Extension:

Rule 17a4(b)(11); SEC File No. 270449; OMB Control No. 3235 0506

Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. Sec. 3501 et seq.), the Securities and Exchange Commission
[[Page 66201]]
(``Commission'') has submitted to the Office of Management and Budget (``OMB'') a request for extension of the previously approved collection of information discussed below.

Rule 17a4(b)(11) (17 CFR 240.17a4(b)(11)) under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) describes the record preservation requirements for those records required to be kept pursuant to Rule 17a3(a)(16), including how such records should be kept and for how long, to be used in monitoring compliance with the Commission's financial responsibility program and antifraud and antimanipulative rules as well as other rules and r ]]> http://thefederalregister.com/d.p/2007-11-27-E7-22978 Tue, Nov 27 2007 11:00:00 GMT http://thefederalregister.com/d.p/2007-11-27-E7-22980

Extension:

Form N14; SEC File No. 270297; OMB Control No. 32350336

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 requests for extension of the previously approved collection of information discussed below.

Form N14 (17 CFR 239.23) is used by investment companies registered under the Investment Company Act of 1940 (15 U.S.C. 80a1 et seq.) (``Investment Company Act'') and business development companies as defined by Section 2(a)(48) of the Investment Company Act to register securities under the Securities Act of 1933 (15 U.S.C. 77a et seq.) to be issued in business combination transactions specified in rule 145(a) (17 CFR 230.145(a)) and exchange offers. The securities are regis ]]> http://thefederalregister.com/d.p/2007-11-27-E7-22980 Tue, Nov 27 2007 11:00:00 GMT http://thefederalregister.com/d.p/2007-11-27-E7-22981

Extension:

Rule 17a3; SEC File No. 270026; OMB Control No. 32350033

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 (``OMB'') a request for extension of the previously approved collection of information discussed below. The Code of Federal Regulations citation to this collection of information is: 17 CFR 240.17a3.

Rule 17a3 under the Securities Exchange Act of 1934 (15 U.S.C. 78a et seq.) establishes minimum standards with respect to business records that brokerdealers registered with the Commission must make and keep current. These records are maintained by the brokerdealer (in accordance with a separate rule), so they can be used by the broker dealer and reviewed by
[[Page 66202]] ]]> http://thefederalregister.com/d.p/2007-11-27-E7-22981 Tue, Nov 27 2007 11:00:00 GMT http://thefederalregister.com/d.p/2007-11-27-E7-23002 Extension: Rule 2033, Form ADVH; SEC File No. 270481; OMB Control No. 32350538

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.

The title for the collection of information is ``Rule 2033 and Form ADVH under the Investment Advisers Act of 1940.'' Rule 2033 (17 CFR 275.2033) under the Investment Advisers Act of 1940 (15 U.S.C. 80b) establishes procedures for an investment adviser to obtain a hardship exemption from the electronic filing requirements of the Investment Advisers Act. Rule 2033 requires every person requesting a har ]]> http://thefederalregister.com/d.p/2007-11-27-E7-23002 Tue, Nov 27 2007 11:00:00 GMT http://thefederalregister.com/d.p/2007-11-27-E7-23004

Extension:

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 (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.

The title for the collection of information is ``Rule 206(4)4'' (17 CFR 275.206(4)4) under the Investment Advisers Act of 1940 (15 U.S.C. 80b1 et seq.). Rule 206(4)4 requires advisers to disclose certain financial and disciplinary information to clients. The disclosure requirements in rule 206(4)4 are designed so that a client will have information about an adviser's financial condition and disciplin ]]> http://thefederalregister.com/d.p/2007-11-27-E7-23004 Tue, Nov 27 2007 11:00:00 GMT http://thefederalregister.com/d.p/2007-11-27-E7-22974

Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 thereunder,\2\ notice is hereby given that on October 29, 2007, 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 substantially prepared by Amex. On November 9, 2007, the Exchange filed Amendment No. 1 to the proposed rule change.\3\ On November 16, 2007, the Exchange filed Amendment No. 2 to the proposal.\4\ The Commission is publishing this notice to solicit comments on the proposed rule change, as modified by Amendment Nos. 1 and 2, from interested persons.
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ Amendment No. 1 made clarifying changes to the purpose section of the original filing and revised the proposed annual listing fee schedule.
\4\ Amendment No. 2 made an additional clarifying chan ]]> http://thefederalregister.com/d.p/2007-11-27-E7-22974 Tue, Nov 27 2007 11:00:00 GMT http://thefederalregister.com/d.p/2007-11-27-E7-22985

