The Federal Register http://thefederalregister.com/b.p/department/SECURITIES_AND_EXCHANGE_COMMISSION/2005-12-01/ Daily Publications of Meetings and Rules Changes for the Federal Government Thu, Jan 8 2009 11:00:00 GMT Thu, Jan 8 2009 11:00:00 GMT info@thefederalregister.com <![CDATA[ Proposed Collection; Comment Request ]]> http://thefederalregister.com/d.p/2005-12-01-E5-6725

Extension:

Form NPX; SEC File No. 270524; OMB Control No. 32350582.

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 (``OMB'') for extension and approval.

The title of the collection of information is ``Form NPX under the Investment Company Act of 1940, Annual Report of Proxy Voting Record.'' Rule 30b14 under the Investment Company Act of 1940 (``Investment Company Act'') requires every registered management investment company, other than a small business investment company (``Fund''), to file Form NPX not later than August 31 of each year. Funds use ]]> http://thefederalregister.com/d.p/2005-12-01-E5-6725 Thu, Dec 1 2005 11:00:00 GMT <![CDATA[ Proposed Collection; Comment Request ]]> http://thefederalregister.com/d.p/2005-12-01-E5-6726

Extension:

Rule 34b1; File No. 270305; OMB Control No. 32350346.

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 34b1 (17 CFR 270.34b1) under the Investment Company Act of 1940, Sales Literature Deemed to be Misleading.

    Rule 34b1 under the Investment Company Act [17 CFR 270.34b1] governs sales material that accompanies or follows the delivery of a statutory prospectus (``sales literature''). Rule 34b1 deems to be materially misleading any investment company sales literature, required to be filed with the Com ]]> http://thefederalregister.com/d.p/2005-12-01-E5-6726 Thu, Dec 1 2005 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed]]> http://thefederalregister.com/d.p/2005-12-01-E5-6727

    Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 thereunder,\2\ notice is hereby given that on November 14, 2005, the American Stock Exchange LLC (``Amex'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') the proposed rule change as described in Items I, II, and III below, which Items have been prepared by the Exchange. Amex has designated this proposal as one establishing or changing a due, fee, or other charge imposed by a selfregulatory organization pursuant to section 19(b)(3)(A) of the Act \3\ and Rule 19b4(f)(2) thereunder,\4\ which renders the proposal effective upon filing with the Commission. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons.
    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b4.
    \3\ 15 U.S.C. 78s(b)(3)(A).
    \4\ 17 CFR 240.19b4(f)(2).
    I. SelfRegulatory Organization's Statement of the Terms of Substanc ]]> http://thefederalregister.com/d.p/2005-12-01-E5-6727 Thu, Dec 1 2005 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; American Stock Exchange LLC; Order Granting Approval of a Proposed Rule Change and]]> http://thefederalregister.com/d.p/2005-12-01-E5-6728

    On May 23, 2005, the American Stock Exchange LLC (``Amex'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission''), pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 thereunder,\2\ a proposed rule change to provide that Registered Options Traders (``ROTs'') may only sign on to AutoEx \3\ for a maximum of fifteen Portfolio Depository Receipts, Index Fund Shares, and Trust Issued Receipts (collectively, ``ExchangeTraded Funds'' or ``ETFs'') and only if such ETFs are traded by the same or adjoining specialists for a maximum of three contiguous panels (i.e., electronic order book work stations).\4\ On September 13, 2005, the Exchange filed Amendment No. 1 to the proposed rule change.\5\ The proposed rule change and Amendment No. 1 were published for comment in the Federal Register on September 30, 2005.\6\ The Commission received no comments on the proposal. This order approves the proposed rule change, ]]> http://thefederalregister.com/d.p/2005-12-01-E5-6728 Thu, Dec 1 2005 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of a]]> http://thefederalregister.com/d.p/2005-12-01-E5-6731

    Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934,\1\ notice is hereby given that on October 26, 2005, The Options Clearing Corporation (``OCC'') filed with the Securities and Exchange Commission the proposed rule change as described in Items I, II and III below, which Items have been prepared primarily by OCC. OCC filed the proposed rule change pursuant to section 19(b)(3)(A)(ii) of the Act \2\ and Rule 19b4(f)(2) thereunder \3\ which renders the proposal effective upon filing with the Commission. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons.
    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78s(b)(3)(A)(ii).
    \3\ 17 CFR 240.19b4(f)(2).
    I. SelfRegulatory Organization's Statement of the Terms of the Substance of the Proposed Rule Change

    The proposed rule change will authorize OCC to reject all types of posttrade transactions when OCC determines, in its sole discretion, that the input r ]]> http://thefederalregister.com/d.p/2005-12-01-E5-6731 Thu, Dec 1 2005 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; Pacific Exchange, Inc.; Order Approving Proposed Rule Change and Amendment No. 1]]> http://thefederalregister.com/d.p/2005-12-01-E5-6732

