[Federal Register Volume 78, Number 176 (Wednesday, September 11, 2013)]
[Notices]
[Pages 55766-55769]
[FR Doc No: 2013-22058]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-70327; File No. SR-Phlx-2013-85]

Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of
Filing and Immediate Effectiveness of Proposed Rule Change To Amend
Rule 640, Continuing Education for Registered Persons and Adopt a
Corresponding Fee

September 5, 2013.
    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 August 22, 2013, NASDAQ OMX PHLX LLC (``Phlx'' or ``Exchange'')
filed with the Securities and Exchange Commission (``Commission'') a
proposed rule change as described in Items I and II, below, which Items
have been prepared by the Exchange. Phlx has designated the proposed
rule change as constituting a non-controversial rule change under
Section 19(b)(3)(A)(iii) of the Act \3\ and Rule 19b-4(f)(6)
thereunder,\4\ 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\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \4\ 17 CFR 240.19b-4(f)(6).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend Rule 640, Continuing Education for
Registered Persons, as described below, and to adopt a corresponding
fee.
    The text of the proposed rule change is below; proposed new
language is italicized; proposed deletions are in brackets.
* * * * *
    Rule 640. Continuing Education for Registered Persons
    (a) Regulatory Element
    (1) Requirements--No member organization shall permit any
registered person to continue to, and no registered person shall
continue to, perform duties as a registered person, unless such person
has complied with the

continuing education requirements of paragraph (a) of this Rule.
    Each registered person shall complete the Regulatory Element of the
continuing education program on the occurrence of their second
registration anniversary date(s), and every three years thereafter or
as otherwise prescribed by the Exchange. On each occasion, the
Regulatory Element must be completed within 120 days after the person's
registration anniversary date. A person's initial registration date,
also known as the ``base date,'' shall establish the cycle of
anniversary dates for purposes of this Rule.
    Content. The content of the Regulatory Element of the program shall
be determined by the Exchange for each registration category of persons
subject to the Rule. The following Regulatory Elements administered by
FINRA shall be required:
    Persons registered solely as Proprietary Traders pursuant to Rule
613(f) must complete the S501.
    Persons registered as General Securities Representatives pursuant
to Rule 613(e) must complete the S101.
    Persons registered in a supervisory capacity pursuant to Rules 611
and 612 must complete the S201.
* * * * *
NASDAQ OMX PHLX LLC \1\ PRICING SCHEDULE
    ALL BILLING DISPUTES MUST BE SUBMITTED TO THE EXCHANGE IN WRITING
AND MUST BE ACCOMPANIED BY SUPPORTING DOCUMENTATION. ALL DISPUTES MUST
BE SUBMITTED NO LATER THAN SIXTY (60) DAYS AFTER RECEIPT OF A BILLING
INVOICE, EXCEPT FOR DISPUTES CONCERNING NASDAQ OMX PSX FEES,
PROPRIETARY DATA FEED FEES AND CO-LOCATION SERVICES FEES. AS OF JANUARY
3, 2011, THE EXCHANGE WILL CALCULATE FEES ON A TRADE DATE BASIS
* * * * *
VII. OTHER MEMBER FEES
A. OPTION TRADING FLOOR FEES

    No change.

B. PORT FEES

    No change.

C. FINRA Fees

    Continuing Education Fees [$75.00]

     The Continuing Education Fee will be assessed as to each
individual who is required to complete the Regulatory Element of the
Continuing Education Requirements pursuant to Exchange Rule 640. This
fee is paid directly to FINRA.
    $60.00 for each individual who is required to complete the
Proprietary Trader Regulatory Element (S501).
    $100.00 for each individual who is required to complete the S101 or
S201.
    FINRA, on behalf of the Exchange, will bill and collect these fees
    The following fees will be collected and retained by FINRA via the
Web CRD registration system for the registration of associated persons
of Exchange members that are not also FINRA members:
    (b)-(c) No change.
* * * * *

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 purpose of the proposed rule change is to codify in Rule 640
the specific continuing education requirements that currently apply and
to adopt a continuing education requirement for persons registered as
Proprietary Traders. The Exchange also proposes to adopt a fee for the
new continuing education program applicable to Proprietary Traders.
    The Exchange adopted the Proprietary Trader \5\ registration in
2012, working with various other exchanges and Financial Industry
Regulatory Authority (``FINRA''). At that time, the Exchange stated
that, as a result of the new registration requirements, additional
persons will become subject to the Exchange's continuing education
requirements in Rule 640. The Exchange stated that it would announce to
the membership when these new requirements will be implemented and
available for member organizations to access.\6\
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    \5\ A Proprietary Trader is a person who is engaged solely in
proprietary trading, market making or effecting transactions on
behalf of a broker-dealer account. Phlx Rule 613(f).
    \6\ See Securities Exchange Act Release No. 66840 (April 20,
2012), 77 FR 25003 (April 26, 2012) (SR-Phlx-2012-23).
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    At this time, the new continuing education program for Proprietary
Traders will soon become available and will be administered by FINRA.
The new program, the S501, is intended to address the specific
continuing education of Proprietary Traders, based on the content
outline for the Series 56 exam, which covers the main categories of
rules and regulations generally applicable to such persons.\7\ The
Continuing Education Regulatory Element is a computer-based education
program administered by FINRA on behalf of the Exchange to help ensure
that registered persons are kept current on regulatory, compliance and
trading practice matters in the industry.
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    \7\ These generally include recordkeeping and recording
requirements, types and characteristics of securities and
investments, trading practices and display execution and trading
systems. See Securities Exchange Act Release No. 66645 (March 22,
2012), 77 FR 19042 (March 29, 2012) (SR-Phlx-2012-37).
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    The Exchange proposes to amend Rule 640(a) to specify the required
Regulatory Element for each category of registered persons. Currently,
Rule 640(a) provides that no member organization shall permit any
registered person to continue to, and no registered person shall
continue to perform duties as a registered person, unless such person
has complied with the continuing education requirements of paragraph
(a).\8\ Each registered person shall complete the Regulatory Element of
the continuing education program on the occurrence of their [sic]
second registration anniversary date(s), and every three years
thereafter or as otherwise prescribed by the Exchange. On each
occasion, the Regulatory Element must be completed within 120 days
after the person's registration anniversary date. A person's initial
registration date, also known as the ``base date,'' shall establish the
cycle of anniversary dates for purposes of this

