[Federal Register: February 20, 2008 (Volume 73, Number 34)]
[Notices]
[Page 9368-9369]
[DOCID:fr20fe08-119]

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SECURITIES AND EXCHANGE COMMISSION

Submissions for OMB Review; Comment Request;

Upon Written Request; Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC
20549-0213

Extensions:
    Rule 163; OMB Control No. 3235-0619; SEC File No. 270-556.
    Rule 173; OMB Control No. 3235-0618; SEC File No. 270-557.
    Rule 433; OMB Control No. 3235-0617; SEC File No. 270-558.

    Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') has submitted to the Office of Management
and Budget these requests for extension of the previously approved
collections of information discussed below.
    Rule 163 (17 CFR 230.163) provides an exemption from Section 5(c)
(15 U.S.C. 77e(c)) under the Securities Act of 1933 (15 U.S.C. 77a et
seq.) for certain communications by or on behalf of a well-known
seasoned issuer. The information filed under Rule 163 is publicly
available. We estimate that it takes approximately .24 burden hours per
response to provide the information required under Rule 163 and that
the information is filed by 53 respondents for a total annual reporting
burden of approximately 13 hours. We estimate that 25% of .24 hours per
response (.06 hours) is prepared by the company for a total annual
burden of approximately 3 hours (.06 hours per response x 53
responses).
    Rule 173 (17 CFR 230.173) provides a notice of registration to
investors who purchased securities in a registered offering under the
Securities Act of 1933 (15 U.S.C. 77a et seq.). The Rule 173 notice
must be provided by each underwriter or dealer to each purchaser of
securities. We estimate that it takes approximately .01 hour per
response to provide the information required under Rule 173 and that
the information is filed by 5,338 companies approximately 43,546 times
a year for a total of

approximately 232,448,548 responses. We estimate that the total annual
reporting burden for Rule 173 is approximately 2,324,485 hours (.01
hours per response x 232,448,548 responses).
    Rule 433 (17 CFR 230.433) governs the use and filing of free
writing prospectuses under the Securities Act of 1933 (15 U.S.C. 77a et
seq.). The purpose of Rule 433 is to reduce restrictions on
communications that companies can make to investors during a registered
offering, while still maintaining a high level of investor protection.
A free writing prospectus meeting the conditions of Rule 433(d)(1) must
be filed with the Commission and is publicly available. We estimate
that it takes approximately 1.3 burden hours per response to prepare a
free writing prospectus and that the information is filed by 2,906
companies approximately 1.25 times a year for a total of approximately
3,633 responses. We estimate that 25% of the 1.3 burden hours per
response (.32 hours) is prepared by the company for total annual
reporting burden of approximately 1,163 hours (.32 hours x 3,633
responses).
    An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid control number.
    Written comments regarding the above information should be directed
to the following person: (i) Desk Officer for the Securities and
Exchange Commission, Office of Information and Regulatory Affairs,
Office of Management and Budget, Room 10102, New Executive Office
Building, Washington, DC 20503 or send an e-mail to
<EMAIL_ADDRESS>and (ii) R. Corey Booth, Director/Chief Information

Officer, Securities and Exchange Commission, C/O Shirley Martinson,
6432 General Green Way, Alexandria, VA 22312; or send an e-mail to:
<EMAIL_ADDRESS>Comments must be submitted to OMB within 30 days

of this notice.

    Dated: February 12, 2008.
Florence E. Harmon,
Deputy Secretary.
[FR Doc. E8-3041 Filed 2-19-08; 8:45 am]

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[Federal Register: December 28, 2009 (Volume 74, Number 247)]
[Notices]
[Page 68644-68646]
[DOCID:fr28de09-99]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-61204; File No. SR-BX-2009-079]

Self-Regulatory Organizations; NASDAQ OMX BX; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change To Amend IM-1002-1
To Reflect Changes to a Corresponding FINRA Rule