    I. Introduction

    On April 21, 2005, the Pacific Exchange, Inc. (``PCX'' or ``Exchange''), through its whollyowned subsidiary PCX Equities, Inc. (``PCXE''), filed with the Securities and Exchange Commission (``Commission'' or ``SEC''), pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 thereunder,\2\ a proposed rule change to modify its rules governing the Directed Order Process on the Archipelago Exchange (``ArcaEx'').\3\ The PCX filed Amendment No. 1 to the proposed rule change on October 4, 2005.\4\ The proposed rule change, as amended, was published for comment in the Federal Register on October 13, 2005.\5\ The Commission received no comments from the public in response to the proposed rule change. The PCX filed Amendment No. 2 to the proposed rule change on November 17, 2005.\6\ This order approves the proposed rule, as amended by Amendment No. 1; grants accelerated approval to Amendment No. 2; and solicits comments from in ]]> http://thefederalregister.com/d.p/2005-12-01-E5-6732 Thu, Dec 1 2005 11:00:00 GMT <![CDATA[ Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of]]> http://thefederalregister.com/d.p/2005-12-01-E5-6730

    Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 thereunder,\2\ notice is hereby given that on November 9, 2005, the Philadelphia Stock Exchange, Inc. (``Phlx'' 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 Phlx. On November 18, 2005, the Phlx filed Amendment No. 1 to the proposed rule change.\3\ The Phlx filed the proposal pursuant to section 19(b)(3)(A) of the Act \4\ and Rule 19b4(f)(6) thereunder,\5\ which renders the proposal effective upon filing with the Commission.\6\ The Commission is publishing this notice to solicit comments on the proposed rule change, as amended, from interested persons.
    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b4.
    \3\ In Amendment No. 1, the Exchange asked the Commission to waive the 30day operative delay required by Rule 19b4(f)(6)(iii). See 17 C ]]> http://thefederalregister.com/d.p/2005-12-01-E5-6730 Thu, Dec 1 2005 11:00:00 GMT <![CDATA[ Order Granting an Application of Global Industries, Ltd. Under Section 12(h) of the Securities Exchange Act of 1934]]> http://thefederalregister.com/d.p/2005-12-01-E5-6729

    Global Industries, Ltd. has filed an application under section 12(h) of the Securities Exchange Act of 1934, as amended. Global Industries has asked the Commission to extend the due date for Global Industries's Form 10Q for the quarter ended September 30, 2005 to November 29, 2005. Global Industries states that its principal executive offices are located in Carlyss, Louisiana, which is within one of the Presidentially Declared Disaster Areas for both Hurricane Katrina and Hurricane Rita. In its application, Global Industries asserts that an extension of the due date for Global Industries's Form 10Q for the quarter ended September 30, 2005 is necessary due to, among other things, the mandatory evacuations and the extraordinary disruptions to Global Industries's facilities, personnel, and information technology resources caused by Hurricane Rita.

    On November 4, 2005, the Commission issued a notice of the filing of the application giving interested persons until November ]]> http://thefederalregister.com/d.p/2005-12-01-E5-6729 Thu, Dec 1 2005 11:00:00 GMT <![CDATA[ Issuer Delisting; Notice of Application of Lynch Interactive Corporation To Withdraw Its Common Stock, $.01 Par Value,]]> http://thefederalregister.com/d.p/2005-12-01-05-23543

    On November 7, 2005, Lynch Interactive Corporation, a Delaware corporation (``Issuer''), filed an application with the Securities and Exchange Commission (``Commission''), pursuant to Section 12(d) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 12d22(d) thereunder,\2\ to withdraw its common stock, $.01 par value (``Security''), from listing and registration on the American Stock Exchange LLC (``Amex'').
    \1\ 15 U.S.C. 78l(d).

    \2\ 17 CFR 240.12d22(d).

    On November 3, 2005, the Board of Directors (``Board'') of the Issuer approved resolutions to withdraw the Security from listing and registration on Amex. The Issuer stated that the Board believes it is in the best interest to withdraw the Security from listing and registration on Amex. The Board approved a 1 for 100 reverse stock split of the Security, and granted the Issuer an option to acquire any shares of the Security proposed to be transferred in order to keep the number of record holders of the ]]> http://thefederalregister.com/d.p/2005-12-01-05-23543 Thu, Dec 1 2005 11:00:00 GMT <![CDATA[ Issuer Delisting; Notice of Application of Marlton Technologies, Inc. To Withdraw Its Common Stock, No Par Value, From]]> http://thefederalregister.com/d.p/2005-12-01-E5-6733

    On November 9, 2005, Marlton Technologies, Inc., a Pennsylvania company (``Issuer''), filed an application with the Securities and Exchange Commission (``Commission''), pursuant to section 12(d) of the Securities
    [[Page 72135]]
    Exchange Act of 1934 (``Act'') \1\ and Rule 12d22(d) thereunder,\2\ to withdraw its common stock, no par value (``Security''), from listing and registration on the American Stock Exchange LLC (``Amex''). \1\ 15 U.S.C. 78l(d).

    \2\ 17 CFR 240.12d22(d).

    On November 4, 2005, the Board of Directors (``Board'') of the Issuer unanimously approved resolutions to withdraw the Security from listing and registration on Amex. The Issuer stated that the Board is taking such action for the following reasons: (i) The Board has conducted a thorough review of the Issuer's current standing internally and in the market and has determined that the costs to the Issuer of public reporting company status outweigh the corresponding benefits; (ii) the Board had v ]]> http://thefederalregister.com/d.p/2005-12-01-E5-6733 Thu, Dec 1 2005 11:00:00 GMT