The Federal Register

Submission for OMB Review; Comment Request

Tue, Dec 2 2003 11:00:00 GMT

Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Filings and Information Services, Washington, DC 20549

.Extension:

Rule 17Ad4(b) and (c), SEC File No. 270264, OMB Control No. 32350341.

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 a request for extension of the previously approved collection of information discussed below.
Rule 17Ad4(b) and (c) Notices Regarding Exempt Transfer Agent Status

Rule 17Ad4(b) and (c) are used to document when transfer agents are exempt, or no longer exempt, from the minimum performance standards and certain recordkeeping provisions of the Commission's transfer agent rules. Rule 17Ad4(c) sets forth the conditions under which a registered transfer agent loses its exempt status. Once the conditions for exemption no longer exist, the transfer agent, to

Proposed Collection; Comment Request

Tue, Dec 2 2003 11:00:00 GMT

Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Filing and Information Services, Washington, DC 20549.

Extension:

Rule 30e2, SEC File No. 270437, OMB Control No. 32350494.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (the ``Paperwork Reduction Act'') the Securities and Exchange Commission (``Commission'') is soliciting comments on the collections of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval.

Section 30(e) of the Investment Company Act of 1940 [15 U.S.C. 80a 29(e)] (the ``Investment Company Act'' or ``Act'') and rule 30e2 \1\ thereunder [17 CFR 270.30e2] require registered unit investment trusts (``UITs'') that invest substantially all of their assets in securities of a management investment company \2\ (``fund'') to send to shareholders at least semiannually a r

Filings Under the Public Utility Holding Company Act of 1935, as Amended (``Act'')

Tue, Dec 2 2003 11:00:00 GMT

November 25, 2003.

Notice is hereby given that the following filing(s) has/have been made with the Commission under provisions of the Act and rules promulgated under the Act. All interested persons are referred to the application(s) and/or declaration(s) for complete statements of the proposed transaction(s) summarized below. The application(s) and/or declaration(s) and any amendment(s) is/are available for public inspection through the Commission's Branch of Public Reference.

Interested persons wishing to comment or request a hearing on the application(s) and/or declaration(s) should submit their views in writing by December 18, 2003, to the Secretary, Securities and Exchange Commission, Washington, DC 205490609, and serve a copy on the relevant applicant(s) and/or declarant(s) at the address(es) specified below. Proof of service (by affidavit or, in the case of an attorney at law, by certificate) should be filed with the request. Any request for hearing should identify specifically the

Self-Regulatory Organizations; Order Approving Proposed Rule Change and Notice of Filing and Order Granting

Tue, Dec 2 2003 11:00:00 GMT

November 21, 2003.

I. Introduction

On April 16, 2003, the American Stock Exchange LLC (``Amex'' 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 to eliminate the 10second ``speed bump'' on the entry of AutoEx eligible orders for ExchangeTraded Funds (``ETFs'') and TrustIssued Receipts (``TIRs''), while allowing it to be reinstated if conditions warrant its reintroduction. On May 7, 2003, Amex submitted Amendment No. 1 to the proposed rule change.\3\ On June 3, 2003, Amex
[[Page 67497]]
submitted Amendment No. 2 to the proposed rule change.\4\ The proposed rule change, as amended by Amendment Nos. 1 and 2 was published for comment in the Federal Register on June 16, 2003.\5\ The Commission received one comment letter with respect to the proposal.\6\ On October 3, 2003, the Amex filed Amendment No. 3 to the proposed rule chang

Self-Regulatory Organizations; Order Approving Proposed Rule Change and Notice of Filing and Order Granting

Tue, Dec 2 2003 11:00:00 GMT

November 24, 2003.

I. Introduction

On February 14, 2001, the Chicago Board Options Exchange, Inc. (``CBOE'' or ``Exchange'') filed with the Securities and Exchange Commission (``SEC'' or ``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 adopt an obvious error trading rule, CBOE Rule 6.25. On August 15, 2003, the Exchange submitted Amendment No. 1 to the proposed rule change.\3\ On September 12, 2003, the Exchange submitted Amendment No. 2 to the proposed rule change.\4\ On September 26, 2003, the Exchange submitted Amendment No. 3 to the proposed rule change.\5\ On September 29, 2003, the proposed rule change, as amended, was granted partial accelerated approval on a pilot basis and published for comment in the Federal Register on October 6, 2003.\6\ The Commission did not receive any comments on the proposed rule change. On November 17, 2003, the CBOE filed Amendment No. 4 to the propose

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the

Tue, Dec 2 2003 11:00:00 GMT

November 25, 2003.

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 3, 2003, the International Securities Exchange, Inc. (``Exchange'' or ``ISE'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule change as described in Items I, II, and III below, which items have been prepared by the ISE. 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.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange is proposing changes to its Schedule of Fees in order to adopt certain fees and temporary fee waivers relating to index options. The text of the proposed rule change is available at the ISE and at the Commission.
II. SelfRegulatory Organization's Statement of the Purpose of, and Statuto

Self-Regulatory Organizations; Notice of Filing and Immediate Effectiveness of Proposed Rule Change, and Amendment No.

Tue, Dec 2 2003 11:00:00 GMT

November 24, 2003.

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 21, 2003, the Pacific Exchange, Inc. (``PCX'' or ``Exchange'') 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. On November 24, 2003, the PCX filed Amendment No. 1 to the proposed rule change.\3\ The proposed rule change has been filed by PCX as a ``non controversial'' rule change under Rule 19b4(f)(6) under the Act.\4\ The Commission is publishing this notice to solicit comments on the proposed rule change, as amended, from interested persons.
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ See letter from Mai Shiver, Acting Director, Regulatory Policy, PCX to Nancy J. Sanow, Assistant Director, Division of Market Regulation, Commission, dated November 21, 2003 (``Amendment No.

Issuer Delisting; Notice of Application of Preferred Income Fund Incorporated To Withdraw From Listing and

Tue, Dec 2 2003 11:00:00 GMT

November 25, 2003.

The Preferred Income Fund Incorporated, a Maryland corporation (``Issuer''), has filed an application with the Securities and Exchange Commission (``Commission''), pursuant to section 12(d) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 12d22(d) thereunder,\2\ to withdraw its common stock, $.01 par value, (``Security''), from listing and registration on the Pacific Exchange, Inc. (``PCX'' or ``Exchange'').
\1\ 15 U.S.C. 78l(d).

\2\ 17 CFR 240.12d22(d).

The Board of Directors (``Board'') of the Issuer approved a resolution on April 25, 2003, to withdraw its Security from listing on the Exchange. In making its decision to delist its Security from the PCX the Issuer states that: (i) At the time the Security was listed on the PCX on March 10, 1995, the expectation was that competition from a second trading venue would benefit shareholders by narrowing bid/offer spreads, and provide shareholders additional liquidity during the time period the PCX rema

Issuer Delisting; Notice of Application of the Preferred Income Opportunity Fund Incorporated To Withdraw From Listing

Tue, Dec 2 2003 11:00:00 GMT

November 25, 2003.

The Preferred Income Opportunity Fund Incorporated, a Maryland corporation (``Issuer''), has filed an application with the Securities and Exchange Commission (``Commission''), pursuant to section 12(d) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 12d22(d) thereunder,\2\ to withdraw its common stock, $.01 par value, (``Security''), from listing and registration on the Pacific Exchange, Inc. (``PCX'' or ``Exchange'').
\1\ 15 U.S.C. 78l(d).