Dated: February 27, 2013.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 201304987 Filed 22813; 11:15 am]
BILLING CODE 801101P ]]> http://thefederalregister.com/d.p/2013-03-04-2013-04987 Mon, Mar 4 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-03-04-2013-04857 21, 2013, NASDAQ OMX BX, Inc. (``BX'' or ``Exchange'') 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 Exchange. 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 proposes to amend fees for routing options to away markets in Chapter XV, entitled ``Options Pricing,'' at Section 2.

The text of the proposed rule change is available on the Exchange's Web site at http://nasdaqomxbx.cchwallstreet.com, at the principal office of the Exchange, and at the Commission's Public Reference Room. II. SelfRegulatory Organization's Statement of the Purpose of, and Statutory Basis for, ]]> http://thefederalregister.com/d.p/2013-03-04-2013-04857 Mon, Mar 4 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-03-01-2013-04753

Filing Date: The applications were filed on February 4, 2013.

Applicants' Address: 100 International Dr., 7th Floor, Baltimore, MD 21202.
Separate Account VA QQ [File No. 81122556] ]]> http://thefederalregister.com/d.p/2013-03-01-2013-04753 Fri, Mar 1 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-03-01-2013-04749

On December 28, 2012, The Depository Trust Company (``DTC'') filed with the Securities and Exchange Commission (``Commission'') advance notice SRDTC2012810 (``Advance Notice'') pursuant to Section 806(e) of Title VIII of the DoddFrank Wall Street Reform and Consumer Protection Act (``DoddFrank Act''),\1\ entitled the Payment, Clearing, and Settlement Supervision Act of 2010 (``Clearing Supervision Act'' or ``Title VIII'') and Rule 19b4(n) of the Securities Exchange Act of 1934 (``Exchange Act''). The Advance Notice was published in the Federal Register on January 18, 2013.\2\ DTC filed Amendment No. 1 to the Advance Notice on January 30, 2013.\3\ The Commission received one comment on the Advance Notice.\4\ This publication serves as notice of filing Amendment No. 1 and of no objection to the Advance Notice, as modified by Amendment No. 1.
\1\ DoddFrank Wall Street Reform and Consumer Protection Act, Public Law 111203, 124 Stat. 1376 (2010).
\2\ Release No. 3468690 (J ]]> http://thefederalregister.com/d.p/2013-03-01-2013-04749 Fri, Mar 1 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-28-2013-04552 \2\ 17 CFR 240.19b4.
\3\ 15 U.S.C. 78s(b)(3)(A)(i).
\4\ 17 CFR 240.19b4(f)(1).
I. SelfRegulatory Organization's Statement of Terms of Substance of the Proposed Rule Change

OCC is providing clarifying language to conform interpretive guidance concerning options on fund shares with certain ByLaw provisions that govern adjustments of contracts.
II. SelfRegulatory Organization's Statement of 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 rule change and discussed any comments it received on the rule change. The text of these statements may be examined at the places specified in Item IV below. OCC has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of such statements.\5\
\5\ The Commission has modified the text of the ]]> http://thefederalregister.com/d.p/2013-02-28-2013-04552 Thu, Feb 28 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-27-2013-04651 Institution and settlement of administrative proceedings;
Other matters relating to enforcement proceedings; and

An adjudicatory matter.

At times, changes in Commission priorities require alterations in the scheduling of meeting items.

For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 5515400.
[[Page 13387]]

Dated: February 22, 2013.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 201304651 Filed 22513; 11:15 am]
BILLING CODE 801101P ]]> http://thefederalregister.com/d.p/2013-02-27-2013-04651 Wed, Feb 27 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-27-2013-04545 \2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to reduce the exposure period for Directed Orders from three seconds to one second. The text of the proposed rule change is available from the principal office of the Exchange, at the Commission's Public Reference Room and also on the Exchange's Internet Web site at http://boxexchange.com. II. SelfRegulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change

In its filing with the Commission, the selfregulatory organization 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 sel ]]> http://thefederalregister.com/d.p/2013-02-27-2013-04545 Wed, Feb 27 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-26-2013-04367

Appendix F to Rule 15c31; SEC File No. 270440, OMB Control No. 32350496.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget (``OMB'') a request for approval of extension of the previously approved collection of information provided for in Appendix F to Rule 15c31 (``Appendix F'' or ``Rule 15c31f'') (17 CFR 240.15c31f) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.).

Appendix F requires a brokerdealer choosing to register, upon Commission approval, as an OTC derivatives dealer to develop and maintain an internal risk management system based on ValueatRisk (``VaR'') models. It is anticipated that a total of four (4) broker dealers registering as OTC derivatives dealers will spend 1,000 hours on a onetime basis complying with the system development requirements of Rule 15c31f, for an estima ]]> http://thefederalregister.com/d.p/2013-02-26-2013-04367 Tue, Feb 26 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-26-2013-04366

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget (``OMB'') a request for approval of extension of the previously approved collection of information provided for in Rule 17g 4 (17 CFR 240.17g4) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act'').

The Credit Rating Agency Reform Act of 2006 added a new section 15E, ``Registration of Nationally Recognized Statistical Rating Organizations,'' \1\ to the Exchange Act. Pursuant to the authority granted under section 15E of the Exchange Act, the Commission adopted Rule 17g4, which requires that a nationally recognized statistical rating organization (``NRSRO'') establish, maintain, and enforce written policies and procedures to prevent the misuse of material nonpublic information, including policies and procedures reasonably designed to prevent ]]> http://thefederalregister.com/d.p/2013-02-26-2013-04366 Tue, Feb 26 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-26-2013-04369 \2\ 15 U.S.C. 78a.
\3\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to amend its rules to reflect the merger of NYSE Arca Holdings, Inc. (``NYSE Arca Holdings''), an intermediate holding company, into and with NYSE Group, Inc. (``NYSE Group''), thereby eliminating NYSE Arca Holdings from the ownership structure of the Exchange. The text of the proposed rule change is available on the Exchange's Web site at www.nyse.com, at the principal office of the Exchange, and at the Commission's Public Reference Room.
II. SelfRegulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change

In its filing with the Commission, the selfregulatory organization included statements concerning the purpose of, and basis for, the proposed ru ]]> http://thefederalregister.com/d.p/2013-02-26-2013-04369 Tue, Feb 26 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-22-2013-04013

Summary of Application: Applicants have received a temporary order exempting them from section 9(a) of the Act, with respect to a guilty plea entered on December 19, 2012, by UBS Securities Japan Co., Ltd. (the ``Settling Firm'') in the U.S. District Court for the District of Connecticut (``District Court'') in connection with a plea agreement between the Settling Firm and the U.S. Department of Justice (``DOJ''), until the Commission takes final action on an application for a permanent order. Applicants have requested a permanent order.

Applicants: UBS AG; UBS IB CoInvestment 2001 GP Limited (``ESC GP''); UBS Financial Services Inc. (``UBSFS''); UBS Alternative and Quantitative Investments LLC (``UBS Alternative''); UBS Willow Management, L.L.C. (``UBS Willow''), UBS Eucalyptus Management, L.L.C. (``UBS Eucalyptus'') and UBS Juniper Management, L.L.C. (``UBS Juniper'') (UBS Willow, UBS Eucalyptus, and UBS Juniper are referred to collectively as ``UBS Alternative Managers''); UBS Global ]]> http://thefederalregister.com/d.p/2013-02-22-2013-04013 Fri, Feb 22 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-22-2013-04014 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 proposes to renew an existing pilot program for an additional fourteen months. Under the existing pilot program, the Exchange is permitted to list P.M.settled options on broadbased indexes that expire on: (a) any Friday of the month, other than the third Fridayofthemonth (``End of Week Expirations'' or ``EOWs''), and (b) the last trading day of the month (``End of Month Expirations'' or ``EOMs''). The text of the proposed rule change is provided below. (additions are italicized; deletions are [bracketed])
* * * * *
Chicago Board Options Exchange, Incorporated Rules
* * * * *
Rule 24.9. Terms of Index Option Contracts
(a)(d) No change.
(e) End of Week/End of Month Expirations Pilot Program (``EOW/EOM Pilot Program'')
]]> http://thefederalregister.com/d.p/2013-02-22-2013-04014 Fri, Feb 22 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-21-2013-04083

By the Commission.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 201304083 Filed 21913; 11:15 am]
BILLING CODE 801101P ]]> http://thefederalregister.com/d.p/2013-02-21-2013-04083 Thu, Feb 21 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-21-2013-03972

Rule 17a5; SEC File No. 270155, OMB Control No. 32350123.

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'') is soliciting comments on the existing collection of information provided for in Rule 17a5 (17 CFR 240.17a 5), under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.). The Commission plans to submit this existing collection of information to the Office of Management and Budget (``OMB'') for extension and approval.

Rule 17a5 is the basic financial reporting rule for brokers and dealers.\1\ The Rule requires the filing of Form X17A5, the Financial and Operational Combined Uniform Single Report (``FOCUS Report''), which was the result of years of study and comments by representatives of the securities industry through advisory committees and through the normal rule proposal methods. The FOCUS Report was designed to eliminate the overlapping regulatory rep ]]> http://thefederalregister.com/d.p/2013-02-21-2013-03972 Thu, Feb 21 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-21-2013-03899 \2\ Order Granting Exemptions from Certain Rules of Regulation SHO Related to Hurricane Sandy, Exchange Act Release No. 68419 (Dec. 12, 2012), 77 FR 74891 (Dec. 18, 2012).
\3\ The Order defines ``Vault Securities'' as owned securities, represented by physical certificates held in the Vault at the time Hurricane Sandy made landfall and whose settlement depends on the delivery of such physical certificates (or documentation with equivalent effect).

