The Federal Register http://thefederalregister.com/b.p/department/SECURITIES_AND_EXCHANGE_COMMISSION/2000-05-31/ Daily Publications of Meetings and Rules Changes for the Federal Government Tue, May 21 2013 11:00:00 GMT Tue, May 21 2013 11:00:00 GMT info@thefederalregister.com <![CDATA[ Proposed Collection; Comment Request ]]> http://thefederalregister.com/d.p/2000-05-31-00-13492

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

Extension: Rule 206(4)3, SEC File No. 270218, OMB Control No. 32350242; Rule 206(4)4, SEC File No. 270304, OMB Control No. 32350345.

Notice is hereby given that, pursuant to the Paperwork Reduction Act of 1995
[[Page 34757]]
(44 U.S.C. 3501 et seq.), the Securities and Exchange Commission (``Commission'') is soliciting comments on the collections of information summarized below. The Commission plans to submit these existing collections of information to the Office of Management and Budget for extension and approval.

Rule 206(4)3, which is entitled ``Cash Payments for Client Solicitations,'' provides restrictions on cash payments for client solicitations. The rule requires that an adviser pay all solicitors' fees pursuant to a written agreement. When an adviser will provide only impersonal advisory services to the prospective client, th ]]> http://thefederalregister.com/d.p/2000-05-31-00-13492 Wed, May 31 2000 11:00:00 GMT <![CDATA[ Proposed Collection; Comment Request ]]> http://thefederalregister.com/d.p/2000-05-31-00-13528

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

Extension: Rule 17f2(a); SEC File No. 27034; OMB Control No. 32350034.

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 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 17f2(a) Fingerprinting Requirements for Securities Professionals

    Rule 17f2(a) requires that securities professionals be fingerprinted. This requirement serves to identify security risk personnel, to allow an employer to make fully informed employment decisions, and to deter possible wrongdoers from seeking employment in the securities industry. Partners, directors, officers, and employees ]]> http://thefederalregister.com/d.p/2000-05-31-00-13528 Wed, May 31 2000 11:00:00 GMT <![CDATA[ CIGNA Funds Group, et al.; Notice of Application ]]> http://thefederalregister.com/d.p/2000-05-31-00-13529 ]]> http://thefederalregister.com/d.p/2000-05-31-00-13529 Wed, May 31 2000 11:00:00 GMT <![CDATA[ Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Granting]]> http://thefederalregister.com/d.p/2000-05-31-00-13530

    Notice is hereby given that the Securities and Exchange Commission (``SEC'' or ``Commission'') has issued on Order, pursuant to Sections 17(d) \1\ and 11A(a)(3)(B) \2\ of the Securities Exchange Act of 1934 (``Act''), granting approval of an amendment to the plan for allocating regulatory responsibility filed pursuant to Rule 17d2 of the Act,\3\ by the American Stock Exchange LLC (``Amex''), the Chicago Board Options Exchange, Inc. (``CBOE''), the Chicago Stock Exchange, Inc. (``CHX''), the International Securities Exchange LLC (``ISE''), the National Association of Securities Dealers, Inc. (``NASD''), the New York Stock Exchange (``NYSE''), the Pacific Exchange, Inc. (``PCX''), and the Philadelphia Stock Exchange, Inc. (``Phlx'') (collectively the ``SRO participants'').
    \1\ 15 U.S.C. 78q(d).
    \2\ 15 U.S.C. 78k1(a)(3)(B).
    \3\ 17 CFR 240.17d2.

    I. Introduction

    Section 19(g)(1) of the Act,\4\ among other things, requires every national securities exc ]]> http://thefederalregister.com/d.p/2000-05-31-00-13530 Wed, May 31 2000 11:00:00 GMT <![CDATA[ Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Granting Approval of Plan]]> http://thefederalregister.com/d.p/2000-05-31-00-13531

    Notice is hereby given that the Securities and Exchange Commission (``SEC or Commission'') has issued an Order, pursuant to Sections 17(d) \1\ and 11A(a)(3)(B) \2\ of the Securities Exchange Act of 1934 (``Act''), granting approval of the plan, as amended, for allocating regulatory responsibility filed pursuant
    [[Page 34763]]
    to Rule 17d2 of the Act,\3\ by the International Securities Exchange LLC (``ISE'') and the National Association of Securities Dealer, Inc. (``NASD'').
    \1\ 15 U.S.C. 78q(d).
    \2\ 15 U.S.C. 78k1(a)(3)(B).

    \3\ 17 CFR 240.17d2.

    Accordingly, the NASD shall assume, in addition to the regulatory responsibilities it already has under the Act, the regulatory responsibilities allocated to it under the plan, as amended. At the same time, the ISE is relieved of those regulatory responsibilities allocated to the NASD.

    I. Introduction

    Section 19(g)(1) of the Act,\4\ among other things, requires every national securities exchange and reg ]]> http://thefederalregister.com/d.p/2000-05-31-00-13531 Wed, May 31 2000 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; Pacific Exchange, Inc.; Order Approving Proposed Rule Change Permitting Floor Brokers]]> http://thefederalregister.com/d.p/2000-05-31-00-13532

    I. Introduction

    On June 1, 1999, the Pacific Exchange, Inc. (``Exchange'' or ``PCX'') submitted to 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 seeking to amend its rules on options trading to permit Floor Brokers to immediately represent intrafloor telephonic orders in the trading crowd, with a written order ticket immediately to follow. Amendment No. 1 to the proposal was submitted on November 12, 1999. \3\ Notice of the proposed rule change, including Amendment No. 1, appeared in the Federal Register on December 8, 1999.\4\ The Commission received no comments on the proposal. This order approves the proposed rule change, as amended.
    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b4.
    \3\ See letter from Michael Pierson, Director, Regulatory Policy, PCX, to John Roeser, Attorney, Division of Market
    Regulation, Commission, date ]]> http://thefederalregister.com/d.p/2000-05-31-00-13532 Wed, May 31 2000 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; Notice of Filing of Proposed Rule Change by the Philadelphia Stock Exchange, Inc.]]> http://thefederalregister.com/d.p/2000-05-31-00-13533

    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 thereunder,\2\ notice is hereby given that on February 24, 2000,\3\ the Philadelphia Stock Exchange, Inc. (``Phlx'' 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 Phlx. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b4.
    \3\ On March 30, 2000 and April 13, 2000, the Exchange submitted Amendment Nos. 1 and 2 to the proposed rule change, respectively, the substance of which has been incorporated into this notice. See letters from John Kenney, Jr., Counsel, Phlx, to John Roeser, Attorney, Commission, dated March 29, 2000 (``Amendment No. 1'') and April 13, 2000 (``Amendment No. 2'').
    I. SelfRegulatory ]]> http://thefederalregister.com/d.p/2000-05-31-00-13533 Wed, May 31 2000 11:00:00 GMT