NOTICES: Financial Industry Regulatory Authority, Inc.,
Published: 2008-11-19
November 13, 2008.
Correction
Footnote 6 is revised to read:
In Amendment No. 2, FINRA clarified the implementation date for this proposed rule change. The Commission
[[Page 69701]]
is not publishing the amendment for comment.
Section IV.C is revised to read:
In its response to comments, FINRA stated that it intended to
implement the proposed
NOTICES: International Securities Exchange, LLC,
Published: 2008-11-19
November 10, 2008.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b4 thereunder,\2\ notice is hereby given
that on November 6, 2008, the International Securities Exchange, LLC
(``Exchange'' or ``ISE'') filed with the Securities and Exchange
Commission (the ``Commission'') the proposed rule
NOTICES: National Stock Exchange, Inc.,
Published: 2008-11-19
November 13, 2008.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b4 thereunder,\2\ notice is hereby given that
on November 5, 2008, National Stock Exchange, Inc. (``NSX'' or the
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in
NOTICES: New York Stock Exchange LLC,
Published: 2008-11-19
November 13, 2008.
Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b4 thereunder,\3\ notice is hereby
given that, on November 6, 2008, New York Stock Exchange LLC (``NYSE''
or the ``Exchange'') filed with the Securities and Exchange Commission
(the ``Commission'') the proposed rule change as
NOTICES: New York Stock Exchange LLC,
Published: 2008-11-19
November 10, 2008.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b4 thereunder,\2\ notice is hereby given that
on October 31, 2008, New York Stock Exchange LLC (``NYSE'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in
NOTICES: New York Stock Exchange LLC,
Published: 2008-11-19
November 12, 2008.
I. Introduction
On October 1, 2008, the New York Stock Exchange LLC (``NYSE'' or
``Exchange''), 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 19b4 thereunder,\2\ a
proposed rule change amending Section 102.01C of
NOTICES: New York Stock Exchange LLC,
Published: 2008-11-19
November 12, 2008.
I. Introduction
On October 1, 2008, the New York Stock Exchange LLC (``NYSE'' or
``Exchange''), 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 19b4 thereunder,\2\ a
proposed rule change amending Section 102.01C of
NOTICES: NYSE Alternext US LLC,
Published: 2008-11-19
November 12, 2008.
Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b4 thereunder,\3\ notice is hereby
given that on November 7, 2008, NYSE Alternext US LLC (``NYSE
Alternext'' or the ``Exchange'') filed with the Securities and Exchange
Commission the proposed rule changes as described in
RULES: Delegation of Authority to the Director of the Office of Compliance Inspections and Examinations and the Secretary of the Commission,
Published: 2008-11-19
The Securities and Exchange Commission (``Commission'') is
amending Rules 3018 \1\ and 307 \2\ to delegate to the Director of
the Office of Compliance Inspections and Examinations (``OCIE'') and
the Secretary of the Commission, respectively, functions currently
delegated to the Associate Executive Director of the Office of Filings
and Information
NOTICES: Agency Information Collection Activities; Proposals, Submissions, and Approvals,
Published: 2008-11-19
Upon Written Request, Copies Available From: U.S. Securities and
Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension:
Rule 9b1; OMB Control No. 32350480; SEC File No. 270429.
Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.) the Securities and
NOTICES: Meetings; Sunshine Act,
Published: 2008-11-19
Notice is hereby given, pursuant to the provisions of the
Government in the Sunshine Act, Public Law 94409, that the Securities
and Exchange Commission will hold its second Roundtable on Markto
Market Accounting on Friday, November 21, 2008 beginning at 9:30 a.m.
The Roundtable will take place in the Auditorium of the
Commission's
NOTICES: American Stock Exchange LLC,
Published: 2008-11-19
November 10, 2008.
On June 25, 2008, the American Stock Exchange LLC (``Amex'' or the
``Exchange'') \1\ filed with the Securities and Exchange Commission
(``Commission'') a proposed rule change pursuant to Section 19(b)(1) of
the Securities Exchange Act of 1934 (the ``Exchange Act'') \2\ and Rule
19b4 thereunder.\3\ Amex filed Amendment Nos. 1
NOTICES: Boston Stock Exchange, Inc.,
Published: 2008-11-19
November 10, 2008.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 [[Page 69686]]
(``Act''),\1\ and Rule 19b4 thereunder,\2\ notice is hereby given that
on November 3, 2008, the Boston Stock Exchange (the ``Exchange'') filed
with the Securities and Exchange Commission (``Commission'') the
proposed rule change as described in
NOTICES: Financial Industry Regulatory Authority, Inc.,
Published: 2008-11-19
November 12, 2008.