SIFMA has requested an extension until May 5, 2013, because the process for restoring Vault Securities is not complete at the present time.\4\ As a result, SIFMA states that sales of Vault Securities continue to experience settlement delays that have implications for compliance with Regulation SHO. For this reason and the reasons stated in the Order, the Commission finds that extending the Order, pursuant to our authority under Section 36 ]]> http://thefederalregister.com/d.p/2013-02-21-2013-03899 Thu, Feb 21 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-21-2013-03970 \2\ 15 U.S.C. 78a.
\3\ 17 CFR 240.19b4.
\4\ In Amendment No. 1, the Exchange: (1) made technical changes to the proposed rule change to clarify how the net asset value of the Cambria Shareholder Yield ETF would be calculated; and (2) stated that quotation and lastsale information for many securities held by the Cambria Shareholder Yield ETF would be available via the Consolidated Tape Association high speed line.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to list and trade the following under NYSE Arca Equities Rule 8.600 (``Managed Fund Shares''): Cambria Shareholder Yield ETF. The text of the proposed rule change is available on the Exchange's Web site at www.nyse.com, at the principal office of the Exchange, and at the Commission's Public Reference Room.
II. SelfRegulato ]]> http://thefederalregister.com/d.p/2013-02-21-2013-03970 Thu, Feb 21 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-20-2013-03821 \2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to amend the Exchange's Pricing Schedule at Section A, entitled ``Customer Rebate Program.'' The Exchange also proposes technical amendments to the Preface, Section I, entitled ``Rebates and Fees for Adding and Removing Liquidity in Select Symbols,'' Section II, entitled ``Multiply
[[Page 11917]]
Listed Options Fees'' \3\ and Section IV entitled ``PIXL \4\ Pricing'' of the Pricing Schedule.
\3\ Multiply Listed Options Fees include options overlying equities, ETFs, ETNs and indexes which are Multiply Listed. \4\ PIXL is the Exchange's price improvement mechanism known as Price Improvement XL or (PIXL\SM\). See Rule 1080(n).

The text of the proposed rule change is provided in Exhibit 5. The text of the proposed rule change is also available o ]]> http://thefederalregister.com/d.p/2013-02-20-2013-03821 Wed, Feb 20 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-20-2013-03791

Section 109 of the SarbanesOxley Act provides that the PCAOB shall establish a reasonable annual accounting support fee, as may be necessary or appropriate to establish and maintain the PCAOB. Under Section 109(f) of the SarbanesOxley Act, the aggregate annual accounting support fee shall not exceed the PCAOB's aggregate ``recoverable budget expenses,'' which may include operating, capital and accrued items. The PCAOB's annual budget and accounting support fee is subject to approval by the Commission.

Section 982 of the DoddFrank Wall Street Reform and Consumer Protection Act (the ``DoddFrank Act'') \2\ amended the SarbanesOxley Act to provide the PCAOB with explicit authority to oversee auditors of brokerdealers registered with the Commission. In addition, the PCAOB must allocate the annual accounting support fee among issuers and among brokers and dealers.
\2\ Pub. L. 111203, 12 ]]> http://thefederalregister.com/d.p/2013-02-20-2013-03791 Wed, Feb 20 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-20-2013-03822 ]]> http://thefederalregister.com/d.p/2013-02-20-2013-03822 Wed, Feb 20 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-19-2013-03690

Rule 19b4 and Form 19b4.

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'') is soliciting comments on the existing collection of information provided for in Rule 19b4 (17 CFR 240.19b 4), under the Securities Exchange Act of 1934 (``Act'') (15 U.S.C. 78a et seq.). The Commission plans to submit this existing collection of information to the Office of Management and Budget (``OMB'') for extension and approval.

Section 19(b) of the Act (15 U.S.C. 78s(b)) requires each self regulatory organization (``SRO'') to file with the Commission copies of any proposed rule, or any proposed change in, addition to, or deletion from the rules of such SRO. Rule 19b4 implements the requirements of Section 19(b) by requiring the SROs to file their proposed rule changes on Form 19b4 and by clarifying which actions taken by SROs are subject to the filing requirement set forth in Section 19(b) ]]> http://thefederalregister.com/d.p/2013-02-19-2013-03690 Tue, Feb 19 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-19-2013-03686

Applicants: AdvisorShares Investments, LLC (the ``Advisor'') and AdvisorShares Trust (the ``Trust''). ]]> http://thefederalregister.com/d.p/2013-02-19-2013-03686 Tue, Feb 19 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-19-2013-03706 \2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange is filing with the Commission a proposal to amend Rule 1092, Obvious Errors and Catastrophic Errors. Specifically, Phlx proposes to amend Rule 1092(f)(ii) to permit the nullification of trades involving catastrophic errors in certain situations specified below.

The text of the proposed rule change is set forth below. Proposed new language is italics; proposed deletions are in brackets. * * * * *

Rule 1092. Obvious Errors and Catastrophic Errors

The Exchange shall either nullify a transaction or adjust the execution price of a transaction that results in an Obvious Error as provided in this Rule.
[[Page 11706]]
(a)(e) No change.
(f) Catastrophic Error Procedure.
(i) Notification. If an Exchange member believes that it participated in a transa ]]> http://thefederalregister.com/d.p/2013-02-19-2013-03706 Tue, Feb 19 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-15-2013-03490

On December 6, 2012, NYSE Arca, Inc. (``Exchange'' or ``NYSE Arca'') 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 list and trade shares (``Shares'') of the PIMCO Foreign Currency Strategy ExchangeTraded Fund (``Fund'') under NYSE Arca Equities Rule 8.600. The proposed rule change was published for comment in the Federal Register on December 26, 2012.\3\ The Commission received no comments on the proposal. This order grants approval of the proposed rule change.
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ See Securities Exchange Act Release No. 68476 (December 19, 2012), 77 FR 76121 (``Notice'').

II. Description of the Proposed Rule Change

The Exchange proposes to list and trade the Shares of the Fund pursuant to NYSE Arca Equities Rule 8.600, which governs the listing and trading of Managed Fund Sha ]]> http://thefederalregister.com/d.p/2013-02-15-2013-03490 Fri, Feb 15 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-14-2013-03389 \2\ 15 U.S.C. 78a.
\3\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to amend Exchange Rule 80C to establish rules to comply with the requirements of the Plan to Address Extraordinary Market Volatility submitted to the Commission pursuant to Rule 608 of Regulation NMS. The text of the proposed rule change is available on the Exchange's Web site at www.nyse.com, at the principal office of the Exchange, on the Commission's Web site at http://www.sec.gov, and at the Commission's Public Reference Room.
II. SelfRegulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change

In its filing with the Commission, the selfregulatory organization included statements concerning the purpose of, and ba ]]> http://thefederalregister.com/d.p/2013-02-14-2013-03389 Thu, Feb 14 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-13-2013-03277 \2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The purpose of the proposed rule changes is to implement the enhanced margin segregation model for cleared swaps that the Commodity Futures Trading Commission (``CFTC'') adopted in Part 22 of the CFTC regulations (generally referred to as ``legal segregation with operational commingling'' or ``LSOC''). As result of the LSOC requirements, ICE Clear Europe principally proposes to (i) introduce new procedures for allocating initial margin to the positions carried for each customer of an FCM/BD Clearing Member on a customerby customer basis, (ii) introduce new procedures for calling for, holding and returning customer margin in light of the requirement to allocate initial margin on a customerbycustomer basis, and (iii) change the net sum calculation for defaulting Clearing Me ]]> http://thefederalregister.com/d.p/2013-02-13-2013-03277 Wed, Feb 13 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-13-2013-03273

Rule 17f4; OMB Control No. 32350225, SEC File No. 270232.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 350l3520) (the ``Paperwork Reduction Act''), the Securities and Exchange Commission (the ``Commission'') is soliciting comments on the collection 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 17(f) (15 U.S.C. 80a17(f)) under the Investment Company Act of 1940 (the ``Act'') \1\ permits registered management investment companies and their custodians to deposit the securities they own in a system for the central handling of securities (``securities depositories''), subject to rules adopted by the Commission. \1\ 15 U.S.C. 80a.

Rule 17f4 (17 CFR 270.17f4) under the Act specifies the conditions for the use of securities depositories by funds \2\ and their custodians.
\2\ As amended in 2003, rul ]]> http://thefederalregister.com/d.p/2013-02-13-2013-03273 Wed, Feb 13 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-13-2013-03214

On July 1, 2011, the Securities and Exchange Commission (``Commission'') issued an order granting temporary exemptive relief from compliance with certain provisions of the Securities Exchange Act of 1934 (``Exchange Act'') in connection with the revision of the Exchange Act definition of ``security'' to encompass securitybased swaps (``Exchange Act Exemptive Order'').\1\ Certain temporary exemptions contained in the Exchange Act Exemptive Order are set to expire upon the compliance date for final rules further defining the terms ``securitybased swap'' and ``eligible contract participant,'' which is scheduled to occur on February 11, 2013 (``Expiring Temporary Exemptions'').\2\ The
[[Page 10219]]
Commission is extending the expiration date for these Expiring Temporary Exemptions until February 11, 2014 \3\ and requesting comment on any exemption contained in the Exchange Act Exemptive Order and any additional relief that should be granted upon the expiration of the extension. ]]> http://thefederalregister.com/d.p/2013-02-13-2013-03214 Wed, Feb 13 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-12-2013-03254 staff members who have an interest in the matters also may be present.

