Rule 17a4 requires exchange members, brokers and dealers to preserve for prescribed periods of time certain records required to be made by Rule 17a3 (17 CFR 240.17a3). In addition, Rule 17a4 requires the preservation of records required to be made by other Commission rules and other kinds of reco ]]> http://thefederalregister.com/d.p/2007-12-12-E7-24034 Wed, Dec 12 2007 11:00:00 GMT http://thefederalregister.com/d.p/2007-12-12-E7-24035

Extension:

Rule 701; OMB Control No. 32350522; SEC File No. 270306.

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 701(17 CFR 230.701) under the Securities Act of 1933 (15 U.S.C. 77a et seq.) requires issuers conducting employee benefit plan offerings in excess of $5 million in reliance on the rule to provide the employees covered by the plan with risk and financial statement disclosures. The purpose of Rule 701 is to ensure that a basic level of information is available to employees and others when substantial amou ]]> http://thefederalregister.com/d.p/2007-12-12-E7-24035 Wed, Dec 12 2007 11:00:00 GMT http://thefederalregister.com/d.p/2007-12-12-E7-23966

Pursuant to Section 11A of the Securities Exchange Act of 1934 (``Act''),\1\ and Rule 608 thereunder,\2\ notice is hereby given that on November 5, 2007, the Consolidated Tape Association (``CTA'') Plan Participants (``Participants'')\3\ filed with the Securities and Exchange Commission (``SEC'' or ``Commission'') a proposal to amend the Second Restatement of the CTA Plan (the `` CTA Plan''). The proposal represents the eleventh substantive amendment to the Plan (``Eleventh Substantive Amendment'') and reflects changes unanimously adopted by the Participants. The proposed amendment would permit Participants to report to the Processor under the CTA Plan the actual number of shares for each transaction (exclusive of oddlots), rather than to report the number of round lots for each transaction. The Commission is publishing this notice to solicit comments from interested persons on the proposed Eleventh Substantive Amendment to the CTA Plan.
I. Rule 608(a)
A. Description and Pu ]]> http://thefederalregister.com/d.p/2007-12-12-E7-23966 Wed, Dec 12 2007 11:00:00 GMT http://thefederalregister.com/d.p/2007-12-12-E7-23967

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 16, 2007, the American Stock Exchange LLC (``Exchange'' or ``Amex'') filed with the Securities and Exchange Commission (``Commission'') the
[[Page 70623]]
proposed rule change as described in Items I and II below, which Items have been substantially prepared by the Exchange. The Exchange has designated this proposal as noncontroversial under Section 19(b)(3)(A)(iii) of the Act \3\ and Rule 19b4(f)(6) thereunder,\4\ which renders the proposed rule change 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)(iii).
\4\ 17 CFR 240.19b4(f)(6).
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change
]]> http://thefederalregister.com/d.p/2007-12-12-E7-23967 Wed, Dec 12 2007 11:00:00 GMT http://thefederalregister.com/d.p/2007-12-12-E7-24032

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 15, 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 the Amex. On November 28, 2007, the Exchange filed Amendment No. 1 to the proposed rule change. 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.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to amend complex orders procedures to allow the adjustment of the options leg of the order if market conditions prevent the execution of the nonoption leg at the price agreed upon. ]]> http://thefederalregister.com/d.p/2007-12-12-E7-24032 Wed, Dec 12 2007 11:00:00 GMT http://thefederalregister.com/d.p/2007-12-12-E7-23965

On October 2, 2007, the Chicago Stock Exchange, Inc. (``CHX'' 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 amend rules relating to the execution of odd lot market orders. The proposed rule change was published for comment in the Federal Register on October 31, 2007.\3\ The Commission received no comments on the proposal. This order approves the proposed rule change.
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ See Securities Exchange Act Release No. 56703 (October 25, 2007), 72 FR 61696.

Under CHX's existing rules, odd lot orders execute in the Matching System without regard to the protected quotations of other markets.\4\ The Exchange states that this is because such orders are not subject to the Regulation NMS Order Protection Rule \5\ and can trade through better prices in ot ]]> http://thefederalregister.com/d.p/2007-12-12-E7-23965 Wed, Dec 12 2007 11:00:00 GMT http://thefederalregister.com/d.p/2007-12-12-E7-24044

On June 29, 2007, the National Association of Securities Dealers, Inc. (``NASD'') (n/k/a Financial Industry Regulatory Authority, Inc.) 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 Rule 2860 to expand the class of entities permitted to use the delta hedging exemption from equity options position limits.\3\ The Commission published the proposed rule change for comment in the Federal Register on August 13, 2007.\4\ On October 15, 2007, FINRA filed Amendment No. 1 to the proposed rule change.\5\ The Commission received one comment letter on the proposed rule change.\6\ This order approves the proposed rule change as modified by Amendment No. 1. \1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ On July 26, 2007, the Commission approved a proposed rule change filed by NASD to amend NASD's Certificate of I ]]> http://thefederalregister.com/d.p/2007-12-12-E7-24044 Wed, Dec 12 2007 11:00:00 GMT http://thefederalregister.com/d.p/2007-12-12-E7-23973

