01–P

SECURITIES AND EXCHANGE

COMMISSION

[Release No. 34–45148; File No. SR–CSE–

2001–05]

Self-Regulatory Organizations; Notice

of Filing and Immediate Effectiveness

of Proposed Rule Change by the

Cincinnati Stock Exchange, Inc.

Establishing a Fee Schedule for

Nasdaq/National Market Securities

Transactions and Establishing a

Revenue Sharing Program for Trading

in Nasdaq/National Market Securities

December 11, 2001.

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

Securities Exchange Act of 1934 (‘‘Act’’

or ‘‘Exchange Act’’),1 and Rule 19b–4

thereunder,2 notice is hereby given that

on November 29, 2001, the Cincinnati

Stock Exchange, Inc. (‘‘CSE’’ or

‘‘Exchange’’) filed with the Securities

and Exchange Commission (‘‘SEC’’ or

‘‘Commission’’) the proposed rule

change as described in Items I, II, and

III below, which Items have been

prepared by CSE.3 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 the

Exchange’s rules to establish a fee

schedule for transactions in Nasdaq/

National Market securities (‘‘Nasdaq/

NM Securities’’) and to establish a

revenue sharing program to reflect

recent developments in competitive

business strategy. The text of the

proposed rule change is available at the

principal offices of the CSE and at the

Commission.

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

CSE included statements concerning the

purpose of, and the 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

Federal Register / Vol. 66, No. 244 / Wednesday, December 19, 2001 / Notices 65525

4Nasdaq/NM Securities will be traded on CSE

pursuant to section 12(f) of the Act as well as the

Joint Self-Regulatory Organization Plan Governing

the Collection, Consolidation, and Dissemination of

Quotation and Transaction Information for NasdaqListed Securities traded on Exchanges on an

Unlisted Trading Privileges Basis (‘‘Nasdaq-UTP

Plan’’).

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

6 15 U.S.C. 78f(b)(5).

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

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

9 17 CFR 240.19b–4(f)(2).

10See section 19(b)(3)(C) of the Act, 15 U.S.C.

78s(b)(3)(C).

11 17 CFR 200.30–3(a)(12).

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

2 17 CFR 240.19b–4.

3 Inactive Nominees are designated by Phlx

member organizations to serve as such. They have

been approved by the Phlx for membership in

accordance with the Phlx Rules, but will not have

the rights and privileges of membership until made

effective by the Exchange. See Phlx By-law Article

XII, Section 12–10 and Phlx Rule 21.

in Item IV below. CSE 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 two

amendments to the Exchange Rules

governing transaction fees and market

data revenue credits in keeping with

recent trends in the securities industry.

The first amendment adds subsection

(2) to CSE Rule 11.10(A)(e), (‘‘Crosses

and Meets’’). Proposed subsection (2)

establishes a fee schedule for

transactions in Nasdaq/NM Securities.

The second amendment creates in

incentive for CSE members to trade

Nasdaq/NM Securities on the Exchange

and will be codified as CSE Rule

11.10(A)(l) (‘‘Tape ‘C’ Transaction

Credit’’). The Exchange believes the

credit is a logical next step in its efforts

to provide competitive exchange

services to CSE members trading

Nasdaq/NM Securities. Under the

Nasdaq program,4 CSE member firms

will receive a 75 percent (75%) pro rata

transaction credit on all Nasdaq Tape C

market data revenue generated by CSE

member trading of Nasdaq/NM

Securities.

2. Statutory Basis

The proposed rule change is generally

consistent with section 6(b) of the Act.5

The proposed rule change also furthers

the objectives of section 6(b)(5) of the

Act,6 particularly, in that it is designed

to promote just and equitable principles

of trade, and 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

proposal also is consistent with section

6(b)(4) of the Act 7 in that it is designed

to provide for the equitable allocation of

reasonable dues, fees, and other charges

among Exchange members by crediting

CSE members on a pro rata basis.

B. Self-Regulatory Organization’s

Statement on Burden on Competition

The CSE 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, as amended.

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 8 and Rule 19b–4(f)(2)

thereunder,9 as establishing or changing

a due, fee, or other charge paid solely

by members of the CSE. At any time

within 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.10

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.

Persons making written submissions

should file six copies thereof with the

Secretary, Securities and Exchange

Commission, 450 Fifth Street, NW.,

Washington, DC 20549–0609. 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. Copies of such filing will also be

available for inspection and copying at

the principal office of the CSE. All

submissions should refer to File No.

SR–CSE–2001–05 and should be

submitted by January 9, 2002.

For the Commission, by the Division of

Market Regulation, pursuant to delegated

authority.11

Margaret H. McFarland,

Deputy Secretary.

[FR Doc. 01–31196 Filed 12–18–01; 8:45 am]

BILLING CODE 8010–01–M

SECURITIES AND EXCHANGE

COMMISSION

[Release No. 34–45150; File No. SR–Phlx–

2001–110]

Self-Regulatory Organizations; Notice

of Filing and Immediate Effectiveness

of Proposed Rule Change by the

Philadelphia Stock Exchange, Inc.,

Permitting Inactive Nominees To

Become Effective Members on

December 5, 2001

December 12, 2001.

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 December

4, 2001, the Philadelphia Stock

Exchange, Inc. (‘‘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 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 Phlx proposed to allow Inactive

Nominees,3 upon request, to act as

effective members of the Phlx on

Wednesday, December 5, 2001 on the

Phlx Equity Trading Floor. The text of

the proposed rule change is available at

the Office of the Secretary, the

Exchange, and the Commission.

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. The text of

these statements may be examined at