The General Counsel of the Commission, or his designee, has certified that, in his opinion, one or more of the exemptions set forth in 5 U.S.C. 552b(c)(3), (5), (7), 9(B) and (10) and 17 CFR 200.402(a)(3), (5), (7), 9(ii) and (10), permit consideration of the scheduled matters at the Closed Meeting.

Commissioner Gallagher, as duty officer, voted to consider the items listed for the Closed Meeting in a closed session.

The subject matter of the Closed Meeting will be: Institution and settlement of injunctive actions;
Institution and settlement of administrative proceedings; and Other matters relating to enforcement proceedings.

At times, changes in Commission priorities require alterations in the scheduling of meeting items.

For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 5515400.
Dated: Fe ]]> http://thefederalregister.com/d.p/2013-02-12-2013-03254 Tue, Feb 12 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-12-2013-03103 \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

The Exchange is proposing to amend its electronic complex order rules. The text of the proposed rule change is available on the Exchange's Web site (www.cboe.org/Legal), at the Exchange's Office of the Secretary and at the Commission's Public Reference Room. II. SelfRegulatory 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 those statements may be examined at the places specified in Item IV below. The Exchange has ]]> http://thefederalregister.com/d.p/2013-02-12-2013-03103 Tue, Feb 12 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-11-2013-03072

Dated: February 6, 2013.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 201303072 Filed 2713; 11:15 am]
BILLING CODE 801101P ]]> http://thefederalregister.com/d.p/2013-02-11-2013-03072 Mon, Feb 11 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-11-2013-02950 \2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to amend its fees and rebates applicable to Members \3\ and nonMembers of the Exchange pursuant to EDGA Rule 15.1(a) and (c). All of the changes described herein are
[[Page 9750]]
applicable to EDGA Members and nonMembers. The text of the proposed rule change is available on the Exchange's Internet Web site at www.directedge.com, at the Exchange's principal office, and at the Public Reference Room of the Commission.
\3\ As defined in Exchange Rule 1.5(n).
II. SelfRegulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change

In its filing with the Commission, the selfregulatory organization included statements concerning the purpose of, and basis for, the proposed ]]> http://thefederalregister.com/d.p/2013-02-11-2013-02950 Mon, Feb 11 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-11-2013-02954

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and Exchange Commission (Commission) has submitted to the Office of Management and Budget (``OMB'') a request for approval of extension of the previously approved collection of information provided for in Rule 17Ad2(c), (d), and (h), (17 CFR 240.17Ad2(c), (d), and (h)), under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.).

Rule 17Ad2(c), (d) and (h) enumerates the requirements with which registered transfer agents must comply to inform the Commission or the appropriate regulator of a transfer agent's failure to meet the minimum performance standards set by the Commission rule by filing a notice.

While it is estimated there are 477 registered transfer agents, approximately 116 of these transfer agents qualify as small entities under Exchange Act Rule 0.10, 17 CFR 240.0.10 and are thereby exempted from Rule 17Ad2(c), (d), and (h), leaving approximat ]]> http://thefederalregister.com/d.p/2013-02-11-2013-02954 Mon, Feb 11 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-08-2013-02848

Form F7.

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 this request for extension of the previously approved collection of information discussed below.

Form F7 (17 CFR 239.37) is a registration statement under the Securities Act of 1933 (15 U.S.C. 77a et seq.) used to register securities that are offered for cash upon the exercise of rights granted to a registrant's existing security holders to purchase or subscribe such securities. The information collected is intended to ensure that the information required to be filed by the Commission permits verification of compliance with securities law requirements and assures the public availability of such information. The information provided is mandatory and all information is made available to the public upon request. Form F7 takes approximately 4 hours per respons ]]> http://thefederalregister.com/d.p/2013-02-08-2013-02848 Fri, Feb 8 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-08-2013-02853

Form 18K.

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 this
[[Page 9434]]
request for extension of the previously approved collection of information discussed below.

Form 18K (17 CFR 249.318) is an annual report form used by foreign governments or political subdivisions of foreign governments with securities listed on a United States exchange. The information to be collected is intended to ensure the adequacy of information available to investors in the registration of securities and assures public availability. The information provided is mandatory. Form 18K is a public document. We estimate that Form 18K takes approximately 8 hours to prepare and is filed by approximately 40 respondents for a total annual reporting burden of 320 hours.

An agency may not conduct or sponsor, and a person is not required t ]]> http://thefederalregister.com/d.p/2013-02-08-2013-02853 Fri, Feb 8 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-08-2013-02850

Form FX.

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 this request for extension of the previously approved collection of information discussed below.

Form FX (17 CFR 239.42) is used to appoint an agent for service of process by Canadian issuers registering securities on Forms F7, F8, F9 or F10 under the Securities Act of 1933 (U.S.C. 77a et seq.), or filing periodic reports on Form 40F under the Exchange Act of 1934 (15 U.S.C. 78a et seq.). The information collected must be filed with the Commission and is publicly available. We estimate that it takes approximately 2 hours per response to prepare Form FX and that the information is filed by approximately 161 respondents for a total annual reporting burden of 322 hours (2 hours per response x 161 responses).

An agency may not conduct or sponsor, and a per ]]> http://thefederalregister.com/d.p/2013-02-08-2013-02850 Fri, Feb 8 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-08-2013-02851

Schedule 14D9F.

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 this request for extension of the previously approved collection of information discussed below.

Schedule 14D9F (17 CFR 240.14d103) under the Securities Exchange Act of 1934 (15 U.S.C. 78 et seq.) is used by any foreign private issuer incorporated or organized under the laws of Canada or by any director or officer of such issuer, where the issuer is the subject of a cash tender or exchange offer for a class of securities filed on Schedule 14D1F. The information required to be filed with the Commission is intended to permit verification of compliance with the securities law requirements and assures the public availability of such information. The information provided is mandatory and all information is made available to the public upon request. We es ]]> http://thefederalregister.com/d.p/2013-02-08-2013-02851 Fri, Feb 8 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-08-2013-02852

Industry Guides.

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 this requests for extension of the previously approved collections of information discussed below.

Industries Guides are used by registrants in certain industries as disclosure guidelines to be followed in presenting information to investors in Securities Act (15 U.S.C. 77a et seq.) and Exchange Act (15 U.S.C. 78a et seq.) registration statements and certain other Exchange Act filings. The paperwork burden from the Industry Guides is imposed through the forms that are subject to the disclosure requirements in the Industry Guides and is reflected in the analysis of these documents. To avoid a Paperwork Reduction Act inventory reflecting duplicative burdens, for administrative convenience [[Page 9436]]
the Commission estimates the total annual burden ]]> http://thefederalregister.com/d.p/2013-02-08-2013-02852 Fri, Feb 8 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-08-2013-02847

Rule 12d13.

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 this request for extension of the previously approved collection of information discussed below.

Exchange Act Rule 12d13 (17 CFR 240.12d13) requires a certification that a security has been approved by an exchange for listing and registration pursuant to Section 12(d) of the Securities Exchange Act of 1934 (15 U.S.C. 78l(d)) to be filed with the Commission. The information required under Rule 12d13 must be filed with the Commission and is publicly available. We estimate that it takes approximately onehalf hour to provide the information required under Rule 12d13 and that the information is filed by approximately 688 respondents annually for a total annual reporting burden of 344 burden hours (0.5 hours per response x 688 responses).

An agency may n ]]> http://thefederalregister.com/d.p/2013-02-08-2013-02847 Fri, Feb 8 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-08-2013-02849

Form F8.

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 this request for extension of the previously approved collection of information discussed below.

Form F8 (17 CFR 239.38) may be used to register securities of certain Canadian issuers under the Securities Act of 1933 (15 U.S.C. 77a et seq.) that will be used in an exchange offer or business combination. The information collected is intended to ensure that the information required to be filed by the Commission permits verification of compliance with securities law requirements and assures the public availability of such information. The information provided is mandatory and all information is made available to the public upon request. We estimate that Form F8 takes approximately one hour per response to prepare and is filed by approximately 10 respondents. ]]> http://thefederalregister.com/d.p/2013-02-08-2013-02849 Fri, Feb 8 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-08-2013-02980

Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the securities of the abovelisted companies is suspended for the period from 9:30 a.m. EST on February 6, 2013, through 11:59 p.m. EST on February 20, 2013.

By the Commission.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 201302980 Filed 2613; 11:15 am]
BILLING CODE 801101P ]]> http://thefederalregister.com/d.p/2013-02-08-2013-02980 Fri, Feb 8 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-07-2013-02745 \2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to amend EDGA Rule 11.13 to extend the operation of a pilot pursuant to Rule 11.13 (the ``Pilot'') until September 30, 2013. The Exchange also proposes to adopt new paragraph (i) to Rule 11.13 in connection with the upcoming operation of the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS under the Act (the ``Limit UpLimit Down Plan'' or the ``Plan'').\3\ All of the changes described herein are applicable to EDGA Members. The text of the proposed rule change is available on the Exchange's Internet Web site at www.directedge.com, at the Exchange's [[Page 9074]]
principal office, and at the Public Reference Room of the Commission. \3\ See Securities Exchange Act Release No ]]> http://thefederalregister.com/d.p/2013-02-07-2013-02745 Thu, Feb 7 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-06-2013-02565

Rule 17a12 and Form X17A5IIB; SEC File No. 270442, OMB Control No. 32350498.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget (``OMB'') a request for approval of an extension of the previously approved collection of information provided for in Rule 17a 12 (17 CFR 240.17a12) and Part IIB of Form X17A5 (17 CFR 249.617) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act'').