I. Introduction
On July 29, 2008, the Financial Industry Regulatory Authority, Inc
(``FINRA'') (f/k/a National Association of Securities Dealers, Inc.
(``NASD'')), 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 19b4
NOTICES: Agency Information Collection Activities; Proposals, Submissions, and Approvals,
Published: 2008-11-18
Upon written request, copies available from: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension: Regulation SK, OMB Control No. 32350071, SEC File No. 2702.
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and
NOTICES: Agency Information Collection Activities; Proposals, Submissions, and Approvals,
Published: 2008-11-18
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension: Rule 34b1; File No. 270305; OMB Control No. 32350346.
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange
NOTICES: Agency Information Collection Activities; Proposals, Submissions, and Approvals,
Published: 2008-11-18
Upon written request, copies available from: Securities and Exchange
Commission, Office of Filings and Information Services, Washington, DC 20549.
Extension: Form N2; SEC File No. 27021; OMB Control No. 32350026.
Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.) the Securities and Exchange
NOTICES: Meetings; Sunshine Act,
Published: 2008-11-18
Notice is hereby given, pursuant to the provisions of the
Government in the Sunshine Act, Public Law 94409, that the Securities
and Exchange Commission will hold a Closed Meeting on Thursday, November 20, 2008, at 2 p.m.
Commissioners, Counsel to the Commissioners, the Secretary to the
Commission, and recording secretaries will attend the
NOTICES: Chicago Board Options Exchange, Inc.,
Published: 2008-11-18
November 10, 2008.
I. Introduction
On September 16, 2008, the Chicago Board Options Exchange,
Incorporated (``CBOE'' or ``Exchange'') filed with the Securities and Exchange Commission
[[Page 68465]]
(``Commission''), pursuant to Section 19(b)(1) of the Securities
Exchange Act of 1934 (``Act'')\1\ and Rule 19b4 thereunder,\2\ this
proposed rule
NOTICES: Depository Trust Co.,
Published: 2008-11-18
November 6, 2008.
I. Introduction
On July 7, 2008, The Depository Trust Company (``DTC'') filed with the
[[Page 68466]]
Securities and Exchange Commission (``Commission'') a proposed rule
change pursuant to Section 19(b)(1) of the Securities Exchange Act of
1934 (``Act'').\1\ Notice of the proposal was published in the Federal
Register on
NOTICES: Financial Industry Regulatory Authority, Inc.,
Published: 2008-11-18
November 6, 2008.
On September 8, 2008, Financial Industry Regulatory Authority, Inc.
(``FINRA,'' f/k/a National Association of Securities Dealers, Inc. and NASD) 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 19b4 thereunder,\2\ a
NOTICES: NASDAQ OMX PHLX, Inc.,
Published: 2008-11-18
November 12, 2008.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\, and Rule 19b4 \2\ thereunder, notice is hereby given
that on November 3, 2008, the NASDAQ OMX PHLX, Inc. (``Phlx'' or
``Exchange'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission'') the proposed rule change as
NOTICES: NASDAQ Stock Market LLC,
Published: 2008-11-18
November 6, 2008.
Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of 1934
[[Page 68474]]
(``Act''),\2\ and Rule 19b4 thereunder,\3\ notice is hereby given that
on October 30, 2008, The NASDAQ Stock Market LLC (``Nasdaq'') filed
with the Securities and Exchange Commission (``Commission'') the
proposed rule change as described in
NOTICES: New York Stock Exchange LLC,
Published: 2008-11-18
November 7, 2008.
Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act''),\2\ and Rule 19b4 thereunder,\3\ notice is hereby
given that on October 30, 2008, New York Stock Exchange LLC (the
``NYSE'' or the ``Exchange'') filed with the Securities and Exchange
Commission (the ``Commission'') the proposed rule changes
NOTICES: NYSE Arca, Inc.,
Published: 2008-11-18
November 7, 2008.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'' or ``Exchange Act'') \1\ and Rule 19b4 thereunder,\2\ notice
is hereby given that on November 4, 2008, NYSE Arca, Inc. (``NYSE
Arca'' or ``Exchange'') filed with the Securities and Exchange
Commission (``Commission'') the proposed rule change as
