Escolar Documentos
Profissional Documentos
Cultura Documentos
from the date of this filing the time subsidiary of Archipelago Holdings, Inc. and a
the period ended March 31, 2004. registered broker-dealer, acts as the outbound order
It appears to the Securities and period by which the Exchange will enter router for the NYSE Arca Marketplace (formerly
Exchange Commission that there is a into an agreement with the National known as the Archipelago Exchange) and, as such,
lack of current and accurate information Association of Securities Dealers, Inc. is regulated as an exchange ‘‘facility’’ of NYSE Arca
(‘‘NASD’’) pursuant to Rule 17d–2 and NYSE Arca Equities, Inc. See 15 U.S.C.
concerning the securities of Sytron, Inc. 78c(a)(2). As such, any proposed rule change
because it has not filed any periodic under the Act 7 (the ‘‘NASD / NYSE relating to Archipelago Securities’ order-routing
reports since it filed a Form 10–SB on Arca Options Agreement’’ or function must be filed with the Commission, and
February 1, 2000. ‘‘Agreement’’). The Agreement would must operate in a manner that is consistent with the
expand the allocation to NASD of provisions of the Act applicable to exchanges and
The Commission is of the opinion that with NYSE Arca rules.
the public interest and the protection of 1 15
9 See OX Approval Order, supra note 6. Pursuant
U.S.C. 78s(b)(1).
investors require a suspension of trading 2 17
to NYSE Arca Rule 6.1A(a)(15), which was adopted
CFR 240.19b–4. in connection with the establishment of the new OX
in the securities of the above-listed 3 15 U.S.C. 78s(b)(3)(A).
trading platform, the term ‘‘OX Routing Broker’’
companies. 4 17 CFR 240.19b–4(f)(6).
refers to the broker-dealer affiliate of the Exchange
Therefore, it is ordered, pursuant to
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5 The Exchange has asked the Commission to that acts as agent for routing orders entered into OX
Section 12(k) of the Securities Exchange waive the 5-day pre-filing notice requirement and of OTP Holders, OTP Firms and OTP Firms’
Act of 1934, that trading in the above- the 30-day operative delay. See 15 U.S.C. Sponsored Participants to other Market Centers for
78s(b)(3)(A), 17 CFR 240.19b–4(f)(6)(iii). execution whenever such routing is permitted by
listed companies is suspended for the 6 See Securities Exchange Act Release No. 54238 Exchange Rules. Archipelago Securities is the
period from 9:30 a.m. EST on November (July 28, 2006), 71 FR 44758 (August 7, 2006) (SR– Exchange’s only OX Routing Broker.
8, 2006, through 11:59 p.m. EST on NYSEArca–2006–13) (OX Approval Order). 10 See OX Approval Order, supra note 6.
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66212 Federal Register / Vol. 71, No. 218 / Monday, November 13, 2006 / Notices
responsibility for examining information with respect to, and NASD/NYSE Arca Options Agreement
Archipelago Securities for compliance facilitating transactions in securities, to was October 26, 2006, and a delay of 30
with the applicable financial remove impediments to, and perfect the days would place the Exchange out of
responsibility rules. Furthermore, the mechanism of, a free and open market compliance with its undertaking.
Exchange represented that it would and a national market system, and, in Extending the compliance date for the
enter into the NASD/NYSE Arca general, to protect investors and the Exchange’s undertaking by an
Options Agreement pursuant to Rule public interest. additional 90 days will provide time for
17d–2 under the Act,12 to expand the the Exchange to finalize and file the
B. Self-Regulatory Organization’s
allocation to NASD of regulatory Agreement. For these reasons, the
Statement on Burden on Competition
responsibility to encompass all the Commission designates the proposal to
regulatory oversight and enforcement The Exchange does not believe that be effective and operative upon filing
responsibilities with respect to the the proposed rule change will impose with the Commission.21
options activities of Archipelago any burden on competition that is not At any time within 60 days of the
Securities, except for ‘‘real-time market necessary or appropriate in furtherance filing of the proposed rule change, the
surveillance.’’ 13 The Exchange agreed to of the purposes of the Act. Commission may summarily abrogate
submit the NASD / NYSE Arca Options C. Self-Regulatory Organization’s such rule change if it appears to the
Agreement to the Commission under Statement on Comments on the Commission that such action is
Rule 17d–2 within 90 days of the date Proposed Rule Change Received From necessary or appropriate in the public
of the Commission’s approval of the OX Members, Participants, or Others interest, for the protection of investors,
trading platform.14 The 90 day period or otherwise in furtherance of the
elapsed on October 26, 2006. Written comments on the proposed purposes of the Act.