Rule17a12 requires OTC derivatives dealers to file quarterly Financial and Operational Combined Uniform Single Reports (``FOCUS'' reports) on Part IIB of Form X17A5, the basic document for reporting the financial and operational condition of overthecounter (``OTC'') derivatives dealers. Rule 17a12 also requires that OTC derivatives dealers file audited financial statements annually. The reports required und ]]> http://thefederalregister.com/d.p/2013-02-06-2013-02565 Wed, Feb 6 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-06-2013-02752

By the Commission.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 201302752 Filed 2413; 4:15 pm]
BILLING CODE 801101P ]]> http://thefederalregister.com/d.p/2013-02-06-2013-02752 Wed, Feb 6 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-06-2013-02567

Rule 17Ad16; SEC File No. 270363, OMB Control No. 32350413.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and Exchange Commission (``Commission'') has submitted to the Office of Management and Budget (``OMB'') a request for approval of extension of the existing collection of information provided for in Rule 17Ad16 (17 CFR 240.17Ad16) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.).

Rule 17Ad16 requires a registered transfer agent to provide written notice to the appropriate qualified registered securities depository when assuming or terminating transfer agent services on behalf of an issuer or when changing its name or address. In addition, transfer agents that provide such notice shall maintain such notice for a period of at least two years in an easily accessible place. This rule addresses the problem of certificate transfer delays caused by transfer requests that are direc ]]> http://thefederalregister.com/d.p/2013-02-06-2013-02567 Wed, Feb 6 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-06-2013-02564

Rule 14f1; OMB Control No. 32350108, SEC File No. 270127.

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 this request for extension of the previously approved.

Under Exchange Act Rule 14f1 (17 CFR 240.14f1), if a person or persons have acquired securities of an issuer in a transaction subject to Sections 13(d) or 14(d) of the Exchange Act, and changes a majority of the directors of the issuer otherwise than at a meeting of security holders, then the issuer must file with the Commission and transmit to security holders information related to the change in directors within 10 days prior to the date the new majority takes office as directors. We estimate that it takes approximately 18 burden hours to provide the information required under Rule 14f1 and that the information is filed by approximately 172 respondents ]]> http://thefederalregister.com/d.p/2013-02-06-2013-02564 Wed, Feb 6 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-06-2013-02561 Summary of Application: The Substitution Applicants seek an order pursuant to Section 26(c) of the 1940 Act, approving the substitution of shares of certain series of the EQ Trust (``Replacement Funds'') for shares of certain other series of the EQ Trust and the VIP Trust (``Existing Funds''). Each of the Replacement and Existing Funds currently serves as an underlying investment option for certain variable annuity contra ]]> http://thefederalregister.com/d.p/2013-02-06-2013-02561 Wed, Feb 6 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-06-2013-02563

OMB Control No. 32350305, SEC File No. 270255.

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 this request for extension of the previously approved collection of information discussed below.

Rule 13e1 (17 CFR 240.13e1) under the Securities Exchange Act of 1934 (U.S.C. 78 et seq.) makes it unlawful for an issuer who has received notice that it is the subject of a tender offer made under Section 14(d)(1) of the Exchange Act to purchase any of its equity securities during the tender offer, unless it first files a statement with the Commission containing information required by the rule. This rule is in keeping with the Commission's statutory responsibility to prescribe rules and regulations that are necessary for the protection of investors. Public companies are the respondents. We estimate that it take ]]> http://thefederalregister.com/d.p/2013-02-06-2013-02563 Wed, Feb 6 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-06-2013-02629 \2\ 15 U.S.C. 78a.
\3\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to delay the operative date of a rule change to Exchange Rule 80BEquities, which provides for methodology for determining when to halt trading in all stocks due to extraordinary market volatility, from the date of February 4, 2013, until April 8, 2013. The text of the proposed rule change [sic] is available on the Exchange's Web site at www.nyse.com, at the principal office of the Exchange, and at the Commission's Public Reference Room.
II. SelfRegulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change

In its filing with the Commission, the selfregulatory organization included statements concerning the purpose of, and basis for, the proposed rule ]]> http://thefederalregister.com/d.p/2013-02-06-2013-02629 Wed, Feb 6 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-06-2013-02568

Schedule 13E4F; OMB Control No. 32350375, SEC File No. 270 340.

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 this request for extension of the previously approved collection of information discussed below.

[[Page 8601]]

Schedule 13E4F (17 CFR 240.13e102) may be used by an issuer that is incorporated or organized under the laws of Canada to make a cash tender or exchange offer for the issuer's own securities if less than 40 percent of the class of such issuer's securities outstanding that are the subject of the tender offer is held by U.S. holders. The information collected must be filed with the Commission and is publicly available. We estimate that it takes approximately 2 hours per response to prepare Schedule 13E4F and that the information is filed by approximately 3 respondents annually for a total annual ]]> http://thefederalregister.com/d.p/2013-02-06-2013-02568 Wed, Feb 6 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-05-2013-02423

On November 30, 2012, the Chicago Board Options Exchange, Incorporated (``Exchange'' or ``CBOE'') 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 amend its Bylaws concerning the nomination of Representative Directors, petition candidates, and the size of the
[[Page 8204]]
Exchange's Board of Directors (``Board''), and to make conforming changes to the CBOE Certificate of Incorporation. On December 19, 2012, the proposed rule change was published for comment in the Federal Register.\3\ The Commission received no comments on the proposed rule change. This order grants approval to the proposed rule change. \1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ See Securities Exchange Act Release No. 68428 (December 13, 2012), 77 FR 75230 (``Notice'').
II. Description of the Proposed Rule Change
Compositional Requirement ]]> http://thefederalregister.com/d.p/2013-02-05-2013-02423 Tue, Feb 5 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-04-2013-02291 Arca'' 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 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 proposes to amend NYSE Arca Equities Rule 7.11, which provides for trading pauses in individual securities due to extraordinary market volatility, to extend the effective date of the pilot by which such rule operates from the current scheduled expiration date of February 4, 2013, until the earlier of the initial date of operations of the Regulation NMS Plan to Address Extraordinary Market Volatility or February 4, 2014. The text of the proposed rule change is available on the Exchange's Web site at ]]> http://thefederalregister.com/d.p/2013-02-04-2013-02291 Mon, Feb 4 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-04-2013-02191 ]]> http://thefederalregister.com/d.p/2013-02-04-2013-02191 Mon, Feb 4 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-01-2013-02149 ]]> http://thefederalregister.com/d.p/2013-02-01-2013-02149 Fri, Feb 1 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-02-01-2013-02187 \2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of the Substance of the Proposed Rule Change

The Exchange proposes to amend its rules to codify the ``Minimum Volume Order.'' The text of the proposed rule change is provided below. (additions are italicized; deletions are [bracketed])
* * * * *
Chicago Board Options Exchange, Incorporated Rules
* * * * *
Rule 6.44. Bids and Offers in Relation to Units of Trading
* * * * *
* * * Interpretations and Policies:
* * * * *
.05 A minimum volume order bid or offer shall be deemed to have been made for the full size of the order or any lesser number of option contracts that is at least equal to the minimum volume specified. Minimum volume orders and bids and offers made on a minimum volume basis shall be deemed to be allornone for purposes of Interpretations and Polices .01 and .03 above. To the extent available p ]]> http://thefederalregister.com/d.p/2013-02-01-2013-02187 Fri, Feb 1 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-31-2013-02073 \2\ 17 CFR 240.19b4.
\3\ Securities Exchange Act Release No. 68085 (October 23, 2012), 77 FR 65596 (``Notice'').
\4\ See comment from Anthony C.J. Nuland, Attorney at Law, representing Quincy Data LLC, dated January 17, 2013 (``Quincy Data Letter''); see also letter from Jeff Davis, Vice President and Deputy General Counsel, NASDAQ, to Elizabeth M. Murphy, Secretary, Commission, dated January 24, 2013 (``NASDAQ Letter'').
\5\ See Securities Exchange Act Release No. 68416 (December 12, 2012), 77 FR 75229 (December 19, 2012).

The text of the proposed rule change is provided in Exhibit 5. The text of the proposed rule change is also available on the Exchange's Web site at http://www.miaxoptions.com/filter/wotitle/rule_filing, at MIAX's principal office, and at the Commission's Public Reference Room. II. SelfRegulatory 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 p ]]> http://thefederalregister.com/d.p/2013-01-30-2013-01970 Wed, Jan 30 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-30-2013-01936

Rule 248.30; OMB Control No. 32350610, SEC File No. 270549.

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 (the ``Commission'') is soliciting comments on the collection 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.

Rule 248.30 (17 CFR 248.30), under Regulation SP is titled ``Procedures to Safeguard Customer Records and Information; Disposal of Consumer Report Information.'' Rule 248.30 (the ``safeguard rule'') requires brokers, dealers, investment companies, and investment advisers registered with the Commission (``registered investment advisers'') (collectively ``covered institutions'') to adopt written policies and procedures for administrative, technical, and physical safeguards to protect customer records and information. The safeguards must be reasonab ]]> http://thefederalregister.com/d.p/2013-01-30-2013-01936 Wed, Jan 30 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-29-2013-01840 \2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to amend Rule 107CEquities to clarify that [[Page 6153]]
Retail Liquidity Providers (``RLPs'') may enter Retail Price Improvement Orders (``RPIs'') in a nonRLP capacity for securities to which the RLP is not assigned. The text of the proposed rule change is available on the Exchange's Web site at www.nyse.com, at the principal office of the Exchange, and at the Commission's Public Reference Room. II. SelfRegulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change

In its filing with the Commission, the selfregulatory organization included statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it received on the proposed ru ]]> http://thefederalregister.com/d.p/2013-01-29-2013-01840 Tue, Jan 29 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-29-2013-01960 Institution and settlement of administrative proceedings; and Other matters relating to enforcement proceedings.

