The Federal Register http://thefederalregister.com/b.p/agency/Securities_and_Exchange_Commission/2002-11-05/ Daily Publications of Meetings and Rules Changes for the Federal Government Sun, May 19 2013 11:00:00 GMT Sun, May 19 2013 11:00:00 GMT info@thefederalregister.com <![CDATA[ Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities]]> http://thefederalregister.com/d.p/2002-11-05-C2-23274

In rule document 0223274 beginning on page 58284 in the issue of Friday, September 13, 2002, make the following corrections:

1. On page 58287, in the first column, in footnote 30, in the third line, `` ``FCM'' that is fully registered'' should read, `` ``FCM'' pertains to an FCM that is fully registered''.

2. On page 58288, in the first column, in footnote 35, ``notes through'' should read, ``notes 15 through 18''.

3. On the same page, in the second column, in footnote 39, in the seventh line, after ``note'', add ``44''.

4. On the same page, in the third column, in footnote 41, ``notes and'' should read, ``notes 42 and 43.''.

5. On page 58291, in the second column, in footnote 69, after ``note'', add ``8''.

6. On page 58292, in the third column, in footnote 79, in the fifth line, after ``note'', add ``74''.

7. On page 58295, in the first column, in footnote 88, ``NSD'' should read, ``NASD''.
[FR Doc. C223274 Filed 11402; 8:45 am]
BILLING CODE 150501D ]]> http://thefederalregister.com/d.p/2002-11-05-C2-23274 Tue, Nov 5 2002 11:00:00 GMT <![CDATA[ Submission for OMB Review; Comment Request ]]> http://thefederalregister.com/d.p/2002-11-05-02-28098

Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Filings and Information Services, Washington, DC 205490004.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 35013520), the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget (``OMB'') a request for extension of the previously approved collections of information discussed below.

Section 31(a)(1) of the Investment Company Act of 1940 (the ``Act'') requires registered investment companies (``funds'') and certain principal underwriters, brokerdealers, investment advisers and depositors of funds to maintain and preserve records as prescribed by Commission rules.\1\ Rule 31a1 specifies the books and records each of these entities must maintain.\2\ Rule 31a2, which was adopted on Apri ]]> http://thefederalregister.com/d.p/2002-11-05-02-28098 Tue, Nov 5 2002 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the National]]> http://thefederalregister.com/d.p/2002-11-05-02-28100

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 October 22, 2002, the National Association of Securities Dealers, Inc. (``NASD'' or ``Association''), submitted to 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 NASD. NASD filed the proposal pursuant to section 19(b)(3)(A) of the Act,\3\ and rule 19b4(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.
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ 15 U.S.C. 78s(b)(3)(A).
\4\ 17 CFR 240.19b4(f)(6).
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

NASD proposes to amend NASD rule 3011 to require each m ]]> http://thefederalregister.com/d.p/2002-11-05-02-28100 Tue, Nov 5 2002 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Order Granting Accelerated]]> http://thefederalregister.com/d.p/2002-11-05-02-28099

Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on August 15, 2002, The Options Clearing Corporation (``OCC'') 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 primarily by OCC. The Commission is publishing this notice and order to solicit comments on the proposed rule change from interested persons. \1\ 15 U.S.C. 78s(b)(1).
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The proposed rule change alters OCC's procedures for random assignment processing.
II. SelfRegulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change

In its filing with the Commission, OCC included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule ]]> http://thefederalregister.com/d.p/2002-11-05-02-28099 Tue, Nov 5 2002 11:00:00 GMT