Rule. This applies to persons registered as Proprietary Traders as
well.
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    \8\ Rule 640.01 exempts most floor persons from this
requirement. Nevertheless, pursuant to Rule 625, Phlx requires
periodic mandatory training. Training topics include, but are not
limited to, training related to that person's function at the
Exchange, changes in existing automated systems or any new
technology that is utilized by the Exchange, compliance with
Exchange Rules and federal securities laws, and issues related to
conduct, health and safety on the trading floor. In addition, floor
members shall complete mandatory training programs, on at least a
semi-annual basis, that address compliance with the federal
securities laws and the Exchange's Rules in place to prevent and
deter unlawful trading by floor members.
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    The Rule further provides that the content of the Regulatory
Element of the program shall be determined by the Exchange for each
registration category of persons subject to the Rule. The Exchange now
proposes to make this a separate ``Content'' section and to make clear
which specific programs are required, including both existing programs
(S101 and S201) as well as the new Proprietary Trader continuing
education program (S501). The following Regulatory Elements
administered by FINRA shall be required:

    Persons registered solely as Proprietary Traders pursuant to
Rule 613(f) must complete the S501.
    Persons registered as General Securities Representatives
pursuant to Rule 613(e) must complete the S101.
    Persons registered in a supervisory capacity pursuant to Rules
611 and 612 must complete the S201.

    The Exchange believes that specifying the applicable Regulatory
Element in the Rule should be helpful to members and member
organizations in complying with the Rule. Only one Regulatory Element
is required. For example, members registered as supervisors are subject
to the S201 only; they do not also have to complete the Regulatory
Element applicable to their prerequisite registration, such as the S501
or the S101.\9\ This proposal does not change the registration
requirements.
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    \9\ In the event that a person is registered both as a
Proprietary Trader and a General Securities Representative, only one
Regulatory Element is required--the ``higher'' of the two, which is
the S101.
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    The Exchange also proposes to adopt a fee applicable to Proprietary
Trader Regulatory Element. Currently, the applicable fee for the
Regulatory Element (S101 and S201) is $100.\10\ The Exchange proposes
to adopt a $60.00 fee for the S501. FINRA administers these programs on
behalf of the exchanges and therefore the fees are payable directly to
FINRA.\11\ The $60 fee will only be used for the administration of the
S501 versus the S101 which utilizes the $100 fee for both development
and administration. The costs associated with the development of the
S501 are included in the examination fee.
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    \10\ The Exchange's fee schedule incorrectly states that the fee
is $75.00; the Exchange is proposing to correct this.
    \11\ The S501 was established for those registrants who have
passed the Series 56 Qualification Exam as reflected in WebCRD.
WebCRD is the central licensing and registration system for the U.S.
securities industry. The CRD system enables individuals and firms
seeking registration with multiple states and self-regulatory
organizations to do so by submitting a single form, fingerprint card
and a combined payment of fees to FINRA. Through the CRD system,
FINRA maintains the qualification, employment and disciplinary
histories of registered associated persons of broker-dealers.
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2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section
6(b) of the Act \12\ in general, and furthers the objectives of: (1)
Section 6(c)(3)(B) of the Act,\13\ pursuant to which a national
securities exchange prescribes standards of training, experience and
competence for members and their associated persons; and (2) Section
6(b)(5) of the Act,\14\ in that it is designed, among other things, to
prevent fraudulent and manipulative acts and practices, to promote just
and equitable principles of trade, 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, by
requiring registered persons to complete the applicable continuing
education program. The Exchange believes that a strong continuing
education program should bolster the integrity of the Exchange by
helping to ensure that all associated persons engaged in a securities
business are, and will continue to be, properly trained and qualified
to perform their functions. The Exchange does not believe that the
proposal is unfairly discriminatory with respect to persons registered
as a General Securities Representative who function in their current
job as a Proprietary Trader, even though these persons are subject to
the more stringent S101 rather than the S501; such persons are
registered and qualified (Series 7) in a ``higher'' capacity and are
therefore qualified to function in a capacity other than a Proprietary
Trader, whether they choose to or not. Accordingly, requiring the S101
for such persons is appropriate and facilitates them being able to
maintain their ``higher'' registration. The Exchange also believes that
permitting General Securities Representatives functioning as
Proprietary Traders to be [sic] complete the S501 would be confusing
and difficult to monitor.
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    \12\ 15 U.S.C. 78f(b).
    \13\ 15 U.S.C. 78(c)(3)(B).
    \14\ 15 U.S.C. 78f(b)(5).
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    The Exchange also believes that the proposal furthers the
objectives of Section 6(b)(4) of the Act,\15\ in that it provides for
an equitable allocation of reasonable fees and other charges among
Exchange members and other persons using its facilities. Specifically,
the new $60 fee is applicable to persons registered as a Proprietary
Trader, which is a limited registration under Exchange rules.
Accordingly, the proposed S501 Regulatory Element specifically
correlates to the rules and obligations applicable to Proprietary
Traders, which are fewer than those applicable to persons registered in
other categories. Thus, the S501 is a more limited form of continuing
education. Therefore, the Exchange believes that the lower fee ($60
rather than $100) is reasonable.\16\ The proposed fee is equitable,
because it applies equally to all persons registered solely as
Proprietary Traders.
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    \15\ 15 U.S.C. 78f(b)(4).
    \16\ The Commission notes that in the Purpose section of this
filing, Phlx accurately states that the $100 fee for the S101 covers
the costs associated with both development and administration of the
continuing education program, while the $60 fee for the S501 only
covers the cost of administration.
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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
impose any burden on competition not necessary or appropriate in
furtherance of the purposes of the Act. Because the Regulatory Element
is administered by FINRA, the fees are paid to FINRA, which does not
raise competition issues. All of the exchanges that recognize the
Proprietary Trader registration category are expected to adopt the same
continuing education fee. All Proprietary Traders, regardless of where
they are registered, will be subject to same continuing education
requirements and the same continuing education fees. Thus, the proposal
treats similarly situated persons in the same way.