At times, changes in Commission priorities require alterations in the scheduling of meeting items.

For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 5515400.
Dated: January 24, 2013.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 201301960 Filed 12513; 11:15 am]
BILLING CODE 801101P ]]> http://thefederalregister.com/d.p/2013-01-29-2013-01960 Tue, Jan 29 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-28-2013-01644 Applicants: Symetra Life Insurance Company (``Symetra''), First Symetra National Life Insurance Company of New York (``First Symetra of NY'' and collectively with Symetra and any insurance company controlling, controlled by, or under common control with Symetra and First Symetra of NY, the ``Insurance Companies''), Symetra Investment Management, Inc. (the ``Manager''), Symetra Mutual Funds Trust (the ``Trust''), and Symetra Securiti ]]> http://thefederalregister.com/d.p/2013-01-28-2013-01644 Mon, Jan 28 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-28-2013-01714 \2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to extend the temporary suspension of those aspects of Rules 36.20Equities and 36.21Equities that would not permit Floor brokers to use personal portable phone devices on the Trading Floor following the aftermath of Hurricane Sandy until the earlier of when phone service is fully restored or Friday, February 15, 2013. The text of the proposed rule change is available on the Exchange's Web site at www.nyse.com, at the principal office of the Exchange, and at the Commission's Public Reference Room.
II. SelfRegulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change

In its filing with the Commission, the selfregulatory organization included statements concerning the purpos ]]> http://thefederalregister.com/d.p/2013-01-28-2013-01714 Mon, Jan 28 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-25-2013-01484 \2\ 17 CFR 240.19b4(n)(i).
I. Clearing Agency's Statement of the Terms of Substance of the Advance Notice

DTC is proposing to change the current Largest Provisional Net Credit (``LPNC'') risk management control in order to increase withholding from one to two largest provisional credits (on an acronym \3\ basis). DTC is also proposing to modify its Rules as they relate to the Issuing/Paying Agent's (``IPA's'') refusal to pay process. DTC is proposing not to process a reversal of a transaction initiated by an IPA when issuances of Money Market Instruments (``MMIs'') in an acronym exceed, in dollar value, the maturity or income presentments (``Maturity Obligations'') of MMIs in the
[[Page 5517]]
same acronym on the same day. As a result, at the point in time when issuances of MMIs in an acronym exceed, in dollar value, the Maturity Obligations of the MMIs in the same acronym on that day, ]]> http://thefederalregister.com/d.p/2013-01-25-2013-01484 Fri, Jan 25 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-24-2013-01375 \2\ 15 U.S.C. 78a.
\3\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to adopt investigation, disciplinary, sanction, and other procedural rules that are modeled on the rules of the Financial Industry Regulatory Authority (``FINRA'') and to make certain conforming and technical changes. The text of the proposed rule change is available on the Exchange's Web site at www.nyse.com, at the principal office of the Exchange, and at the Commission's Public Reference Room.
II. SelfRegulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change

In its filing with the Commission, the selfregulatory organization included statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it rec ]]> http://thefederalregister.com/d.p/2013-01-24-2013-01375 Thu, Jan 24 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-23-2013-01058 adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System (EDGAR) Filer Manual and related rules to reflect updates to the EDGAR system. The revisions are being made primarily to introduce the new EDGARLink Online submission type IRANNOTICE; and support PDF as an official filing format for submission types 497AD, 4017G, 4017G/A, 4017GCS, 4017GCS/A, 4024B2, and 4024B2/A. The EDGAR system is scheduled to be upgraded to support this functionality on January 14, 2013. ]]> http://thefederalregister.com/d.p/2013-01-23-2013-01058 Wed, Jan 23 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-23-2013-01398 18, 2013, through 11:59 p.m. EST on February 1, 2013.

By the Commission.
Jill M. Peterson,
Assistant Secretary.
[FR Doc. 201301398 Filed 11813; 11:15 am]
BILLING CODE 801101P ]]> http://thefederalregister.com/d.p/2013-01-23-2013-01398 Wed, Jan 23 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-23-2013-01269 ]]> http://thefederalregister.com/d.p/2013-01-23-2013-01269 Wed, Jan 23 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-23-2013-01245 \2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

Nasdaq is proposing to modify the recordkeeping and substitution listing fees payable by companies listed on Nasdaq. While changes pursuant to this proposal are effective upon filing, the Exchange will implement the proposed rule on January 2, 2013.

The text of the proposed rule change is below. Proposed new language is italicized; proposed deletions are in brackets.\3\ \3\ Changes are marked to the rule text that appears in the electronic manual of Nasdaq found at http://nasdaqomx.cchwallstreet.com. * * * * *
5910. The [NASDAQ] Nasdaq Global Market
(a)(d) No change.

(e) Recordkeeping Fee.

A Company that makes a change such as a change to its name, the par value or title of its security, or its symbol shall ]]> http://thefederalregister.com/d.p/2013-01-23-2013-01245 Wed, Jan 23 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-23-2013-01202 ]]> http://thefederalregister.com/d.p/2013-01-23-2013-01202 Wed, Jan 23 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-23-C1-2013-00201

In notice document 201300201, appearing on pages 19061907 in the issue of Wednesday January 9, 2013, make the following correction:

On page 1906, in the second column, the Subject is corrected to read as set forth above.
[FR Doc. C1201300201 Filed 12213; 8:45 am]
BILLING CODE 150501D ]]> http://thefederalregister.com/d.p/2013-01-23-C1-2013-00201 Wed, Jan 23 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-22-2013-01111

Rules 6a1 and 6a2, Form 1.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and Exchange Commission (``Commission'') is soliciting comments on the existing collection of information provided for in Rule 6a1 (17 CFR 240.6a1), Rule 6a2 (17 CFR 240.6a2), and Form 1 (17 CFR 249.1) under The Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act'' or Act''). The Commission plans to submit this existing collection of information to the Office of Management and Budget (``OMB'') for extension and approval.

The Exchange Act sets forth a regulatory scheme for national securities exchanges. Rule 6a1 under the Act generally requires an applicant for initial registration as a national securities exchange to file an application with the Commission on Form 1. An exchange that seeks an exemption from registration based on limited trading volume also must apply for such exemption on Form 1. Rule ]]> http://thefederalregister.com/d.p/2013-01-22-2013-01111 Tue, Jan 22 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-22-2013-01112

Rule 15a4.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and Exchange Commission (``Commission'') is soliciting comments on the existing collection of information provided for in Rule 15a4 (17 CFR 240.15a4) under the Securities and Exchange Act of 1934 (15 U.S.C. 78a et seq.) (``Exchange Act''). The Commission plans to submit this existing collection of information to the Office of Management and Budget (``OMB'') for extension and approval.

Rule 15a4 permits a natural person member of a securities exchange who terminates his or her association with a registered brokerdealer to continue to transact business on the exchange while the Commission reviews his or her application for registration as a brokerdealer filed on Form BD if the exchange files a statement (``Statement'') indicating that there do not appear to be any grounds for disapproving the application.

The total annual hourly burde ]]> http://thefederalregister.com/d.p/2013-01-22-2013-01112 Tue, Jan 22 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-22-2013-01053 ]]> http://thefederalregister.com/d.p/2013-01-22-2013-01053 Tue, Jan 22 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-22-2013-01270 ]]> http://thefederalregister.com/d.p/2013-01-22-2013-01270 Tue, Jan 22 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-22-2013-01271 Elizabeth M. Murphy,
Secretary.
[FR Doc. 201301271 Filed 11713; 4:15 pm]
BILLING CODE 801101P ]]> http://thefederalregister.com/d.p/2013-01-22-2013-01271 Tue, Jan 22 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-22-2013-01108

On September 25, 2012, NASDAQ OMX BX, Inc. (``BX'' 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 modify the Exchange's rules for compensation committees of listed issuers to comply with Rule 10C1 under the Act and make other related changes. The proposed rule change was published for comment in the Federal Register on October 15, 2012.\3\ The Commission subsequently extended the time period in which to either approve the proposed rule change, disapprove the proposed rule change, or institute proceedings to determine whether to disapprove the proposed rule change, to January 13, 2013.\4\ The Commission received no comment letters on the proposed rule change.\5\ On January 8, 2013, the Exchange filed Amendment No. 1 to the proposed rule change.\6\ This order approves the proposed rule change, as modified ]]> http://thefederalregister.com/d.p/2013-01-22-2013-01108 Tue, Jan 22 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-22-2013-01113

Rule 605 of Regulation NMS.