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 August 3, 2007, The NASDAQ Stock Market LLC (``NASDAQ'' 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 October 5, 2007, the Exchange filed Amendment No. 1 to the proposed rule change. On November 29, 2007, the Exchange filed Amendment No. 2 to the proposed rule change. On December 4, 2007, the Exchange filed Amendment No. 3 to the proposed rule change. This order provides notice of and approves the proposed rule change, as modified by Amendment Nos. 1, 2, and 3 thereto, on an accelerated basis.
\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: ( ]]> http://thefederalregister.com/d.p/2007-12-12-E7-23973 Wed, Dec 12 2007 11:00:00 GMT http://thefederalregister.com/d.p/2007-12-12-E7-24045

I. Introduction

On October 30, 2007, The NASDAQ Stock Market LLC (``Nasdaq'') 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 Nasdaq's membership application procedures. The proposed rule change was published for comment in the Federal Register on November 6, 2007.\3\ On December 4, 2007, Nasdaq filed Amendment No. 1 to the proposed rule change.\4\ The Commission received no comment letters on the proposed rule change. This order approves the proposed rule change, as modified by Amendment No. 1 thereto.
\1\ 15 U.S.C. 78s(b)(1).
\2\ 17 CFR 240.19b4.
\3\ See Securities Exchange Act Release No. 56722 (October 31, 2007), 72 FR 62709 (``Notice'').
\4\ In Amendment No. 1, Nasdaq corrected typographical errors and clarified that in Rule 1013(a)(1), an applicant should file an amendment to its membership a ]]> http://thefederalregister.com/d.p/2007-12-12-E7-24045 Wed, Dec 12 2007 11:00:00 GMT http://thefederalregister.com/d.p/2007-12-12-E7-24033

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 December 5, 2007, NYSE Arca, Inc. (``NYSE Arca'' or ``Exchange''), through its wholly owned subsidiary, NYSE Arca Equities, Inc. (``NYSE Arca Equities''), 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 Equities Rule 5.2(j)(6)(B)(I)(2)(a), which sets forth the Exchange's continued listing criteria for Equity IndexLinked Securities.\3\ The text of the proposed rule change is available ]]> http://thefederalregister.com/d.p/2007-12-12-E7-24033 Wed, Dec 12 2007 11:00:00 GMT http://thefederalregister.com/d.p/2007-12-12-E7-23970

Pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b4 thereunder,\2\ notice is hereby given that on October 3, 2007, NYSE Arca, Inc. (``NYSE Arca'' or ``Exchange''), through its wholly owned subsidiary, NYSE Arca Equities, Inc. (``NYSE Arca Equities''), 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 29, 2007, 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.
I. SelfRegulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change

The Exchange proposes to amend NYSE Arca Equities Rule 5.2(j)(1), the Exchange's initial listing standards for ``Other Securit ]]> http://thefederalregister.com/d.p/2007-12-12-E7-23970 Wed, Dec 12 2007 11:00:00 GMT http://thefederalregister.com/d.p/2007-12-12-E7-23971

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 28, 2007, NYSE Arca, Inc. (``NYSE Arca'' or ``Exchange''), through its wholly owned subsidiary, NYSE Arca Equities, Inc. (``NYSE Arca Equities''), 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 Equities Rule 5.2(j)(6), the Exchange's listing standards for Equity IndexLinked Securities, CommodityLinked Securities, and CurrencyLinked Securities
(collectively, ``IndexLinked Sec ]]> http://thefederalregister.com/d.p/2007-12-12-E7-23971 Wed, Dec 12 2007 11:00:00 GMT http://thefederalregister.com/d.p/2007-12-12-E7-23972

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 27, 2007, NYSE Arca, Inc. (``NYSE Arca'' or ``Exchange'') filed with the Securities and Exchange Commission (``Commission'') a proposed rule change as described in Items I, II, and III below, which Items have been substantially prepared substantially by NYSE Arca. 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

NYSE Arca proposes to amend Exchange Rule 6.37B in order to update the quoting obligations of Lead Market Makers (``LMMs''). The text of the proposed rule change is available at NYSE Arca, the Commission's Public Reference Room, and ]]> http://thefederalregister.com/d.p/2007-12-12-E7-23972 Wed, Dec 12 2007 11:00:00 GMT