C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others

    No written comments were either solicited or 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)(ii) of the Act \17\ and
subparagraph (f)(6) of Rule 19b-4 thereunder.\18\
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    \17\ 15 U.S.C. 78s(b)(3)(a)(ii).
    \18\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change at
least five business days prior to the date of filing of the proposed
rule change, or such shorter time as designated by the Commission.
The Exchange has satisfied this requirement.

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    The Exchange has requested that the Commission waive the 30-day
operative delay. The proposed rule change: Specifies the continuing
education requirements that currently apply to registered persons;
adopts a continuing education requirement, the S501, and a related fee
for persons registered as Proprietary Traders; and corrects the
Exchange's fee schedule to reflect the proper fee, $100 rather than
$75, for the S101 and S201. Waiver of the operative delay would allow
the Exchange to clarify and correct its rules and implement the
proposed rule change at once, enabling its Members to comply with their
continuing education requirements in a timely manner, and thus is
consistent with the protection of investors and the public interest.
Therefore, the Commission designates the proposal operative upon
filing.\19\
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    \19\ For purposes only of waiving the 30-day operative delay,
the Commission has considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
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    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is: (i)
Necessary or appropriate in the public interest; (ii) for the
protection of investors; or (iii) otherwise in furtherance of the
purposes of the Act. If the Commission takes such action, the
Commission will institute proceedings to determine whether the proposed
rule change should be approved or disapproved.

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 email to<EMAIL_ADDRESS>Please include
File Number SR-Phlx-2013-85 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-Phlx-2013-85. This file
number should be included on the subject line if email 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 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal office of the Exchange. 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-Phlx-2013-85 and
should be submitted on or before October 2, 2013.
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    \20\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\20\
Kevin M O'Neill,
Deputy Secretary.
[FR Doc. 2013-22058 Filed 9-10-13; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 87, Number 26 (Tuesday, February 8, 2022)]
[Notices]
[Pages 7187-7190]
[FR Doc No: 2022-02600]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2015-N-3815]

Agency Information Collection Activities; Proposed Collection;
Comment Request; Establishment Registration and Device Listing for
Manufacturers and Importers of Devices

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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SUMMARY: The Food and Drug Administration (FDA, Agency, or we) is
announcing an opportunity for public comment on the proposed collection
of certain information by the Agency. Under the Paperwork Reduction Act
of 1995 (PRA), Federal Agencies are required to publish notice in the
Federal Register concerning each proposed collection of information,
including each proposed extension of an existing collection of
information, and to allow 60 days for public comment in response to the
notice. This notice solicits comments on information collection
associated with establishment registration and device listing for
manufacturers and importers of devices.

DATES: Submit either electronic or written comments on the collection
of information by April 11, 2022.

ADDRESSES: You may submit comments as follows. Please note that late,
untimely filed comments will not be considered. Electronic comments
must be submitted on or before April 11, 2022. The https://www.regulations.gov electronic filing system will accept comments until
11:59 p.m. Eastern Time at the end of April 11, 2022. Comments received
by mail/hand delivery/courier (for written/paper submissions) will be
considered timely if they are postmarked or the delivery service
acceptance receipt is on or before that date.

Electronic Submissions

    Submit electronic comments in the following way:
     Federal eRulemaking Portal: https://www.regulations.gov.
Follow the instructions for submitting comments.

Comments submitted electronically, including attachments, to https://www.regulations.gov will be posted to the docket unchanged. Because
your comment will be made public, you are solely responsible for
ensuring that your comment does not include any confidential
information that you or a third party may not wish to be posted, such
as medical information, your or anyone else's Social Security number,
or confidential business information, such as a manufacturing process.
Please note that if you include your name, contact information, or
other information that identifies you in the body of your comments,
that information will be posted on https://www.regulations.gov.
     If you want to submit a comment with confidential
information that you do not wish to be made available to the public,
submit the comment as a written/paper submission and in the manner
detailed (see ``Written/Paper Submissions'' and ``Instructions'').