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) (``PRA''), the Securities and Exchange Commission (``Commission'') is soliciting comments on the existing collection of information provided for in Rule 605 of Regulation NMS (``Rule 605'') (17 CFR 242.605),\1\ under the Securities Exchange Act of 1934 (15 U.S.C. 78a, et seq.) (``Exchange Act''). The Commission plans to submit this existing collection of information to the Office of Management and Budget (``OMB'') for extension and approval. Rule 605, formerly known as, Rule 11Ac15, requires market centers to make available to the public monthly order execution reports in electronic form. The Commission believes that many market centers retain most, if not all, of the underlying raw data necessary to generate these reports in electronic format. Once the necessary data is
[[Page 4481]]
collected, market centers could either program their systems to ge ]]> http://thefederalregister.com/d.p/2013-01-22-2013-01113 Tue, Jan 22 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-18-2013-00967 \2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange is filing a proposal to amend the MIAX Options Fee Schedule (the ``Fee Schedule'') to establish membership and system connectivity fees applicable to Members and nonMembers using services provided by MIAX. While changes to the Exchange's Fee Schedule pursuant to this proposal are effective upon filing, the Exchange has designated that the proposed monthly Port Fees and the proposed monthly Member Participant Identifier Fee be implemented beginning January 1, 2013.

The text of the proposed rule change is available on the Exchange's Web site at http://www.miaxoptions.com/filter/wotitle/rule_filing, at MIAX's principal office, and at the Commission's Public Reference Room. II. SelfRegulatory O ]]> http://thefederalregister.com/d.p/2013-01-18-2013-00967 Fri, Jan 18 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-18-2013-01151 Jill M. Peterson,
Assistant Secretary.
[FR Doc. 201301151 Filed 11613; 4:15 pm]
BILLING CODE 801101P ]]> http://thefederalregister.com/d.p/2013-01-18-2013-01151 Fri, Jan 18 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-17-2013-00975

For further information, please contact the Office of the Secretary at (202) 5515400.

Dated: January 15, 2013.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 201300975 Filed 11513; 11:15 am]
BILLING CODE 801101P ]]> http://thefederalregister.com/d.p/2013-01-17-2013-00975 Thu, Jan 17 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-17-2013-00868 \2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of the Substance of the Proposed Rule Change

BX proposes to reduce the fees assessed under BX Rule 7034 for certain colocation services. The Exchange is proposing to implement the proposed fee beginning on January 2, 2013. The text of the proposed rule change is available at http://nasdaqomxbx.cchwallstreet.com, at BX's principal office, and at the Commission's Public Reference Room. II. SelfRegulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change

In its filing with the Commission, the selfregulatory organization 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 those statements may be examined at ]]> http://thefederalregister.com/d.p/2013-01-17-2013-00868 Thu, Jan 17 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-16-C1-2012-31463

In notice document 201231463, appearing on pages 140142 in the issue of Wednesday, January 2, 2013, make the following correction:

On page number 142, in the third column, on the eighth and ninth lines from the bottom, the date reading ``January 23, 2012'' should read ``January 23, 2013''.
[FR Doc. C1201231463 Filed 11513; 8:45 am]
BILLING CODE 150501D ]]> http://thefederalregister.com/d.p/2013-01-16-C1-2012-31463 Wed, Jan 16 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-16-C1-2012-31462

In notice document 201231462, appearing on pages 136138 in the issue of Wednesday, January 2, 2013, make the following correction:

On page number 138, in the second column, on the fortyfirst line, the date reading ``January 23, 2012'' should read ``January 23, 2013''. [FR Doc. C1201231462 Filed 11513; 8:45 am]
BILLING CODE 150501D ]]> http://thefederalregister.com/d.p/2013-01-16-C1-2012-31462 Wed, Jan 16 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-16-2013-00791 \2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to establish the Latency Optics addon service to QView offered at no cost to subscribing members beginning February 4, 2013, and for a monthly fee beginning April 1, 2013.

The text of the proposed rule change is below. Proposed new language is italicized.
7058. QView
(a) QView is a webbased tool designed to give a subscribing member the ability to track its order flow on Nasdaq, and create both realtime and historical reports of such order flow. Members may subscribe to QView for a fee of $600 per month, per member firm. (b) A QView subscriber may subscribe to the Latency Optics add on service. Latency Optics is a webbased tool accessed through QView that provides a subscribing member the ability to monitor the latency of its order messages ]]> http://thefederalregister.com/d.p/2013-01-16-2013-00791 Wed, Jan 16 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-15-2013-00660 (``Injunction'') until the Commission takes final action on an application for a permanent order. Applicants also have applied for a permanent order.
Applicants: JPMS, EMC, BSABS, SAMI, SACO, JPMAC, Bear Stearns Asset Management Inc. (``BSAM''), Bear Stearns Health Innoventures Management, L.L.C. (``BSHIM''), BSCGP Inc. (``BSGCP''), Constellation Growth Capital LLC (``Constellation''), Constellation Ventures Management II, LLC (``Constellation II''), Highbridge Capital ]]> http://thefederalregister.com/d.p/2013-01-15-2013-00660 Tue, Jan 15 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-15-2013-00609

On November 13, 2012, The Options Clearing Corporation (``OCC'') filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') the proposed rule change SROCC201222 pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 thereunder.\2\ The proposed rule change was published for comment in the Federal Register on November 30, 2012.\3\ The Commission received no comment letters. This order approves the proposed rule change.
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ Securities Exchange Act Release No. 68288 (November 26, 2012), 77 FR 71466 (November 30, 2012).

II. Description of the Proposed Rule Change

The purpose of the proposed rule changes is to eliminate potential ambiguity as to OCC's right to use margin and other amounts credited to the Liquidating Settlement Account pursuant to OCC Rule 1104 to settle marktomarket payments arising from stock loan and borrow positions carried in the clearing mem ]]> http://thefederalregister.com/d.p/2013-01-15-2013-00609 Tue, Jan 15 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-15-2013-00681 ]]> http://thefederalregister.com/d.p/2013-01-15-2013-00681 Tue, Jan 15 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-14-2013-00517

Rule 2a7, OMB Control No. 32350268, SEC File No. 270258.

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 (the ``Commission'') has submitted to the Office of Management and Budget a request for extension of the previously approved collection of information discussed below.

Rule 2a7 (17 CFR 270.2a7) under the Investment Company Act of 1940 (15 U.S.C. 80a) (the ``Act'') governs money market funds. Money market funds are openend management investment companies that differ from other openend management investment companies in that they seek to maintain a stable price per share, usually $1.00. The rule exempts money market funds from the valuation requirements of the Act, and, subject to certain risklimiting conditions, permits money market funds to use the ``amortized cost method'' of asset valuation or the ``penny rounding method'' of share pricing.

Rule 2a7 also imposes certain rec ]]> http://thefederalregister.com/d.p/2013-01-14-2013-00517 Mon, Jan 14 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-14-2013-00538 www.sec.gov. Persons needing special accommodations to take part because of a disability should notify the contact person listed below. The public is invited to submit written statements to the Committee. The agenda for the meeting includes: Introductory remarks from Chairman Walter and Commissioners; introductory remarks from Committee officers; discussion of a ]]> http://thefederalregister.com/d.p/2013-01-14-2013-00538 Mon, Jan 14 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-14-2013-00678

Dated: January 10, 2013.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 201300678 Filed 11013; 4:15 pm]
BILLING CODE 801101P ]]> http://thefederalregister.com/d.p/2013-01-14-2013-00678 Mon, Jan 14 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-14-2013-00516 Applicants: First Trust ExchangeTraded Fund, First Trust Exchange Traded Fund II, First Trust ExchangeTraded Fund III, First Trust ExchangeTraded Fund IV, First Trust ExchangeTraded Fund V, First Trust ExchangeTraded Fund VI, First Trust ExchangeTraded Fund VII, First Trust ExchangeTraded AlphaDEX Fund and First Trus ]]> http://thefederalregister.com/d.p/2013-01-14-2013-00516 Mon, Jan 14 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-14-2013-00680 Institution and settlement of administrative proceedings;
Consideration of amicus participation; and

Other matters relating to enforcement proceedings.

At times, changes in Commission priorities require alterations in the scheduling of meeting items.

For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 5515400.
Dated: January 10, 2013.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 201300680 Filed 11013; 4:15 pm]
BILLING CODE 801101P ]]> http://thefederalregister.com/d.p/2013-01-14-2013-00680 Mon, Jan 14 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-14-2013-00677

Dated: January 10, 2013.
Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 201300677 Filed 11013; 4:15 pm]
BILLING CODE 801101P ]]> http://thefederalregister.com/d.p/2013-01-14-2013-00677 Mon, Jan 14 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-11-2013-00434 [[Page 2454]]
companies to acquire shares of registered openend management investment companies that are within the same group of investment companies.

Applicants: Credit Suisse Opportunity Funds (``Opportunity Funds''), Credit Suisse Commodity Strategy Funds (``Commodity Strategy Funds''), Credit Suisse High Yield Bond Fund (``High Yield Bond Fund''), Credit Suisse Asset Management Income Fund, Inc. (``Income Fund''); Credit Suisse Asset Management, LLC (``Adviser''), and Credit Suisse Securities (USA) LLC (``CSSU'').\1\
\1\ Each Fund (as defined below) that currently intends to rely on the requested order is named as an applicant. Any Fund that relies on the order in the future will do so only in accordance with the terms and conditions contained in the application, as amended. ]]> http://thefederalregister.com/d.p/2013-01-11-2013-00434 Fri, Jan 11 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-10-2013-00304 \2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

Nasdaq proposes to list and trade the shares of the First Trust High Yield Long/Short ETF (the ``Fund'') of First Trust ExchangeTraded Fund IV (the ``Trust'') under Nasdaq Rule 5735 (``Managed Fund Shares''). The shares of the Fund are collectively referred to herein as the ``Shares.''