On October 20, 2006, the Exchange rule change were neither solicited nor
received. IV. Solicitation of Comments
submitted to the Commission a draft
NASD/NYSE Arca Options Agreement, III. Date of Effectiveness of the Interested persons are invited to
but has not yet received Commission Proposed Rule Change and Timing for submit written data, views, and
approval. The Exchange believes that an Commission Action arguments concerning the foregoing,
extension of time for an additional 90 including whether the proposed rule
days from the date of this filing to enter Because the foregoing rule: (i) Does change is consistent with the Act.
into the NASD/NYSE Arca Options not significantly affect the protection of Comments may be submitted by any of
Agreement will give the Commission investors or the public interest; (ii) does the following methods:
staff sufficient time to publish and take not impose any significant burden on
competition; and (iii) by its terms, does Electronic Comments
action on the proposal.
The Exchange believes that the not become operative for 30 days from • Use the Commission’s Internet
requested extension of time is consistent the date on which it was filed, or such comment form (http://www.sec.gov/
with the Act and the rules and shorter time as the Commission may rules/sro.shtml); or
regulations thereunder, will not designate if consistent with the • Send an e-mail to rule-
significantly affect the protection of protection of investors and the public comments@sec.gov. Please include File
investors or the public interest, and interest,18 the proposed rule change has Number NYSEArca–2006–79 on the
does not impose any significant burden become effective pursuant to Section subject line.
on competition. The Exchange notes 19(b)(3)(A) of the Act 19 and Rule 19b–
4(f)(6) thereunder.20 Paper Comments
that NASD already carries out oversight
and enforcement responsibilities as the The Exchange has requested that the • Send paper comments in triplicate
Designated Examining Authority Commission waive the 30-day operative to Nancy M. Morris, Secretary,
designated by the Commission pursuant delay, which would make the rule Securities and Exchange Commission,
to Rule 17d–1 under the Act 15 with the change effective and operative upon 100 F Street NE., Washington, DC
filing. The Commission believes that 20549–1090.
responsibility for examining
waiving the 30-day operative delay is
Archipelago Securities for compliance All submissions should refer to File
consistent with the protection of
with the applicable financial Number NYSEArca–2006–79. This file
investors and the public interest. Such
responsibility rules. number should be included on the
waiver will allow the Exchange to
subject line if e-mail is used. To help the
2. Statutory Basis comply with its undertaking made in
Commission process and review your
The Exchange believes that the connection with the OX Approval Order
comments more efficiently, please use
proposed rule change is consistent with to submit the NASD/NYSE Arca
only one method. The Commission will
Section 6(b) of the Act,16 in general, and Options Agreement to the Commission.
post all comments on the Commission’s
furthers the objectives of Section 6(b)(5) The Exchange requests a waiver of the
Internet Web site (http://www.sec.gov/
of the Act,17 in particular, in that it is 30-day period on the basis that the
rules/sro.shtml). Copies of the
designed to prevent fraudulent and current deadline for entering into the
submission, all subsequent
manipulative acts and practices, to amendments, all written statements
18 Pursuant to Rule 19b–4(f)(6)(iii) under the Act,
promote just and equitable principles of the Exchange is required to give the Commission with respect to the proposed rule
trade, to foster cooperation and written notice of its intent to file the proposed rule change that are filed with the
coordination with persons engaged in change, along with a brief description and text of Commission, and all written
regulating clearing, settling, processing the proposed rule change, at least five business days communications relating to the
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Federal Register / Vol. 71, No. 218 / Monday, November 13, 2006 / Notices 66213
those that may be withheld from the Contiguous Counties: Arkansas: Ashley, Chicot, Union.
public in accordance with the Indiana: Dubois, Pike, Spencer. Mississippi: Warren.
provisions of 5 U.S.C. 552, will be Kentucky: Daviess.
available for inspection and copying in Texas: Newton, Sabine, Shelby.
All other information in the original
the Commission’s Public Reference declaration remains unchanged. The Interest Rates are:
Room. Copies of the filing also will be
(Catalog of Federal Domestic Assistance
available for inspection and copying at Numbers 59002 and 59008).
Percent
the principal office of the Exchange. All
comments received will be posted Roger B. Garland, For Physical Damage:
without change; the Commission does Acting Associate Administrator for Disaster Homeowners With Credit Avail-
not edit personal identifying Assistance. able Elsewhere ...................... 6.250
information from submissions. You [FR Doc. E6–19053 Filed 11–9–06; 8:45 am] Homeowners Without Credit
Available Elsewhere .............. 3.125
should submit only information that BILLING CODE 8025–01–P
Businesses With Credit Avail-
you wish to make available publicly. All able Elsewhere ...................... 7.934
submissions should refer to File Other (Including Non-Profit Or-
Number NYSEArca–2006–79 and SMALL BUSINESS ADMINISTRATION ganizations) With Credit
should be submitted on or before [Disaster Declaration # 10701 and # 10702] Available Elsewhere .............. 5.000
December 4, 2006. Businesses And Non-Profit Or-
For the Commission, by the Division of Louisiana Disaster # LA–00007 ganizations Without Credit
Market Regulation, pursuant to delegated Available Elsewhere .............. 4.000
authority.22 AGENCY: U.S. Small Business For Economic Injury:
Administration. Businesses & Small Agricultural
Nancy M. Morris,
ACTION: Notice. Cooperatives Without Credit
Secretary.