December 18, 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 December 3, 2009, NASDAQ OMX BX, Inc. (the ``Exchange'' or ``BX'')
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 Exchange has designated
the proposed rule change as constituting a non-controversial rule
change under Rule 19b-4(f)(6) under the Act,\3\ which renders the
proposal effective upon filing with the Commission. The

Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 17 CFR 240.19b-4(f)(6).
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I. Self-Regulatory Organization's Statement of the Terms of the [sic]
Substance of the Proposed Rule Change

    The Exchange is filing this proposed rule change to amend BX IM-
1002-1 to reflect recent changes to a corresponding rule of the
Financial Industry Regulatory Authority (``FINRA''). The Exchange will
implement the proposed rule change thirty days after the date of the
filing. The text of the proposed rule change is available at http://
nasdaqomxbx.cchwallstreet.com, at the Exchange's principal office, 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, 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
    BX based much of its rules on those of The NASDAQ Stock Market LLC
(``NASDAQ''). Similarly, many of NASDAQ's rules are based on rules of
FINRA (formerly the National Association of Securities Dealers
(``NASD'')). As a consequence, many of BX's rules closely mirror those
of FINRA. During 2008, FINRA embarked on an extended process of moving
rules formerly designated as ``NASD Rules'' into a consolidated FINRA
rulebook. In most cases, FINRA has renumbered these rules, and in some
cases has substantively amended them. Accordingly, BX also has
initiated a process of modifying its rulebook to ensure that BX rules
corresponding to FINRA/NASD rules continue to mirror them as closely as
practicable. In some cases, it is not possible for the rule numbers of
BX rules to mirror corresponding FINRA rules, because existing or
planned BX rules make use of those numbers. However, wherever possible,
BX plans to update its rules to reflect changes to corresponding FINRA
rules.
    This filing addresses BX IM-1002-1, which prohibits members and
associated persons from filing with BX misleading information relating
to membership or registration, and which formerly corresponded to NASD
IM-1000-1. In SR-FINRA-2009-009,\4\ FINRA redesignated that rule as
FINRA Rule 1122 and made amendments to clarify and simplify the rule.
NASD IM-1000-1 provided that the filing of membership or registration
information as a Registered Representative with FINRA which is
incomplete or inaccurate so as to be misleading, or which could in any
way tend to mislead, or the failure to correct such filing after notice
thereof, may be deemed conduct inconsistent with just and equitable
principles of trade and may be subject to disciplinary action.
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    \4\ Securities Exchange Act Release No. 59789 (April 20, 2009),
74 FR 18767 (April 24, 2009) (SR-FINRA-2009-009).
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    FINRA's rule change clarified the rule's applicability to members
and persons associated with members by specifying that ``no member or
person associated with a member'' shall file incomplete or misleading
membership or registration information. FINRA also eliminated the
reference to the filing of registration information ``as a Registered
Representative'' to clarify that the rule applies to the filing of
registration information regarding any category of registration. In
addition, FINRA deleted the reference that the prohibited conduct may
be deemed inconsistent with just and equitable principles of trade and
subject to disciplinary action as unnecessary and to better reflect the
adoption of the NASD IM as a stand-alone FINRA rule. Likewise, BX is
proposing to make changes to the text of IM-1002-1 that virtually
mirror the changes made by FINRA to NASD IM-1000-1 so that the rules
remain consistent for regulatory purposes.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with the provisions of Section 6 of the Act,\5\ in general, and with
Sections [sic] 6(b)(5) of the Act,\6\ in particular, in that the
proposal is designed to prevent fraudulent and manipulative acts and
practices, to promote just and equitable principles of trade, to foster
cooperation and coordination with persons engaged in regulating,
clearing, settling, processing information with respect to, and
facilitating transactions in securities, 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 proposed changes will conform BX IM-1002-1 to recent changes made
to a corresponding FINRA rule, to promote application of consistent
regulatory standards.
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    \5\ 15 U.S.C. 78f.
    \6\ 15 U.S.C. 78f(b)(5).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    The Exchange 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