Written/Paper Submissions

    Submit written/paper submissions as follows:
     Mail/Hand Delivery/Courier (for written/paper
submissions): Dockets Management Staff (HFA-305), Food and Drug
Administration, 5630 Fishers Lane, Rm. 1061, Rockville, MD 20852.
     For written/paper comments submitted to the Dockets
Management Staff, FDA will post your comment, as well as any
attachments, except for information submitted, marked and identified,
as confidential, if submitted as detailed in ``Instructions.''
    Instructions: All submissions received must include the Docket No.
FDA-2015-N-3815 for ``Agency Information Collection Activities;
Proposed Collection; Comment Request; Establishment Registration and
Device Listing for Manufacturers and Importers of Devices.'' Received
comments, those filed in a timely manner (see ADDRESSES), will be
placed in the docket and, except for those submitted as ``Confidential
Submissions,'' publicly viewable at https://www.regulations.gov or at
the Dockets Management Staff between 9 a.m. and 4 p.m., Monday through
Friday,<PHONE_NUMBER>.
     Confidential Submissions--To submit a comment with
confidential information that you do not wish to be made publicly
available, submit your comments only as a written/paper submission. You
should submit two copies total. One copy will include the information
you claim to be confidential with a heading or cover note that states
``THIS DOCUMENT CONTAINS CONFIDENTIAL INFORMATION.'' The Agency will
review this copy, including the claimed confidential information, in
its consideration of comments. The second copy, which will have the
claimed confidential information redacted/blacked out, will be
available for public viewing and posted on https://www.regulations.gov.
Submit both copies to the Dockets Management Staff. If you do not wish
your name and contact information to be made publicly available, you
can provide this information on the cover sheet and not in the body of
your comments and you must identify this information as
``confidential.'' Any information marked as ``confidential'' will not
be disclosed except in accordance with 21 CFR 10.20 and other
applicable disclosure law. For more information about FDA's posting of
comments to public dockets, see 80 FR 56469, September 18, 2015, or
access the information at: https://www.govinfo.gov/content/pkg/FR-2015-09-18/pdf/2015-23389.pdf.
    Docket: For access to the docket to read background documents or
the electronic and written/paper comments received, go to https://www.regulations.gov and insert the docket number, found in brackets in
the heading of this document, into the ``Search'' box and follow the
prompts and/or go to the Dockets Management Staff, 5630 Fishers Lane,
Rm. 1061, Rockville, MD 20852,<PHONE_NUMBER>.

FOR FURTHER INFORMATION CONTACT: Amber Sanford, Office of Operations,
Food and Drug Administration, Three White Flint North, 10A-12M, 11601
Landsdown St, North Bethesda, MD 20852,<PHONE_NUMBER>,
[email protected].

SUPPLEMENTARY INFORMATION: Under the PRA (44 U.S.C. 3501-3521), Federal
Agencies must obtain approval from the Office of Management and Budget
(OMB) for each collection of information they conduct or sponsor.
``Collection of information'' is defined in 44 U.S.C. 3502(3) and 5 CFR
1320.3(c) and includes Agency requests or requirements that members of
the public submit reports, keep records, or provide information to a
third party. Section 3506(c)(2)(A) of the PRA (44 U.S.C. 3506(c)(2)(A))
requires Federal Agencies to provide a 60-day notice in the Federal
Register concerning each proposed collection of information, including
each proposed extension of an existing collection of information,
before submitting the collection to OMB for approval. To comply with
this requirement, FDA is publishing notice of the proposed collection
of information set forth in this document.
    With respect to the following collection of information, FDA
invites comments on these topics: (1) Whether the proposed collection
of information is necessary for the proper performance of FDA's
functions, including whether the information will have practical
utility; (2) the accuracy of FDA's estimate of the burden of the
proposed collection of information, including the validity of the
methodology and assumptions used; (3) ways to enhance the quality,
utility, and clarity of the information to be collected; and (4) ways
to minimize the burden of the collection of information on respondents,
including through the use of automated collection techniques, when
appropriate, and other forms of information technology.

Establishment Registration and Device Listing for Manufacturers and
Importers of Devices--21 CFR Part 807, Subparts A Through D

OMB Control Number 0910-0625--Extension

    Under section 510 of the Federal Food, Drug, and Cosmetic Act (FD&C
Act) (21 U.S.C. 360) and part 807, subparts A through D (21 CFR part
807, subparts A through D), medical device establishment owners and
operators are required to electronically submit establishment
registration and device listing information.
    Complete and accurate registration and listing information is
necessary to accomplish a number of statutory and regulatory
objectives, such as: (1) Identification of establishments producing
marketed medical devices, (2) identification of establishments
producing a specific device when that device is in short supply or is
needed for national emergency, (3) facilitation of recalls for devices
marketed by owners and operators of device establishments, (4)
identification and cataloging of marketed devices, (5) administering
postmarketing surveillance programs for devices, (6) identification of
devices marketed in violation of the law, (7) identification and
control of devices imported into the country from foreign
establishments, and (8) scheduling and planning inspections of
registered establishments under section 704 of the FD&C Act (21 U.S.C.
374).
    Respondents to this information collection are owners or operators
of establishments that engage in the manufacturing, preparation,
propagation, compounding, or processing of a device or devices, who
must register their establishments and submit listing information for
each of their devices in commercial distribution. Notwithstanding
certain

exceptions, foreign device establishments that manufacture, prepare,
propagate, compound, or process a device that is imported or offered
for import into the United States must also comply with the
registration and listing requirements. The number of respondents is
based on data from the FDA Unified Registration and Listing System
(FURLS). Burden estimates are based on recent experience with the
medical device registration and listing program, electronic system
operating experience, and previous data estimates.
    FDA estimates the burden of this collection of information as
follows:

