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Code · REGISTER · 2006-03-08 · Office of Personnel Management (OPM) · Notices

Notices. Notice

13,211 words·~60 min read·/register/2006/03/08/06-2164·

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BILLING CODE 3190-W6-M OFFICE OF PERSONNEL MANAGEMENT Excepted Service AGENCY: Office of Personnel Management (OPM). ACTION: Notice. SUMMARY: This gives notice of OPM decisions granting authority to make appointments under Schedules A, B, and C in the excepted service as required by 5 CFR 6.6 and 213.103. FOR FURTHER INFORMATION CONTACT: David Guilford, Center for Leadership and Executive Resources Policy, Division for Strategic Human Resources Policy, 202-606-1391. SUPPLEMENTARY INFORMATION:
Appearing in the listing below are the individual authorities established under Schedules A, B, and C between January 1, 2006, and January 31, 2006. Future notices will be published on the fourth Tuesday of each month, or as soon as possible thereafter. A consolidated listing of all authorities as of June 30 is published each year. Schedule A No Schedule A appointments were approved for January 2006. Schedule B No Schedule B appointments were approved for January 2006. Schedule C The following Schedule C appointments were approved during January 2006:
Section 213.3303 Executive Office of the President Office of National Drug Control Policy QQGS60086 Staff Assistant to the Counselor to the Deputy Director. Effective January 06, 2006. QQGS60084 Public Affairs Specialist to the Chief of Staff. Effective January 17, 2006. Office of the United States Trade Representative TNGS00020 Confidential Assistant to the Deputy United States Trade Representative. Effective January 18, 2006. Section 213.3304 Department of State DSGS61009 Senior Advisor to the Assistant Secretary for International Organizational Affairs.
Effective January 03, 2006. DSGS61023 Senior Advisor to the Assistant Secretary for Near Eastern and South Asian Affairs. Effective January 04, 2006. DSGS61025 Public Affairs Specialist to the Human Immunodeficiency Virus/Acquired Immunodeficiency Syndrome Coordinator. Effective January 04, 2006. DSGS61026 Special Assistant to the Under Secretary for Public Diplomacy and Public Affairs. Effective January 04, 2006. DSGS61029 Protocol Officer to the Deputy Chief of Protocol. Effective January 06, 2006.
DSGS61030 Staff Assistant to the Assistant Secretary for International Organizational Affairs. Effective January 17, 2006. DSGS61031 Senior Advisor to the Under Secretary for Economic Business and Agricricultural Affairs. Effective January 17, 2006. DSGS61028 Program Officer (Foreign Press Officer) to the Assistant Secretary for Public Affairs. Effective January 25, 2006. DSGS61033 Public Affairs Specialist to the Principal Deputy Assistant Secretary. Effective January 25, 2006.
DSGS61024 Special Assistant to the Principal Deputy Assistant Secretary. Effective January 27, 2006. Section 213.3305 Department of the Treasury DYGS00464 Special Assistant to the Assistant Secretary (Deputy Under Secretary) Legislative Affairs. Effective January 20, 2006. DYGS00465 Special Assistant to the Assistant Secretary (Management) and Chief Financial Officer. Effective January 20, 2006. DYGS00375 Director of Legislative and Governmental Affairs to the Director of the Mint.
Effective January 26, 2006. Section 213.3306 Office of the Secretary of Defense DDGS16916 Research Assistant to the Deputy Assistant Secretary of Defense (Strategic Communications Planning). Effective January 04, 2006. DDGS16915 Special Assistant to the Principal Deputy Assistant Secretary of Defense (Legal Affairs). Effective January 06, 2006. DDGS16917 Confidential Assistant to the Director of Defense Research and Engineering. Effective January 24, 2006. DDGS16913 Defense Fellow to the Special Assistant to the Secretary of Defense for White House Liaison.
Effective January 31, 2006. Section 213.3307 Department of the Army DWGS00064 Personal and Confidential Assistant to the Assistant Secretary of the Army (Financial Management and Comptroller). Effective January 17, 2006. DWGS00067 Confidential Assistant to the Deputy Under Secretary of the Army. Effective January 17, 2006. DWGS60019 Business Transformation Initiatives Analyst to the Special Assistant to the Secretary of the Army for Business Transformation Initiatives. Effective January 24, 2006.
