Document ID: SEC-2011-0569-0001
Agency: sec
Document Type: Notice
Title: Self-Regulatory Organizations; Proposed Rule Changes: Financial Industry Regulatory Authority, Inc.
Posted Date: 2011-04-19T04:00Z

[Federal Register Volume 76, Number 75 (Tuesday, April 19, 2011)]
[Notices]
[Page 21932]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-9413]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-64226A; File No. SR-FINRA-2011-005]

 Self-Regulatory Organizations; Financial Industry Regulatory 
Authority, Inc.; Order Granting Approval of a Proposed Rule Change 
Relating to Promissory Note Proceedings; Correction

April 13, 2011.

Need for Correction

    In FR Document No. 2011-8897 beginning on page 20741 as published 
on Wednesday, April 13, 2011, the Commission issued Release No. 34-
64226, an order approving the proposed rule change by the Financial 
Industry Regulatory Authority, Inc. (``FINRA'') to amend Rule 13806 of 
the Code of Arbitration Procedure for Industry Disputes (``Industry 
Code''). Commission staff discovered that a statement in the 
introduction section of that order mischaracterized the nature of the 
rule change which was described accurately in the remainder of the 
order. The staff believes this mischaracterization was the result of an 
editing error.
    This correction does not substantively amend the Commission's 
approval order. The sole purpose of this correction is to rectify the 
error in the introduction section and alleviate any potential 
confusion. The introduction section of this approval order is being 
republished with the correction.

Correction of Publication

    Accordingly, the Introduction of the approval order is republished 
to correct a statement therein, as follows:

I. Introduction

    On February 4, 2011, the Financial Industry Regulatory Authority, 
Inc. (``FINRA'') filed with the Securities and Exchange Commission 
(``Commission''), pursuant to Section 19(b)(1) of the Securities 
Exchange Act of 1934 (``Act''),\1\ and Rule 19b-4 thereunder,\2\ a 
proposed rule change to amend Rule 13806 of the Code of Arbitration 
Procedure for Industry Disputes (``Industry Code'') to provide that 
FINRA will appoint a chair-qualified public arbitrator to a panel 
resolving a promissory note dispute instead of a chair-qualified public 
arbitrator also qualified to resolve a statutory discrimination claim. 
The proposed rule change was published for comment in the Federal 
Register on February 22, 2011.\3\ The Commission did not receive any 
comments on the proposal. This order approves the proposed change.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities and Exchange Act Release No. 63909 (February 
15, 2011), 76 FR 9838 (February 22, 2011) (``Notice'').

    For the Commission, by the Division of Trading and Markets, 
pursuant to delegated authority.\4\
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    \4\ 17 CFR 200.30-3(a)(12).
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Cathy H. Ahn,
Deputy Secretary.
[FR Doc. 2011-9413 Filed 4-18-11; 8:45 am]
BILLING CODE 8011-01-P