                                 Table 1--Estimated Annual Reporting Burden \1\
----------------------------------------------------------------------------------------------------------------
                                                      Annual
         21 CFR section              Number of     frequency per   Total annual      Hours per      Total hours
                                    respondents      response        responses       response           \2\
----------------------------------------------------------------------------------------------------------------
807.20(a)(5) \3\ Initial                   4,125               1           4,125            1.75           7,219
 submittal of manufacturer
 information by initial
 importers......................
807.20(a)(5) \4\ Annual                    4,125               1           4,125             0.1             413
 submittal of manufacturer
 information by initial
 importers......................
807.21(a) \3\ Creation of                  5,355               1           5,355             0.5           2,678
 electronic system account......
807.21(b) \4\ Annual request for               1               1               1               1               1
 waiver from electronic
 registration & listing.........
807.21(b) \3\ Initial request                  1               1               1               1               1
 for waiver from electronic
 registration & listing.........
807.22(a) \3\ Initial                      5,355               1           5,355               1           5,355
 registration & listing.........
807.22(b)(1) \4\ Annual                   28,496               1          28,496             0.5          14,248
 registration...................
807.22(b)(2) \4\ Other updates             2,671               1           2,671             0.5           1,336
 of registration................
807.22(b)(3) \4\ Annual update            26,871               1          26,871             0.5          13,436
 of listing information.........
807.22(b)(4) Changes to listing
 information (outside of annual
 listing requirement period)
    Voluntary reporting of                 4,080               1           4,080            0.25           1,020
     transfer of 510(k)
     clearance (outside of
     annual listing requirement
     period)....................
    Submission of 510(k)                   2,033               1           2,033               4           8,132
     transfer documentation when
     more than one party lists
     the same 510(k)............
807.26(e) \4\ Labeling &                       9               1               9               1               9
 advertisement submitted at FDA
 request........................
807.34(a) \3\ Initial                          1               1               1               1               1
 registration & listing when
 electronic filing waiver
 granted........................
807.34(a) \4\ Annual                           1               1               1               1               1
 registration & listing when
 electronic filing waiver
 granted........................
807.40(b)(3) \4\ Annual update             6,101               1           6,101             0.5           3,051
 of U.S. agent information......
807.40(b)(2) \4\ U.S. agent                1,535               1           1,535            0.25             384
 responses to FDA requests for
 information....................
807.41(a) \4\ Identification by           14,017               1          14,017             0.5           7,009
 foreign establishments of
 importers, defined in 21 CFR
 807.3, of the establishment's
 devices........................
807.41(b) \4\ Identification of           14,017               1          14,017             0.5           7,009
 other importers (defined in 21
 CFR 807.3(x) and (y)) that
 facilitate import by foreign
 establishments.................
                                 -------------------------------------------------------------------------------
    Total one-time burden.......  ..............  ..............  ..............  ..............  ..............
                                 -------------------------------------------------------------------------------
        Total recurring burden..  ..............  ..............  ..............  ..............  ..............
----------------------------------------------------------------------------------------------------------------
\1\ There are no capital costs or operating and maintenance costs associated with this collection of
  information.
\2\ Totals are rounded to the nearest whole number.
\3\ One-Time Burden--Firm only provides initially.
\4\ Recurring Burden--Firm is required to review annually.

                               Table 2--Estimated Annual Recordkeeping Burden \1\
----------------------------------------------------------------------------------------------------------------
                                                      Annual
         21 CFR section              Number of     frequency per   Total annual      Hours per      Total hours
                                    respondents    recordkeeper       records         record
----------------------------------------------------------------------------------------------------------------
807.25(d) \2\ Labeling &                  17,032               4          68,128              .5          34,064
 advertisements available for
 review.........................
807.26 \2\ List of officers,              33,851               1          33,851             .25           8,463
 directors & partners...........
                                 -------------------------------------------------------------------------------
    Total.......................  ..............  ..............  ..............  ..............          42,527
----------------------------------------------------------------------------------------------------------------
\1\ There are no capital costs or operating and maintenance costs associated with this collection of
  information.
\2\ Recurring burden--Firm is required to keep records.

    The estimates for creation of new user accounts under Sec.
807.21(a) are based on the recent number of owners or operators. An
owner or operator only creates an account one time when they register
for the first time (initial registration). Once the account is created,
the owner or operator uses the account as long as the establishment is

registered. If an owner or operator changes, the new owner or operator
creates a new owner or operator account and transfers the ownership of
the establishment to their owner or operator account. Once they create
an owner or operator account, they use the account for as long as the
company is registered. Under Sec.  807.22(b)(4), changes to listing
information may be made at times outside of the annual listing
requirement period, such as when a change is made to a previously
listed device.
    The draft guidance document entitled ``Transfer of a Premarket
Notification (510(k)) Clearance--Questions and Answers'' (December
2014), which contained instructions for the proposed voluntary
information collection, has recently been withdrawn. While notification
of transfer of ownership information is not currently required, our
medical device registration and listing website \1\ communicates
procedures for notifying FDA of the transfer of a premarket
notification (510(k)) clearance from one person to another. The
notification is used to ensure public information in FDA's databases
about the current 510(k) holder for a specific device(s) is accurate
and up to date. Although submission of information regarding the
transfer of a 510(k) clearance is not required under the regulations,
we regularly receive such notifications from respondents.
---------------------------------------------------------------------------

    \1\ https://www.fda.gov/medical-devices/how-study-and-market-your-device/device-registration-and-listing.
---------------------------------------------------------------------------