Section 213.3310 Department of Justice DJGS00154 Speechwriter to the Director, Office of Public Affairs. Effective January 24, 2006. DJGS00033 Counsel to the Assistant Attorney General, Anti-trust Division. Effective January 25, 2006. DJGS00125 Special Assistant to the Assistant Attorney General, Anti-trust Division. Effective January 25, 2006. DJGS00143 Counsel to the Assistant Attorney General, Criminal Division. Effective January 27, 2006. Section 213.3311 Department of Homeland Security DMGS00464 Confidential Assistant Briefing Book to the Executive Secretary.
Effective January 10, 2006. DMGS00454 Special Advisor for Refugee and Asylum Affairs to the Assistant Secretary for Policy. Effective January 17, 2006. DMGS00459 Assistant Director of Legislative Affairs for Information Analysis and Operations to the Assistant Secretary for Legislative Affairs. Effective January 17, 2006. DMGS00460 Associate Director of Strategic Communications for Policy to the Director of Strategic Communications. Effective January 17, 2006. DMGS00461 Special Assistant to the Executive Secretary and Deputy Executive Secretary.
Effective January 17, 2006 DMGS00463 Correspondence Analyst to the Executive Secretary. Effective January 17, 2006. DMGS00465 Special Assistant to the Under Secretary for Preparedness. Effective January 17, 2006. DMGS00466 Senior Legislative Assistant to the Assistant Secretary for Legislative Affairs. Effective January 17, 2006. DMGS00462 Director of Information Integration and Special Assistant to the Chief of Staff. Effective January 18, 2006. DMGS00470 Chief of Staff, Office of Grants and Training to the Executive Director, Office of Grants and Training.
Effective January 20, 2006. DMGS00467 Advisor to the Director to the White House Liaison. Effective January 25, 2006. DMGS00471 Special Assistant to the Under Secretary for Preparedness. Effective January 27, 2006. DMGS00472 Correspondence Analyst to the Executive Secretary. Effective January 27, 2006. DMGS00476 Legislative Assistant to the Assistant Secretary for Legislative Affairs. Effective January 31, 2006. Section 213.3312 Department of the Interior DIGS01053 Chief of Staff to the Assistant Secretary for Policy Management and Budget.
Effective January 06, 2006. DIGS01054 Press Secretary to the Director, Office of Communications. Effective January 10, 2006. DIGS01055 Deputy White House Liaison to the White House Liaison. Effective January 17, 2006. DIGS01057 Special Assistant to the Director, External and Intergovernmental Affairs. Effective January 17, 2006. Section 213.3313 Department of Agriculture DAGS00837 Confidential Assistant to the Under Secretary for Rural Development. Effective January 06, 2006.
DAGS00838 Confidential Assistant to the Administrator to the Deputy Under Secretary for Marketing and Regulatory Programs. Effective January 06, 2006. DAGS00841 Confidential Assistant to the Administrator, Food and Nutrition Service. Effective January 30, 2006. Section 213.3314 Department of Commerce DCGS00413 Confidential Assistant to the Director, Office of White House Liaison. Effective January 03, 2006. DCGS00205 Special Assistant to the Chief of Staff. Effective January 06, 2006.
DCGS00367 Confidential Assistant to the Director, Office of Legislative Affairs. Effective January 06, 2006. DCGS00418 Confidential Assistant to the Associate Director for Communications. Effective January 06, 2006. DCGS00450 Senior Policy Advisor to the Director. Effective January 06, 2006. DCGS00572 Confidential Assistant to the Director, Advocacy Center. Effective January 06, 2006. DCGS00637 Special Assistant to the Director, Advocacy Center. Effective January 06, 2006. DCGS00355 Confidential Assistant to the Assistant Secretary for Market Access and Compliance.
Effective January 20, 2006. DCGS00630 Executive Director to the National Director, Minority Business Development Agency. Effective January 20, 2006. DCGS00645 Senior Advisor to the Assistant Secretary for Export Enforcement. Effective January 20, 2006. Section 213.3315 Department of Labor DLGS60066 Special Assistant to the Deputy Assistant Secretary for Federal Contract Compliance. Effective January 06, 2006. DLGS60247 Intergovernmental Officer to the Assistant Secretary for Congressional and Intergovernmental Affairs.
Effective January 06, 2006. DLGS60003 Special Assistant to the Director of Operations. Effective January 10, 2006. DLGS60197 Legislative Assistant to the Assistant Secretary for Congressional and Intergovernmental Affairs. Effective January 17, 2006. DLGS60041 Staff Assistant to the Director of Operations. Effective January 18, 2006. DLGS60017 Senior Legislative Officer to the Assistant Secretary for Congressional and Intergovernmental Affairs. Effective January 24, 2006. DLGS60141 Special Assistant to the Deputy Assistant Secretary for Labor-Management Programs.