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 June 12, 2007, the Chicago Board Options Exchange, Incorporated (``CBOE'' 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 substantially prepared by the Exchange. On November 8, 2007, the CBOE submitted Amendment No. 1 to the proposed rule change.\3\ 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\ Amendment No. 1 supersedes and replaces the original filing in its entirety. The substance of Amendment No. 1 is incorporated into this notice.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes various revis ]]> http://thefederalregister.com/d.p/2007-11-27-E7-22985 Tue, Nov 27 2007 11:00:00 GMT http://thefederalregister.com/d.p/2007-11-27-E7-23000

Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 thereunder,\2\ notice is hereby given that on October 30, 2007, the Chicago Board Options Exchange, Incorporated (``CBOE'' 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 substantially prepared by the Exchange. On November 15, 2008, the Exchange filed Amendment No. 1 to the proposed rule change. This order provides notice of, and approves, the proposed rule change, as modified by Amendment No. 1 thereto, on an accelerated basis.
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
[[Page 66207]]
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

CBOE is proposing to trade on its stock trading facility, the CBOE Stock Exchange (``CBSX''), shares (``Shares'') of the 93 funds identified below (collectively, the `` ]]> http://thefederalregister.com/d.p/2007-11-27-E7-23000 Tue, Nov 27 2007 11:00:00 GMT http://thefederalregister.com/d.p/2007-11-27-E7-23001

I. Introduction

On July 17, 2007, the Chicago Board Options Exchange, Incorporated (``CBOE'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') a proposed rule change, pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 thereunder,\2\ to permit the Exchange to: (i) Amend Rule 24.9(a)(2), Terms of Index Option Contracts, to allow the Exchange to list up to seven expiration months for broadbased security index options upon which the Exchange calculates a constant threemonth volatility index; and (ii) remove outdated rule text from Rule 24.9(a)(2). On September 19, 2007, CBOE filed Amendment No. 1 to the proposed rule change. The proposed rule change, as modified by Amendment No. 1, was published for comment in the Federal Register on October 16, 2007.\3\ 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\ ]]> http://thefederalregister.com/d.p/2007-11-27-E7-23001 Tue, Nov 27 2007 11:00:00 GMT http://thefederalregister.com/d.p/2007-11-27-E7-23003

I. Introduction

On July 11, 2007, the Chicago Board Options Exchange, Incorporated (``CBOE'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') a proposed rule change, pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 thereunder, \2\ to permit the Exchange to: (i) List and trade CBOE Dow Jones Industrial Average Volatility Index (``VXD'') options and Nasdaq100 Volatility Index (``VXN'') options in $1 strike price intervals; and (ii) list and trade CBOE Russell 2000 Volatility Index (``RVX''), VXD, VXN and CBOE Volatility Index (``VIX'') LEAPs in $1 strike price intervals. On August 20, 2007, CBOE filed Amendment No. 1 to the proposed rule change. The proposed rule change, as modified by Amendment No. 1, was published for comment in the Federal Register on September 24, 2007. \3\ The Commission received one comment letter regarding the proposal. \4\ This order approves the proposed rule change, ]]> http://thefederalregister.com/d.p/2007-11-27-E7-23003 Tue, Nov 27 2007 11:00:00 GMT http://thefederalregister.com/d.p/2007-11-27-E7-23021

Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act''),\1\ notice is hereby given that on August 17, 2007, the Fixed Income Clearing Corporation (``FICC'') 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 primarily by FICC. FICC filed the proposed rule change pursuant to section 19(b)(3)(A)(i) of the Act \2\ and Rule 19b4(f)(1) \3\ thereunder so that the proposal was 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)(i).
\3\ 17 CFR 240.19b4(f)(1).
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The proposed rule change enhances FICC's Government Securities Division's (``GSD'') correspondent clearing service for nettin ]]> http://thefederalregister.com/d.p/2007-11-27-E7-23021 Tue, Nov 27 2007 11:00:00 GMT http://thefederalregister.com/d.p/2007-11-27-E7-22979

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 8, 2007, NYSE Arca, Inc. (``NYSE Arca'' 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 substantially 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 Rule 6.87 governing obvious errors. Specifically, the Exchange proposes a revised review procedure for contesting decisions made pursuant to the options obvious error rule. The text of the proposed rule change is available at the Exchange, the Commission's Public Referenc ]]> http://thefederalregister.com/d.p/2007-11-27-E7-22979 Tue, Nov 27 2007 11:00:00 GMT