    FDA estimates that annually 78 percent of 510(k)s may be initially
listed or updated outside of the annual registration requirement (about
4,080 510(k)s per year). FDA estimates that it will take approximately
15 minutes for each listing, for a total reporting burden of 1,020
hours.
    FDA estimates it will have 2,033 instances of more than one party
claiming to be a 510(k) holder for a specific device as part of annual
registration and listing. FDA reached this estimate by identifying the
average number of unique 510(k) device listings entered in FURLS
between fiscal years 2017 and 2019 that conflict with a listing already
entered by another party (5,304), dividing that number by the number of
years (3) and multiplying by the average number of parties claiming to
be the 510(k) holder when there is a conflict in the current FURLS
database (2.3), then dividing the result by 2 (because only one company
per listing will submit the appropriate documentation to show that they
are the current 510(k) holder).
    The registration and listing website identifies potential
documentation a party could submit to FDA to establish the transfer of
a 510(k) clearance to a new owner or operator. Based on the amount of
time to locate the information, copy it, and submit a copy, FDA
estimates it will take respondents approximately 4 hours to establish
the transfer of a 510(k) clearance.
    The estimate for Sec.  807.25(d) in table 2 of this document
(recordkeeping burden) reflects the requirement that owners or
operators maintain a historical file containing the labeling and
advertisements in use. The estimate for Sec.  807.26 reflects the
requirement that owners or operators keep a list of officers,
directors, and partners for each establishment. Owners or operators
will need to provide this information only when requested by FDA.
However, it is assumed that some effort will need to be expended to
keep such records current.
    The recurring burden for the data collection under Sec.  807.41
(import-related information provided by foreign companies exporting to
the United States) was estimated based on data from previous years.
Foreign companies identify one importer and one person who imports or
offers for import with readily available contact information at the
time of registration. After completing their initial registration, they
are required to review the importer information annually. When they
review the importer information annually, they simply verify the
importer information is accurate. If it is and no changes are needed,
the foreign establishment's official correspondent checks the
certification and submits the annual registration. If they need to make
changes to the importer information, they can do so at any time and use
a spreadsheet to update more than one importer at a time to their
registration. The use of the spreadsheet reduces the burden to the
official correspondent of the foreign establishment.
    Our estimated burden for the information collection reflects an
overall increase of 10,880 hours and a corresponding increase of 28,430
responses/records. We attribute this adjustment to an increase in the
number of submissions we received over the last few years.
Additionally, we have included non-substantive changes, incorporating
the burden previously approved under OMB control number 0910-0852 into
OMB control number 0910-0625, as approved by OMB in May 2021.

    Dated: February 2, 2022.
Lauren K. Roth,
Associate Commissioner for Policy.
[FR Doc. 2022-02600 Filed 2-7-22; 8:45 am]
BILLING CODE 4164-01-P


  From<EMAIL_ADDRESS>
  Sent: 08/10/2007 10:33 PM

  To: Enesta Jones

  Subject: Ozone

Dear Mr. Jones,

    I write today sitting in front of my computer, trying to get over an
episode of severe asthma.  My doctor has ordered me to take large doses
of prednisone because my other medications (flovent, advair, singulair,
etc.) are not working.  I write today from a city that has been ranked
as the 6th most challenging place to live with asthma -- Grand Rapids,
Michigan.  Even though the population of metropolitan Grand Rapids is
just half a million, on summer days, our city is blanketed in a layer of
smog.  Children, the elderly, the poor, and people of color are
suffering the most from our poor air quality.  According to county
comparisons from AirCompare on the EPA's website, Grand Rapids air is
worse than that of Minneapolis, St. Paul, New Orleans, Miami, Portland,
San Francisco, Santa Fe, Chicago, Gary, San Antonio, Austin, Milwaukee,
Cleveland, Cincinnati, and Memphis.

Who is sending us much of this polution?  Answer: Chicago, Gary, and
Milwaukee.  Isn't it ironic then that our air quality is worse than
theirs?  Pollution knows no boundaries.  If you have a heart, please
strengthen our nation's ozone standards.  Allow us to once again breath
clean air.

Sincerely,

Dan


[Federal Register Volume 88, Number 27 (Thursday, February 9, 2023)]
[Notices]
[Pages 8505-8506]
[FR Doc No: 2023-02800]

-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

[Investment Company Act Release No. 34824; File No. 812-15309]

Kennedy Lewis Management LP, et al.

February 6, 2023.
AGENCY:  Securities and Exchange Commission (``Commission'' or
``SEC'').

ACTION: Notice.

-----------------------------------------------------------------------

    Notice of application for an order under sections 17(d) and 57(i)
of the Investment Company Act of 1940 (the ``Act'') and rule 17d-1
under the Act to permit certain joint transactions otherwise prohibited
by sections 17(d) and 57(a)(4) of the Act and rule 17d-1 under the Act.

Summary of Application:  Applicants request an order to permit certain

business development companies and closed-end management investment
companies to co-invest in portfolio companies with each other and with
certain affiliated investment entities.

Applicants:  Kennedy Lewis Management LP, Kennedy Lewis Capital
Company, Kennedy Lewis Capital Holdings LLC, Kennedy Lewis Capital
Partners Master Fund II LP, and Kennedy Lewis Capital Partners Master
Fund III LP.

Filing Dates:  The application was filed on February 16, 2022, and
amended on October 27, 2022 and December 30, 2022.