Effective January 24, 2006. DLGS60211 Special Assistant to the Director of Scheduling. Effective January 24, 2006. Section 213.3316 Department of Health and Human Services DHGS60028 Special Assistant to the Chief of Staff. Effective January 03, 2006. Section 213.3317 Department of Education DBGS00494 Special Assistant to the Assistant Secretary for Postsecondary Education. Effective January 06, 2006. DBGS00496 Special Assistant to the Assistant Secretary for Management. Effective January 06, 2006.
DBGS00499 Director, Intergovernmental Affairs to the Deputy Assistant Secretary for External Affairs and Outreach Services. Effective January 06, 2006. DBGS00493 Confidential Assistant to the Chief of Staff. Effective January 18, 2006. DBGS00500 Confidential Assistant to the Chief of Staff. Effective January 18, 2006. DBGS00502 Deputy Assistant Secretary for Policy to the Assistant Secretary for Planning, Evaluation, and Policy Development. Effective January 18, 2006. DBGS00495 Confidential Assistant to the Chief of Staff.
Effective January 24, 2006. DBGS00497 Deputy Assistant Secretary for Policy and State Technical Assistance to the Assistant Secretary for Elementary and Secondary Education. Effective January 24, 2006. DBGS00501 Special Assistant to the Deputy Secretary of Education. Effective January 24, 2006. DBGS00503 Deputy Secretary's Regional Representative, Region 1 to the Director, Regional Services. Effective January 25, 2006. DBGS00504 Confidential Assistant to the Secretary. Effective January 26, 2006.
Section 213.3318 Environmental Protection Agency EPGS05006 Speech Writer to the Deputy Associate Administrator. Effective January 06, 2006. EPGS05005 Deputy to the Press Secretary to the Deputy Associate Administrator. Effective January 27, 2006. EPGS06000 Senior Policy Advisor to the Regional Administrator. Effective January 30, 2006. Section 213.3325 United States Tax Court JCGS60054 Secretary (Confidential Assistant) to the Chief Judge. Effective January 09, 2006. Section 213.3328 Broadcasting Board of Governors IBGS00022 Communications Coordinator to the Chairman, Broadcasting Board of Governors.
Effective January 20, 2006. Section 213.3330 Securities and Exchange Commission SEOT60012 Investor Advocate to the Chairman. Effective January 27, 2006. Section 213.3331 Department of Energy DEGS00504 Special Assistant to the Director, Public Affairs. Effective January 12, 2006. DEGS00505 Speechwriter to the Director, Public Affairs. Effective January 19, 2006. DEGS00508 Special Assistant to the Assistant Secretary for Congressional and Intergovernmental Affairs. Effective January 19, 2006.
DEGS00502 Senior Advisor for Intergovernmental and External Affairs to the Deputy Assistant Secretary for Intergovernmental and External Affairs. Effective January 25, 2006. DEGS00506 Special Program Assistant to the Assistant Secretary of Energy (Environmental Management). Effective January 25, 2006. DEGS00509 Staff Assistant to the General Counsel. Effective January 25, 2006. DEGS00510 Advance Representative to the Director, Office of Scheduling and Advance. Effective January 25, 2006.
Section 213.3337 General Services Administration GSGS60024 Special Assistant to the Commissioner, Public Buildings Service. Effective January 24, 2006. Section 213.3339 United States International Trade Commission TCGS00010 Staff Assistant (Legal) to a Commissioner. Effective January 30, 2006. Section 213.3352 Government Printing Office GPOT00004 Public Affairs Specialist to the Deputy Chief of Staff. Effective January 20, 2006 Section 213.3353 Merit Systems Protection Board MPGS00003 Confidential Assistant to a Board Member.
Effective January 27, 2006. Section 213.3357 National Credit Union Administration CUOT01008 Senior Policy Advisor to a Member. Effective January 10, 2006. CUOT09158 Director of Public and Congressional Affairs to the Chairman. Effective January 10, 2006. Section 213.3384 Department of Housing and Urban Development DUGS60273 Staff Assistant to the Deputy Secretary, Housing and Urban Development. Effective January 20, 2006. Section 213.3394 Department of Transportation DTGS60311 Special Assistant to the Director for Scheduling and Advance.