Available Elsewhere .............. 4.000
[FR Doc. E6–19063 Filed 11–9–06; 8:45 am] SUMMARY: This is a Notice of the
BILLING CODE 8011–01–P Presidential declaration of a major The number assigned to this disaster
disaster for the State of Louisiana for physical damage is 10701 6 and for
(FEMA–1668–DR), dated 11/02/2006. economic injury is 10702 0.
SMALL BUSINESS ADMINISTRATION Incident: Severe Storms and Flooding.
Incident Period: 10/16/2006 and (Catalog of Federal Domestic Assistance
[Disaster Declaration #10640 and #10641] Numbers 59002 and 59008)
continuing.
Indiana Disaster Number IN–00008 Effective Date: 11/02/2006. James E. Rivera,
Physical Loan Application Deadline
AGENCY: U.S. Small Business Acting Associate Administrator for Disaster
Date: 01/02/2007.
Administration. Assistance.
Economic Injury (EIDL) Loan
[FR Doc. E6–19055 Filed 11–9–06; 8:45 am]
ACTION: Amendment 1. Application Deadline Date: 08/02/2007.
BILLING CODE 8025–01–P
ADDRESSES: Submit completed loan
SUMMARY: This is an amendment of the
applications to: U.S. Small Business
Presidential declaration of a major
Administration, Processing And
disaster for the State of Indiana (FEMA– SMALL BUSINESS ADMINISTRATION
Disbursement Center, 14925 Kingsport
1662–DR), dated 10/10/2006.
Road, Fort Worth, TX 76155. National Small Business Development
Incident: Severe Storms and Flooding.
Incident Period: 09/12/2006 through FOR FURTHER INFORMATION CONTACT: A. Center Advisory Board; Public Meeting
09/14/2006. Escobar, Office of Disaster Assistance,
U.S. Small Business Administration, The U.S. Small Business
EFFECTIVE DATE: 11/01/2006.
409 3rd Street, SW., Suite 6050, Administration, National Small
Physical Loan Application Deadline
Washington, DC 20416. Business Development Centers Advisory
Date: 12/05/2006.
EIDL Loan Application Deadline Date: SUPPLEMENTARY INFORMATION: Notice is Board will be conducting a conference
07/06/2007. hereby given that as a result of the call to discuss such matters that may be
President’s major disaster declaration on presented by members, and the staff of
ADDRESSES: Submit completed loan
11/02/2006, applications for disaster the U.S. Small Business Administration.
applications to: U.S. Small Business
loans may be filed at the address listed The conference call will be held on
Administration, Processing and
above or other locally announced Tuesday, November 21, 2006 at 1 p.m.
Disbursement Center, 14925 Kingsport
locations. eastern standard time.
Road, Fort Worth, TX 76155.
The following areas have been The purpose of the meeting is to
FOR FURTHER INFORMATION CONTACT: A. determined to be adversely affected by
Escobar, Office of Disaster Assistance, discuss internal board matters such as
the disaster: the status of proposed new Board
U.S. Small Business Administration, Primary Parishes (Physical Damage and
409 3rd Street, SW., Suite 6050, members, administrative issues, the
Economic Injury Loans):
Washington, DC 20416. marketing of the SBDC Program, and to
Caldwell, Franklin, Grant, La Salle,
SUPPLEMENTARY INFORMATION: The notice follow up with the ‘‘Dialogue with the
Madison, Morehouse, Natchitoches,
of the Presidential disaster declaration State Directors’’ meeting held at the
Richland, Sabine, Vernon, Winn.
for the State of Indiana, dated 10/10/ ASBDC Conference in September.
Contiguous Parishes / Counties
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2006 is hereby amended to include the (Economic Injury Loans Only): Anyone wishing to make an oral
following areas as adversely affected by Louisiana: Allen, Avoyelles, presentation to the Board must contact
the disaster: Beauregard, Bienville, Catahoula, Erika Fischer, Senior Program Analyst,
Primary Counties: Warrick. De Soto, East Carroll, Jackson, U.S. Small Business Administration,
Ouachita, Rapides, Red River, Office of Small Business Development
22 17 CFR 200.30–3(a)(12). Tensas Union, West Carroll. Centers, 409 3rd Street, SW.,
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