Hearing or Notification of Hearing:  An order granting the requested
relief will be issued unless the Commission orders a hearing.
Interested persons may request a hearing on any application by emailing
the Commission's Secretary at [email protected] and serving the
Applicants with a copy of the request by email, if an email address is
listed for the relevant Applicant below, or personally or by mail, if a
physical address is listed for the relevant Applicant below. Hearing
requests should be received by the Commission by 5:30 p.m. on March 3,
2023, and should be accompanied by proof of service on the Applicants,
in the form of an affidavit or, for lawyers, a certificate of service.
Pursuant to rule 0-5 under the Act, hearing requests should state the
nature of the writer's interest, any facts bearing upon the
desirability of a hearing on the matter, the reason for the request,
and the issues contested. Persons who wish to be notified of a hearing
may request notification by emailing the Commission's Secretary at
[email protected].

ADDRESSES: The Commission: [email protected]. Applicants:
[email protected].

FOR FURTHER INFORMATION CONTACT:  Jill Ehrlich, Senior Counsel, or Lisa
Reid Ragen, Branch Chief, at<PHONE_NUMBER> (Division of Investment
Management, Chief Counsel's Office).

SUPPLEMENTARY INFORMATION:  For Applicants' representations, legal
analysis, and conditions, please refer to Applicants' second amended
and restated application, dated December 30, 2022, which may be
obtained via the Commission's website by searching for the file number
at the top of this document, or for an Applicant using the Company name
search field, on the SEC's EDGAR system. The SEC's EDGAR system may be
searched at, http://www.sec.gov/edgar/searchedgar/legacy/companysearch.html. You may also call the SEC's Public Reference Room
at<PHONE_NUMBER>.

    For the Commission, by the Division of Investment Management,
under delegated authority.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023-02800 Filed 2-8-23; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: October 12, 2006 (Volume 71, Number 197)]
[Notices]
[Page 60204-60206]
[DOCID:fr12oc06-96]

-----------------------------------------------------------------------

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-54559; File No. SR-NYSE-2006-63]

Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change
Relating to Rule 19 (Locking or Crossing Protected Quotations in NMS
Stocks)

October 2, 2006.
    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 September 28, 2006, the New York Stock Exchange LLC (``NYSE'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I and
II below, which Items have been prepared by the Exchange. The NYSE has
filed the proposed rule change, pursuant to Section 19(b)(3)(A)(iii) of
the Act \3\ and Rule 19b-4(f)(6) thereunder,\4\ which renders the
proposal effective upon filing with the Commission.\5\ The Commission
is publishing this notice to solicit comments on the proposed rule
change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \4\ 17 CFR 240.19b-4(f)(6).
    \5\ The Exchange requested the Commission to waive the five-day
pre-filing notice requirement and the 30-day operative delay, as
specified in Rule 19b(f)(6)(iii). 17 CFR 240.19b-4(f)(6)(iii).
---------------------------------------------------------------------------

I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange is proposing to adopt Exchange Rule 19 in order to
require its members to reasonably avoid displaying quotations that lock
or cross any protected quotations in a Regulation NMS (``NMS'') stock
or any quotation, protected or not in an NMS stock that is disseminated
pursuant to an effective national market system plan.
    The text of the proposed rule change is below. Proposed new
language is in italics.

Rule 19.

Locking or Crossing Protected Quotations in NMS Stocks.

    (a) Definitions. For purposes of this Rule, the following
definitions shall apply:
    (1) The terms automated quotation, effective national market system
plan, intermarket sweep order, manual quotation, NMS stock, protected
quotation, regular trading hours, and trading center shall have the
meanings set forth in Rule 600(b) of Regulation NMS under the
Securities Exchange Act of 1934.
    (2) The term crossing quotation shall mean the display of a bid for
an NMS stock during regular trading hours at a price that is higher
than the price of an offer for such NMS stock previously disseminated
pursuant to an effective national market system plan, or the display of
an offer for an NMS stock during regular trading hours at a price that
is lower than the price of a bid for such NMS stock previously
disseminated pursuant to an effective national market system plan.
    (3) The term locking quotation shall mean the display of a bid for
an NMS stock during regular trading hours at a price that equals the
price of an offer for such NMS stock previously disseminated pursuant
to an effective national market system plan, or the display of an offer
for an NMS stock during regular trading hours at a price that equals
the price of a bid for such NMS stock previously disseminated pursuant
to an effective national market system plan.

    (b) Prohibition. Except for quotations that fall within the
provisions of paragraph (d) of this Rule, members of the Exchange shall
reasonably avoid displaying, and shall not engage in a pattern or
practice of displaying, any quotations that lock or cross a protected
quotation, and any manual quotations that lock or cross a quotation
previously disseminated pursuant to an effective national market system
plan.
    (c) Manual quotations. If a member of the Exchange displays a
manual quotation that locks or crosses a quotation previously
disseminated pursuant to an effective national market system plan, such
member of the Exchange shall promptly either withdraw the manual
quotation or route an intermarket sweep order to execute against the
full displayed size of the locked or crossed quotation.
    (d) Exceptions.
    (1) The locking or crossing quotation was displayed at a time when
the trading center displaying the locked or crossed quotation was
experiencing a failure, material delay, or malfunction of its systems
or equipment.
    (2) The locking or crossing quotation was displayed at a time when
a protected bid was higher than a protected offer in the NMS stock.
    (3) The locking or crossing quotation was an automated quotation,
and the member of the Exchange displaying such automated quotation
simultaneously routed an intermarket sweep order to execute against the
full displayed size of any locked or crossed protected quotation.
    (4) The locking or crossing quotation was a manual quotation that
locked or crossed another manual quotation, and the member of the
Exchange displaying the locking or crossing manual quotation
simultaneously routed an intermarket sweep order to execute against the
full displayed size of the locked or crossed manual quotation.
* * * * *

II. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

    In its filing with the Commission, NYSE 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 NYSE 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 the
Statutory Basis for, the Proposed Rule Change