Effective January 20, 2006. Authority: 5 U.S.C. 3301 and 3302; E.O. 10577, 3 CFR 1954-1958 Comp., P.218. Office of Personnel Management. Linda M. Springer, Director. [FR Doc. E6-3224 Filed 3-7-06; 8:45 am] BILLING CODE 6325-39-P SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copy Available From: Securities and Exchange Commission Office of Filings and Information Services, Washington, DC 20549. Extension: Form N-6F; SEC File No. 270-185;
OMB Control No. 3235-0238. 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 collections of information summarized below. The Commission plans to submit the existing collection of information to the Office of Management and Budget (“OMB”) for extension and approval: Form N-6F Under the Investment Company Act of 1940 (17 CFR 274.15), Notice of Intent To Elect To Be Subject to Sections 55 Through 65 of the Investment Company Act of 1940 Certain companies may have to make a filing with the Commission before they are ready to elect to be regulated as a business development company. 1 A company that is excluded from the definition of “investment company” by Section 3(c)(1) of the Investment Company Act of 1940 because it has fewer than one hundred shareholders and is not making a public offering of its securities may lose such an exclusion solely because it proposes to make a public offering of securities as a business development company.
Such a company, under certain conditions, would not lose its exclusion if it notifies the Commission on Form N-6F [17 CFR 274.15] of its intent to make an election to be regulated as a business development company. The company only has to file a Form N-6F once. 1 A company might not be prepared to elect to be subject to sections 55 through 65 of the Investment Company Act of 1940 because its capital structure or management compensation plan is not yet in compliance with the requirements of those sections.
It is estimated that 2 respondents per year file with the Commission a Form N-6F. Form N-6F requires approximately 0.5 burden hours per response resulting from creating and filing the information required by the Form. The total burden hours for Form N-6F would be 1 hour per year in the aggregate. The estimated annual burden of 1.0 hour represents no change from the prior estimate of 1.0 hour. The estimate of average burden hours for Form N-6F is made solely for the purposes of the Paperwork Reduction Act and is not derived from a comprehensive or even representative survey or study of the costs of Commission rules and forms.
Written comments are invited on:
(a)Whether the proposed collections of information are necessary for the proper performance of the functions of the agency, including whether the information will have practical utility;
(b)the accuracy of the agency's estimate of the burden of the collections of information;
(c)ways to enhance the quality, utility, and clarity of the information collected; and
(d)ways to minimize the burden of the collections of information on respondents, including through the use of automated collection techniques or other forms of information technology. Consideration will be given to comments and suggestions submitted in writing within 60 days of this publication. Please direct your written comments to R. Corey Booth, Director/Chief Information Officer, Office of Information Technology, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549. Dated: February 28, 2006. Nancy M. Morris, Secretary. [FR Doc. E6-3280 Filed 3-7-06; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Filings and Information Services, Washington, DC 20549. Extension: Rule 11a-3; SEC File No. 270-321; OMB Control No. 3235-0358. Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 [44 U.S.C. 3501-3520], 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 (“OMB”) for extension and approval. Section 11(a) of the Investment Company Act of 1940 (“Act”) [15 U.S.C. 80a-11(a)] provides that it is unlawful for a registered open-end investment company (“fund”) or its underwriter to make an offer to the fund's shareholders or the shareholders of any other fund to exchange the fund's securities for securities of the same or another fund on any basis other than the relative net asset values (“NAVs”) of the respective securities to be exchanged, “unless the terms of the offer have first been submitted to and approved by the Commission or are in accordance with such rules and regulations as the Commission may have prescribed in respect of such offers.” Section 11(a) was designed to prevent “switching,” the practice of inducing shareholders of one fund to exchange their shares for the shares of another fund for the purpose of exacting additional sales charges. Rule 11a-3 under the Act [17 CFR 270.11a-3] is an exemptive rule that permits open-end investment companies (“funds”), other than insurance company separate accounts, and funds' principal underwriters, to make certain exchange offers to fund shareholders and shareholders of other funds in the same group of investment companies. The rule requires a fund, among other things,
(i)to disclose in its prospectus and advertising literature the amount of any administrative or redemption fee imposed on an exchange transaction,
(ii)if the fund imposes an administrative fee on exchange transactions, other than a nominal one, to maintain and preserve records with respect to the actual costs incurred in connection with exchanges for at least six years, and