The text of the proposed rule change is available at http://nasdaq.cchwallstreet.com/, at Nasdaq's principal office, and at the Commission's Public Reference Room.
II. SelfRegulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change

In its filing with the Commission, Nasdaq included statements concerning the purpose of, and basis for, the proposed rule change. The text of these statements may be ]]> http://thefederalregister.com/d.p/2013-01-10-2013-00304 Thu, Jan 10 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-09-C1-2012-31120

In notice document 201231120 appearing on pages 7632676332 in the issue of December 27, 2012, the File No. is corrected to read as set forth above.
[FR Doc. C1201231120 Filed 1813; 8:45 am]
BILLING CODE 150501D ]]> http://thefederalregister.com/d.p/2013-01-09-C1-2012-31120 Wed, Jan 9 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-09-2013-00255 \2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of the Substance of the Proposed Rule Change

The Exchange proposes to amend its fee schedule for the four direct data feed products.

While changes to the Pricing Schedule pursuant to this proposal are effective upon filing, the Exchange has designated the proposed amendment to be operative on January 2, 2013.

The text of the proposed rule change is below. Proposed new language is italicized; proposed deletions are bracketed.\3\ \3\ Changes are marked to the rules of PHLX are found at http://nasdaqomxphlx.cchwallstreet.com/. * * * * *
IX. Proprietary Data Feed Fees
Top of PHLX Options (``TOPO'')
Monthly Account type cha ]]> http://thefederalregister.com/d.p/2013-01-09-2013-00255 Wed, Jan 9 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-08-2013-00084 \2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

ICE Clear Europe proposes to implement an enhanced margin methodology (``Decomp Model'') that addresses the risk of both index and
[[Page 1282]]
singlename credit default swaps (``CDS'') cleared by ICE Clear Europe and permits appropriate portfolio margining between related index and singlename CDS positions.
II. SelfRegulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change

In its filing with the Commission, ICE Clear Europe 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. ICE Clear Europe has prepared summaries, set forth in sectio ]]> http://thefederalregister.com/d.p/2013-01-08-2013-00084 Tue, Jan 8 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-08-C1-2012-30887

In notice document 201230887 appearing on pages 7613576139 in the issue of December 26, 2012, make the following correction:

On page 76139, in the first column, in the last full paragraph, in the last line, ``January 14, 2013'' should read ``January 16, 2013''. [FR Doc. C1201230887 Filed 1713; 8:45 am]
BILLING CODE 150501D ]]> http://thefederalregister.com/d.p/2013-01-08-C1-2012-30887 Tue, Jan 8 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-08-2013-00081 \2\ 17 CFR 240.19b4.
\3\ 15 U.S.C. 78s(b)(3)(A)(iii).
\4\ 17 CFR 240.19b4(f)(6).
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to extend the operation of its Supplemental Liquidity Providers Pilot (``SLP Pilot'' or ``Pilot'') (See Rule 107B), currently scheduled to expire on January 31, 2013, until the earlier of the Securities and Exchange Commission's (``Commission'') approval to make such Pilot permanent or July 31, 2013. The text of the proposed rule change is available on the Exchange's Web site at www.nyse.com, at the principal office of the Exchange, and at the Commission's Public Reference Room.
II. SelfRegulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change

In its filing with the Commission, the selfregulatory organ ]]> http://thefederalregister.com/d.p/2013-01-08-2013-00081 Tue, Jan 8 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-08-2013-00078 \2\ 17 CFR 240.19b4.
\3\ 15 U.S.C. 78s(b)(3)(A)(iii).
\4\ 17 CFR 240.19b4(f)(6).
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to extend the operation of its Supplemental Liquidity Providers Pilot (``SLP Pilot'' or ``Pilot'') (See Rule 107B Equities), currently scheduled to expire on January 31, 2013, until the earlier of the Securities and Exchange Commission's (``Commission'') approval to make such Pilot permanent or July 31, 2013. The text of the proposed rule change is available on the Exchange's Web site at www.nyse.com, at the principal office of the Exchange, and at the Commission's Public Reference Room.
II. SelfRegulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change

In its filing with the Commission, the selfregulato ]]> http://thefederalregister.com/d.p/2013-01-08-2013-00078 Tue, Jan 8 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-08-C1-2012-31260

In notice document 201231260, appearing on pages 7716677167 in the issue of Monday, December 31, 2012, make the following correction:

On page 77166, in the second column, the Release No. and the File No., are corrected to read as set forth above.
[FR Doc. C1201231260 Filed 1713; 8:45 am]
BILLING CODE 150501D ]]> http://thefederalregister.com/d.p/2013-01-08-C1-2012-31260 Tue, Jan 8 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-08-2013-00122

On November 6, 2012, the Fixed Income Clearing Corporation (``FICC'' or the ``Corporation'') filed with the Securities and Exchange Commission (``Commission'') proposed rule change SRFICC2012 07 pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19ba4 thereunder.\2\ The proposed rule change was published for comment in the Federal Register on November 21, 2012.\3\ No comments letters were received on the proposed rule change. This order approves the proposed rule change.
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ Securities Exchange Act Release No. 68245 (November 15, 2012), 77 FR 69913 (November 21, 2012).

II. Description

The proposed rule change relates to certain enhancements that the MortgageBacked Securities Division (``MBSD'') of FICC intends to implement to its services. In addition, FICC proposes to make certain corrections and clarifications to the MBSD Rules. As noted below, some of the proposed changes do ]]> http://thefederalregister.com/d.p/2013-01-08-2013-00122 Tue, Jan 8 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-08-2013-00079 \2\ 17 CFR 240.19b4.
\3\ 15 U.S.C. 78s(b)(3)(A)(iii).
\4\ 17 CFR 240.19b4(f)(6).
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to extend the operation of its New Market Model Pilot, currently scheduled to expire on January 31, 2013, until the earlier of Securities and Exchange Commission (``Commission'') approval to make such pilot permanent or July 31, 2013. The text of the proposed rule change is available on the Exchange's Web site at www.nyse.com, at the principal office of the Exchange, and at the Commission's Public Reference Room.
II. SelfRegulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change

In its filing with the Commission, the selfregulatory organization included statements concerning the purpose of, and basis fo ]]> http://thefederalregister.com/d.p/2013-01-08-2013-00079 Tue, Jan 8 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-08-2012-31518

The Commission is now printing in the Federal Register, along with our preamble, only those agenda entries for which we have indicated that preparation of a Regulatory Flexibility Act analysis is required.

The Commission's complete RFA agenda will be available online at www.reginfo.gov. ]]> http://thefederalregister.com/d.p/2013-01-08-2012-31518 Tue, Jan 8 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-08-C1-2012-30888

In notice document 201230888 appearing on pages 7614876155 in the issue of December 26, 2012, make the following correction:

On page 76155, in the first column, in the 14th line, ``January 14, 2013'' should read ``January 16, 2013''.
[FR Doc. C1201230888 Filed 1713; 8:45 am]
BILLING CODE 150501D ]]> http://thefederalregister.com/d.p/2013-01-08-C1-2012-30888 Tue, Jan 8 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-08-2013-00080 \2\ 17 CFR 240.19b4.
\3\ 15 U.S.C. 78s(b)(3)(A)(iii).
\4\ 17 CFR 240.19b4(f)(6).
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to extend the operation of its New Market Model Pilot, currently scheduled to expire on January 31, 2013, until the earlier of Securities and Exchange Commission (``Commission'') approval to make such pilot permanent or July 31, 2013. The text of the proposed rule change is available on the Exchange's Web site at www.nyse.com, at the principal office of the Exchange, and at the Commission's Public Reference Room.
II. SelfRegulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change

In its filing with the Commission, the selfregulatory organization included statements concerning the purpose of, and basis fo ]]> http://thefederalregister.com/d.p/2013-01-08-2013-00080 Tue, Jan 8 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-08-C1-2012-30886

In notice document 201230886 appearing on pages 7614176145 in the issue of December 26, 2012, make the following correction:

On page 76145, in the third column, in the 12th line, ``January 14, 2013'' should read ``January 16, 2013''.
[FR Doc. C1201230886 Filed 1713; 8:45 am]
BILLING CODE 150501D ]]> http://thefederalregister.com/d.p/2013-01-08-C1-2012-30886 Tue, Jan 8 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-08-2013-00083 \2\ 17 CFR 240.19b4.
\3\ 15 U.S.C. 78s(b)(3)(A)(ii).
\4\ 17 CFR 240.19b4(f)(2).
I. Clearing Agency's Statement of the Terms of Substance of the Proposed Rule Change

The proposed rule change is to revise Addendum A (Fee Structure) of NSCC's Rules & Procedures (``Rules'') as it relates to certain Insurance and Retirement Services (``I&RS'') fees and remove reference to FundSPEED, a discontinued service.
II. Clearing Agency's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change

In its filing with the Commission, NSCC 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. NSCC has prepared summaries, set forth in sections (A), (B), and (C) below, of the most significant asp ]]> http://thefederalregister.com/d.p/2013-01-08-2013-00083 Tue, Jan 8 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-08-2013-00082 \2\ 17 CFR 240.19b4.
\3\ 15 U.S.C. 78s(b)(3)(A)(iii).
\4\ 17 CFR 240.19b4(f)(6).
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to amend NYSE MKT Rule 500Equities to Extend the Operation of the Pilot Program that Allows Nasdaq Stock Market (``Nasdaq'') Securities to be Traded on the Exchange Pursuant to a Grant of Unlisted Trading Privileges. The text of the proposed rule change is available on the Exchange's Web site at www.nyse.com, at the principal office of the Exchange, and at the Commission's Public Reference Room.
II. SelfRegulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change

In its filing with the Commission, the selfregulatory organization included statements concerning the purpose of, and basis for, the proposed r ]]> http://thefederalregister.com/d.p/2013-01-08-2013-00082 Tue, Jan 8 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-08-2013-00077 \2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to amend BX Options Rules, Chapter XV, Section 2 entitled ``BX Options MarketFees and Rebates'' to adopt fees and rebates for NonPenny Pilot Options.\3\
\3\ NonPenny Pilot refers to options classes not in the Penny Pilot.