1. Purpose
    The Exchange seeks to amend its rules to include Rule 19 in order
to comply with its obligation to establish, maintain and enforce
written rules that require NYSE members to reasonably avoid displaying
quotations that lock or cross any protected quotations in an NMS stock
or any quotation, protected or not in an NMS stock that is disseminated
pursuant to an effective national market system plan.\6\
---------------------------------------------------------------------------

    \6\ See, 17 CFR 242.610(d)(1).
---------------------------------------------------------------------------

    Generally, the proposed rule provides that members of the Exchange
shall not display any quotations that lock or cross a protected
quotation unless an exception applies. Paragraph (d) sets forth the
four exceptions under the rule. Pursuant to the rule, a locking or
crossing quotation does not violate the prohibition when: (i) The
trading center displaying the locked or crossed quotation is
experiencing system malfunction; (ii) the protected bid was higher than
the protected offer; (iii) the locking or crossing quotation was an
automated quotation and the member simultaneously routed an intermarket
sweep order to execute against the full displayed size of any locked or
crossed quotation; or (iv) a manual quotation locks and crosses another
manual quotation and the member that caused the lock or cross
simultaneously routed an intermarket sweep order to execute against the
full displayed size of the locked or crossed manual quotation.
    Exchange Rule 19 addresses intentional locks or crosses because it
is understood that inadvertent locks or crosses will occur. It does not
specify how market centers should reconcile locks or crosses between
two automated quotations. The Commission's interpretation of the rule
suggests that the market centers should continue trading and natural
market forces will reconcile the locks or crosses. However, if a manual
quotation locks or crosses a previously disseminated automated
quotation to a national market system plan, the member that
disseminated the manual quotation is required pursuant to paragraph (c)
of the rule to, ``* * * promptly either withdraw the manual quotation
or route an intermarket sweep order to execute against the full
displayed size of the locked or crossed quotation.''
    In addition to the proposal of Rule 19, it should be noted that the
Exchange's technology will automatically route an intermarket sweep
order to execute against the full displayed size of any participating
market center that would be locked or crossed by an Exchange quotation
prior to quoting.
2. Statutory Basis P>The NYSE believes the proposed rule change is
consistent with Section 6(b) of the Act \7\ in general, and furthers
the objectives of Section 6(b)(5) of the Act,\8\ in particular, in that
it is designed to promote just and equitable principles of trade, 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 NYSE believes that the proposed
rule change is consistent with these objectives in that it enables the
Exchange to meets its obligations pursuant to Regulation NMS, which
serves to modernize and strengthen the national market system.
---------------------------------------------------------------------------

    \7\ 15 U.S.C. 78f(b).
    \8\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

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

    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 foregoing rule change has become effective pursuant to Section
19(b)(3)(A) of the Act \9\ and Rule 19b-4(f)(6) \10\ thereunder because
the proposed rule change: (i) does not significantly affect the
protection of investors or the public interest; (ii) does not impose
any significant burden on competition; and (iii) does not become
operative for 30 days from the date of the filing, or such shorter time
as the Commission may designate if consistent with the protection of
investors and the public interest pursuant to Section 19(b)(3)(A)(iii)
of the Act \11\ and Rule 19b-4(f)(6) thereunder.\12\
---------------------------------------------------------------------------

    \9\ 15 U.S.C. 78s(b)(3)(A).
    \10\ 17 CFR 240.19b-4(f)(6).
    \11\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \12\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

    NYSE has requested that the Commission waive both the five-day pre-
filing requirement and the 30-day

delayed operative delay.\13\ The Commission is exercising its authority
to waive the five-day pre-filing notice requirement and believes that
the waiver of the 30-day operative delay is consistent with the
protection of investors and the public interest. Waiver of the five-day
pre-filing and 30-day operative periods will allow NYSE to adopt its
uniform locking and crossing rule for NMS stocks similar to those
adopted by other self-regulatory organizations and approved by the
Commission.\14\ Accordingly, the Commission designates the proposal to
be effective and operative upon filing with the Commission.\15\
---------------------------------------------------------------------------

    \13\ 17 CFR 240.19b-4(f)(6)(iii).
    \14\ See Securities Exchange Act Release No. 54391 (August 31,
2006), 71 FR 52836 (September 7, 2006) (File No. SR-NSX-2006-08).
    \15\ For purposes only of waiving the 30-day operative delay,
the Commission has considered the proposed rule's impact on
efficiency, competition, and capital formation. 15 U.S.C. 78c(f).
---------------------------------------------------------------------------

    At any time within sixty (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.\16\
---------------------------------------------------------------------------

    \16\ See Section 19(b)(3)(C) of the Act, 15 U.S.C. 78s(b)(3)(C).
---------------------------------------------------------------------------

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 Number SR-NYSE-2006-63 on the subject line.

Paper Comments

     Send paper comments in triplicate to Nancy M. Morris,
Secretary, Securities and Exchange Commission, 100 F Street, NE.,
Washington, DC 20549-1090.

All submissions should refer to File Number SR-NYSE-2006-63. 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 Section, 100 F Street,
NE., Washington, DC 20549. Copies of such filing also will be available
for inspection and copying at the principal office of the NYSE. 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-NYSE-2006-63 and should be
submitted on or before November 2, 2006.

    For the Commission by the Division of Market Regulation,
pursuant to delegated authority.\17\
---------------------------------------------------------------------------

    \17\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Nancy M. Morris,
Secretary.
[FR Doc. E6-16846 Filed 10-11-06; 8:45 am]

BILLING CODE 8011-01-P