    Because the foregoing proposed rule change does not: (i)
Significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \7\ and Rule 19b-
4(f)(6) thereunder.\8\
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    \7\ 15 U.S.C. 78s(b)(3)(A).
    \8\ 17 CFR 240.19b-4(f)(6).
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    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<EMAIL_ADDRESS>Please include
File

No. SR-BX-2009-079 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 No. SR-BX-2009-079. 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,\9\ 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 BX. 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-BX-2009-079 and should be
submitted on or before January 19, 2010.
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    \9\ The text of the proposed rule change is available on the
Commission's Web site at http://www.sec.gov.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\10\
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    \10\ 17 CFR 200.30-3(a)(12).
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Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-30599 Filed 12-24-09; 8:45 am]

BILLING CODE 8011-01-P


[Federal Register: November 25, 2009 (Volume 74, Number 226)]
[Notices]
[Page 61696-61697]
[DOCID:fr25no09-89]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

Federal Radiological Preparedness Coordinating Committee

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice of public meeting.

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SUMMARY: The Federal Radiological Preparedness Coordinating Committee
(FRPCC) is holding a public meeting on December 9, 2009 in Washington,
DC.

DATES: The meeting will take place on December 9, 2009 from 9 a.m. to
11 a.m. Send written statements and requests to make oral statements to
the contact person listed below by close of business November 30, 2009.

ADDRESSES: The meeting will be held in the large first floor conference
room in the North building of the Technology World Building Conference
Facility located at 800 K St. NW., Washington, DC 20024.

FOR FURTHER INFORMATION CONTACT: Timothy Greten, FRPCC Executive
Secretary, DHS/FEMA, 1800 South Bell Street-CC847, Mail Stop 3025,
Arlington, VA 20598-3025; telephone<PHONE_NUMBER>; fax<PHONE_NUMBER>;
or e-mail<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: The role and functions of the Federal
Radiological Preparedness Coordinating Committee (FRPCC) are described
in 44 CFR 351.10(a) and 351.11(a). The FRPCC is holding a public
meeting on December 9, 2009, from 9 a.m. to 11 a.m., in the large first
floor conference room in the North building of the Technology World
Building Conference Facility located at 800 K St. NW., Washington, DC
20024. Please note that the meeting may close early. This meeting is
open to the public, subject to the availability of space. Public
meeting participants must pre-register to be admitted to the meeting.
To pre-register, please provide your name and telephone number by close
of business on November 30, 2009, to the individual listed in the FOR
FURTHER INFORMATION CONTACT section above.
    The tentative agenda for the FRPCC meeting includes: (1)
Introductions; (2) reports from FRPCC Subcommittees; (3) old business
and new business; and (4) business from the floor. The FRPCC Chair
shall conduct the meeting in a way that will facilitate the orderly
conduct of business. Reasonable provisions will be made, if time
permits, for oral statements from the public of not more than five
minutes in length. Any member of the public who wishes to make an oral
statement at the meeting should send a written request for time by
close of business on November 30, 2009, to the individual listed in the
FOR FURTHER INFORMATION CONTACT section above. Any member of the public
who wishes to file a written statement with the FRPCC should provide
the statement by close of business on November 30, 2009, to the
individual listed in the FOR FURTHER INFORMATION CONTACT section above.

Information on Services for Individuals With Disabilities

    For information on facilities or services for individuals with
disabilities or to request special assistance at the meeting, please
write or call the individual listed in the FOR FURTHER INFORMATION
CONTACT section above as soon as possible.

    Authority: 44 CFR 351.10(a) and 351.11(a).

    Dated: November 4, 2009.
James R. Kish,
Director, Technological Hazards Division, Chair, Federal Radiological
Preparedness Coordinating Committee, National Preparedness Directorate,
Department of Homeland Security, Federal Emergency Management Agency.
[FR Doc. E9-28307 Filed 11-24-09; 8:45 am]

BILLING CODE 9110-21-P