While the changes proposed herein are effective upon filing, the Exchange has designated these changes to be operative on January 2, 2013.

The text of the proposed rule change is available on the Exchange's Web site at http://nasdaqomxbx.cchwallstreet.com/NASDAQOMXBX/Filings/ com/NASDAQOMXBX/Filings/, at the principal office of the Exchange, and at the Commission's Public Reference Room.
II. SelfRegulatory Organization's Statement of the Purpose of, an ]]> http://thefederalregister.com/d.p/2013-01-08-2013-00077 Tue, Jan 8 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-07-2012-31752 \2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to amend its fees and rebates applicable to Members \3\ of the Exchange pursuant to EDGX Rule 15.1(a) and (c). All of the changes described herein are applicable to EDGX Members. The text of the proposed rule change is available on the Exchange's Internet Web site at www.directedge.com, at the Exchange's principal office, and at the Public Reference Room of the Commission. \3\ As defined in Exchange Rule 1.5(n).
II. SelfRegulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change

In its filing with the Commission, the selfregulatory organization included statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it r ]]> http://thefederalregister.com/d.p/2013-01-07-2012-31752 Mon, Jan 7 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-07-2013-00126

Institution and settlement of injunctive actions; institution and settlement of administrative proceedings; and litigation matters.

At times, changes in Commission priorities require alterations in the scheduling of meeting items.

For further information and to ascertain what, if any, matters have been added, deleted or postponed, please contact the Office of the Secretary at (202) 5515400.
Dated: January 3, 2013.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 201300126 Filed 1313; 4:15 pm]
BILLING CODE 801101P ]]> http://thefederalregister.com/d.p/2013-01-07-2013-00126 Mon, Jan 7 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-07-2012-31753 ]]> http://thefederalregister.com/d.p/2013-01-07-2012-31753 Mon, Jan 7 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-04-2012-31668

On October 25, 2012, NYSE Arca, Inc. (``Exchange'' or ``NYSE Arca'') 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 list and trade shares (``Shares'') of the United States Asian Commodities Basket Fund (``Fund'') under NYSE Arca Equities Rule 8.200. The proposed rule change was published for comment in the Federal
[[Page 786]]
Register on November 13, 2012.\3\ The Commission received no comments on the proposed rule change. This order grants approval of the proposed rule change.
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ See Securities Exchange Act Release No. 68173 (November 6, 2012), 77 FR 67712 (``Notice'').

II. Description of Proposed Rule Change

The Exchange proposes to list and trade Shares of the Fund pursuant to NYSE Arca Equities Rule 8.200, Commentary .02.\4\ The Shares represent beneficia ]]> http://thefederalregister.com/d.p/2013-01-04-2012-31668 Fri, Jan 4 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-03-2012-31568 primarily by ICE Clear Europe. ICE Clear Europe filed the proposal pursuant to Section 19(b)(3)(A)(iii) of the Act,\3\ and Rule 19b 4(f)(4)(ii) thereunder,\4\ so that the proposal was effective upon filing with the Commission. The Commission is publishing this notice to solicit comments on the proposed 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)(iii).
\4\ 17 CFR 240.19b4(f)(4)(ii).
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The purpose of the change is to amend SPAN Margin Parameters for ICE OTC Natural Gas Liquids (NGL) Contracts. All capitalized terms not defined herein are defined in the ICE Clear Europe Rules.
II. SelfRegulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change

In its filing with the Commission, ICE Clear Europe included statements concerning the purpose of and basis for the proposed rul ]]> http://thefederalregister.com/d.p/2013-01-03-2012-31568 Thu, Jan 3 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-02-2012-31463 \2\ 17 CFR 240.19b4.
\3\ 15 U.S.C. 78s(b)(3)(A)(iii).
\4\ 17 CFR 240.19b4(f)(4)(i).
I. SelfRegulatory Organization's Statement of Terms of Substance of the Proposed Rule Change

OCC is amending its ByLaws and Rules to make them consistent with recent system changes to the Stock Loan/Hedge Program and Market Loan Program and delete certain terms and provisions that are no longer applicable.
II. SelfRegulatory Organization's Statement of 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 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. OCC has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of such statement ]]> http://thefederalregister.com/d.p/2013-01-02-2012-31463 Wed, Jan 2 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-02-2012-31465 \2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

BSECC proposes a rule change with respect to the amendment of the bylaws of its parent corporation, The NASDAQ OMX Group, Inc. (``NASDAQ OMX'' or the ``Corporation''). The text of the proposed rule change is available at http://nasdaqomxbx.cchwallstreet.com/, at BSECC's principal office, and at the Commission's Public Reference Room. [[Page 133]]
II. SelfRegulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change

In its filing with the Commission, the Corporation 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 sp ]]> http://thefederalregister.com/d.p/2013-01-02-2012-31465 Wed, Jan 2 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-02-2012-31595

It appears to the Securities and Exchange Commission that there is a lack of current and accurate information concerning the securities of Southridge Enterprises, Inc. (``Southridge'') because of questions regarding the accuracy of statements made by Southridge in press releases to investors concerning, among other things, the company's business operations and arrangements, including certain claims regarding a joint partnership and an arrangement to obtain funding and to change the listing venue for Southridge stock. Southridge is a Nevada corporation purportedly based in Dallas, Texas, and its stock is currently traded over the counter and quoted on OTC Link under the symbol SRGE.

The Commission is of the opinion that the public interest and the protection of investors require a suspension of trading in the securities of Southridge.

Therefore, it is ordered, pursuant to Section 12(k) of the Securities Exchange Act of 1934, that trading in the abovelisted company is suspended for th ]]> http://thefederalregister.com/d.p/2013-01-02-2012-31595 Wed, Jan 2 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-02-2012-31462 \2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

NASDAQ is filing with the Commission a proposal for the NASDAQ Options Market (``NOM'') to amend Chapter VI, Section 5 (Minimum Increments) of the rules of NOM to: extend through June 30, 2013, the Penny Pilot Program in options classes in certain issues (``Penny Pilot'' or ``Pilot''), and to change the date when delisted classes may be replaced in the Penny Pilot.\3\
\3\ The Penny Pilot was established in March 2008 and last extended in June 2012. See Securities Exchange Act Release Nos. 57579 (March 28, 2008), 73 FR 18587 (April 4, 2008) (SRNASDAQ2008 026) (notice of filing and immediate effectiveness establishing Penny Pilot); and 67325 (June 29, 2012), 77 FR 40127 (July 6, 2012) (SRNASDAQ2012175) (notice of filing and immediate effectiveness extending the Penny Pi ]]> http://thefederalregister.com/d.p/2013-01-02-2012-31462 Wed, Jan 2 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-02-2012-31533 \2\ 17 CFR 240.19b4.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to extend its Credit Option Margin Pilot Program through January 17, 2014. The text of the proposed rule change is available on the Exchange's Web site (http://www.cboe.com/AboutCBOE/CBOELegalRegulatoryHome.aspx), at the Exchange's Office of the Secretary, and at the Commission.
II. SelfRegulatory 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 ]]> http://thefederalregister.com/d.p/2013-01-02-2012-31533 Wed, Jan 2 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-02-2012-31593

By the Commission.
Elizabeth M. Murphy,
Secretary.
[FR Doc. 201231593 Filed 122812; 4:15 pm]
BILLING CODE 801101P ]]> http://thefederalregister.com/d.p/2013-01-02-2012-31593 Wed, Jan 2 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-02-2012-31464 19, 2012, Stock Clearing Corporation of Philadelphia (``SCCP'') 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 SCCP. 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

SCCP proposes a rule change with respect to the amendment of the bylaws of its parent corporation, The NASDAQ OMX Group, Inc. (``NASDAQ OMX'' or the ``Corporation''). The text of the proposed rule change is available at http://nasdaqomxphlx.cchwallstreet.com/nasdaqomxphlx/sccp/ , at SCCP's principal office, and at the Commission's Public Reference Room.
II. SelfRegulatory Organization's Statement of the Purpose of, ]]> http://thefederalregister.com/d.p/2013-01-02-2012-31464 Wed, Jan 2 2013 11:00:00 GMT http://thefederalregister.com/d.p/2013-01-02-2012-31466

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 (the ``Commission'') is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget (``OMB'') for extension and approval.

Rule 15c34 (17 CFR 240.15c34) (the ``Rule'') under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) (the ``Exchange Act'') requires certain brokerdealers that are registered with the Commission as OTC derivatives dealers, or who compute their net capital charges under Appendix E to Rule 15c31 (17 CFR 240.15c31) (``ANC firms''), to establish, document, and maintain a system of internal risk management controls. The Rule sets forth the basic elements for an OTC derivatives dealer or an ANC firm to c ]]> http://thefederalregister.com/d.p/2013-01-02-2012-31466 Wed, Jan 2 2013 11:00:00 GMT