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: Agency Information Collection Activities; Proposals, Submissions, and Approvals,
Published: 2008-11-17
Upon Written Request, Copies Available From: U.S. Securities and
Exchange Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension:
Rule 10b17; OMB Control No. 32350476; SEC File No. 270427.
Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.), the Securities
NOTICES: Agency Information Collection Activities; Proposals, Submissions, and Approvals,
Published: 2008-11-17
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension:
Rule 17a5(c); OMB Control No. 32350199; SEC File No. 270199.
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: 2008-11-17
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension:
Rule 22d1; SEC File No. 270275; OMB Control No. 32350310.
Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 35013520), the Securities and
NOTICES: Agency Information Collection Activities; Proposals, Submissions, and Approvals,
Published: 2008-11-17
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension:
Rule 32a4; SEC File No. 270473; OMB Control No. 32350530.
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 350l et seq.), the Securities and
NOTICES: Wortham Finance, L.P. et al.,
Published: 2008-11-17
Summary of the Application: Applicants request an order to exempt a
vehicle formed for the benefit of certain eligible current employees of
John L. Wortham & Son, L.P. (``Insurance LP'') from certain provisions
of the Act. The vehicle will be an ``employees' securities company'' as defined in section 2(a)(13) of the Act.
Applicants: Wortham
NOTICES: Meetings; Sunshine Act,
Published: 2008-11-17
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 an Open Meeting on Wednesday,
November 19, 2008 at 10 a.m., in the Auditorium, Room L002.
The subject matter of the Open Meeting will be:
Item 1: The Commission will consider
NOTICES: Financial Industry Regulatory Authority, Inc.,
Published: 2008-11-17
November 5, 2008.
I. Introduction
On March 28, 2008, the Financial Industry Regulatory Authority,
Inc., (``FINRA'') filed with the Securities and Exchange Commission
(``SEC'') pursuant to Section 19(b)(1) of the Securities Exchange Act
of 1934 (``Act'') \1\ and Rule 19b4 thereunder,\2\ a proposed rule
change to amend its trade reporting rules
NOTICES: International Securities Exchange, LLC,
Published: 2008-11-17
November 7, 2008.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Exchange Act'') \1\ and Rule 19b4 thereunder,\2\ notice is
hereby given that on November 7, 2008, the International Securities
Exchange, LLC (the ``Exchange'' or ``ISE'') filed with the Securities
and Exchange Commission (``SEC'' or ``Commission'') the
NOTICES: NASDAQ OMX PHLX, Inc.,
Published: 2008-11-17
November 6, 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 30, 2008, NASDAQ OMX PHLX, Inc. (``Phlx'' or ``Exchange'')
filed with the Securities and Exchange Commission (``SEC'' or
``Commission'') the proposed rule change as described in
NOTICES: The Options Clearing Corporation,
Published: 2008-11-17
November 5, 2008.
Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ notice is hereby given that on February 25, 2008, The
Options Clearing Corporation (``OCC'') filed with the Securities and
Exchange Commission (``Commission'') and on October 7, 2008, amended
the proposed rule change described in Items I, II, and
NOTICES: Agency Information Collection Activities; Proposals, Submissions, and Approvals,
Published: 2008-11-13
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension:
Form N17f1, SEC File No. 270316, OMB Control No. 32350359.
Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 3501 et seq.), the Securities and
NOTICES: Order Approving the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by the Chicago Stock Exchange, Inc., et al,
Published: 2008-11-13
November 6, 2008.
I. Introduction
On July 17, 2007, the Commission published for comment \1\ a
detailed summary of two proposed plans for the purpose of the selection
and reservation of securities symbols: the FiveCharacters Plan and the
ThreeCharacters Plan. On January 25, 2008, the Commission published
Amendment No. 1 to the ThreeCharacters
NOTICES: Chicago Board Options Exchange, Inc.,
Published: 2008-11-13
November 5, 2008.
Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ notice is hereby given that on October 31, 2008, the
Chicago Board Options Exchange, Incorporated (``CBOE'' or ``Exchange'')
filed with the Securities and Exchange Commission (``Commission'') the
proposed rule change as described in Items I, II,
NOTICES: Financial Industry Regulatory Authority, Inc.,
Published: 2008-11-13
November 6, 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 29, 2008, Financial Industry Regulatory Authority, Inc.
(``FINRA'') (f/k/a National Association of Securities Dealers, Inc.
(``NASD'')) filed with the Securities and Exchange
NOTICES: International Securities Exchange, LLC,
Published: 2008-11-13
November 4, 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, International Securities Exchange, LLC (the
``ISE'' or the ``Exchange'') filed with the Securities and Exchange
Commission (``Commission'') the proposed rule change as
NOTICES: NASDAQ OMX PHLX, Inc.,
Published: 2008-11-13
November 6, 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 4, 2008, NASDAQ OMX PHLX, Inc. (``Phlx'' or
``Exchange'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission'') the proposed rule change as described in
NOTICES: New York Stock Exchange LLC,
Published: 2008-11-13
November 5, 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 28, 2008, New York Stock Exchange, LLC (the
``NYSE'' or the ``Exchange'') filed with the Securities and Exchange
Commission (``Commission'' or ``SEC'') the proposed rule
NOTICES: NYSE Arca, Inc.,
Published: 2008-11-13
November 5, 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 3, 2008, NYSE Arca, Inc. (``NYSE Arca'' or the
``Exchange'') filed with the Securities and Exchange Commission (the
``Commission'') the proposed rule change as
NOTICES: Agency Information Collection Activities; Proposals, Submissions, and Approvals,
Published: 2008-11-13
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension:
Rule 17f1; SEC File No. 270236; OMB Control No. 32350222.
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: 2008-11-13
Upon Written Request, Copies Available From: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension:
Rule 11a3; SEC File No. 270321; OMB Control No. 32350358.
Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995 (44 U.S.C. 35013520), the Securities and
NOTICES: NASDAQ Stock Market LLC,
Published: 2008-11-12
November 3, 2008.
On March 12, 2008, The NASDAQ Stock Market LLC (``Nasdaq'') 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 to remove from
the Nasdaq rulebook references to the fees charged
NOTICES: NASDAQ Stock Market LLC,
Published: 2008-11-12
October 31, 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, The NASDAQ Stock Market LLC (``NASDAQ'' or
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in
NOTICES: NYSE Arca, Inc.,
Published: 2008-11-12
October 31, 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, NYSE Arca, Inc. (the ``Exchange'' or ``NYSE
Arca''), filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I
NOTICES: Agency Information Collection Activities; Proposals, Submissions, and Approvals,
Published: 2008-11-07
Upon written request, copies available from: Securities and Exchange
Commission, Office of Investor Education and Advocacy, Washington, DC 205490213.
Extension:
Rule 18f3, SEC File No. 270385, OMB Control No. 32350441.
Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 35013520), the Securities and