(iii)give the fund's shareholders a sixty day notice of a termination of an exchange offer or any material amendment to the terms of an exchange offer (unless the only material effect of an amendment is to reduce or eliminate an administrative fee, sales load or redemption fee payable at the time of an exchange). The rule's requirements are designed to protect investors against abuses associated with exchange offers, provide fund shareholders with information necessary to evaluate exchange offers and certain material changes in the terms of exchange offers, and enable the Commission staff to monitor funds' use of administrative fees charged in connection with exchange transactions. There are approximately 2,300 active open-end funds registered with the Commission as of December 31, 2005. The staff estimates that 25 percent of these funds impose a non-nominal administrative fee on exchange transactions. The staff estimates that the recordkeeping requirement of the rule requires approximately 1 hour annually of clerical time (at an estimated $23 per hour) 1 per fund, for a total of 575 hours for all funds (at a total annual cost of $13,225). 2 The staff estimates that 25 percent of the 2300 funds terminate an exchange offer or make a material change to the terms once each year, and that the notice requirement of the rule requires approximately 1 hour of professional time (at an estimated $81 per hour) and 2 hours of clerical time (at an estimated $23 per hour) per fund, for a total of approximately 1,725 hours for all funds to comply with the notice requirement (at a total annual cost of $73,025). 3 The recordkeeping and notice requirements impose a total burden of 2,300 hours on all funds (at a total annual cost of $86,250). 4 The burdens associated with the disclosure requirement of the rule are accounted for in the burdens associated with the Form N-1A registration statement for funds. 1 All hourly rates are derived from the average annual salaries reported for employees outside of New York City in Securities Industry Association, Management and Professional Earnings in the Securities Industry
(2003)and Securities Industry Association, Office Salaries in the Securities Industry (2003), and have been adjusted upwards through established formulas to reflect overhead and the increase in salaries since the report was published. 2 This estimate is based on the following calculations: (2,300 funds × 0.25% = 575 funds); (575 × 1 (clerical hour) = 575 clerical hours); (575 × $23 = $13,225 total annual cost for recordkeeping requirement). 3 This estimate is based on the following calculations: (2,300 (funds) × 0.25% = 575 funds); (575 × 1 (professional hour) = 575 total professional hours); (575 (funds) × 2 (clerical hours) = 1,150 total clerical hours); (575 (professional hours) + 1,150 (clerical hours) = 1,725 total hours); (575 (professional hours) × $81 = $46,575 total professional cost); (1,150 (clerical hours) × $23 = $26,450 clerical cost); ($46,575 + $26,450 = $73,025 total annual cost). 4 This estimate is based on the following calculations: (1,725 (notice hours) + 575 (recordkeeping hours) = 2,300 total hours); ($73,025 (notice costs) + $13,225 (recordkeeping costs) = $86,250 total annual costs). The estimate of average burden hours is made solely for the purposes of the Paperwork Reduction Act, and is not derived from a comprehensive or even a representative survey or study of the costs of Commission rules and forms. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid control number. Written comments are requested on:
(a)Whether the collection of information is necessary for the proper performance of the functions of the Commission, including whether the information has practical utility;
(b)the accuracy of the Commission's estimate of the burden[s] of the collection of information;
(c)ways to enhance the quality, utility, and clarity of the information collected; and
(d)ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology. Consideration will be given to comments and suggestions submitted in writing within 60 days of this publication. Please direct your written comments to R. Corey Booth, Director/Chief Information Officer, Office of Information Technology, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549. Dated: February 28, 2006. Nancy M. Morris, Secretary. [FR Doc. E6-3281 Filed 3-7-06; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [File No. 1-13795] Issuer Delisting; Notice of Application of American Vanguard Corporation To Withdraw Its Common Stock, $.10 Par Value, From Listing and Registration on the American Stock Exchange LLC March 2, 2006. On February 27, 2006, American Vanguard 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 12d2-2(d) thereunder, 2 to withdraw its common stock, $.10 par value (“Security”), from listing and registration on the American Stock Exchange LLC (“Amex”). 1 15 U.S.C. 78 *l* (d). 2 17 CFR 240.12d2-2(d). On January 20, 2006, the Board of Directors (“Board”) of the Issuer unanimously approved resolutions to withdraw the Security from listing on Amex and to list the Security on the New York Stock Exchange, Inc. (“NYSE”). The Issuer stated that the Board determined it is in the best interest of the Issuer to list the Security on NYSE because:
(1)NYSE's specialist system, which serves to control intraday price volatility,
(2)NYSE's proposed hybrid trading platform, which permits speed, but also serves to arrive at the best available trading price; and
(3)to avoid direct and indirect costs and the division of the market resulting from dual listing on Amex and NYSE. The Issuer stated in its application that it has met the requirements of Amex Rule 18 by complying with all applicable laws in effect in the State of Delaware, in which it is incorporated, and providing written notice of withdrawal to Amex. The Issuer's application relates solely to the withdrawal of the Security from listing on Amex, and shall not affect its continued listing on NYSE or its obligation to be registered under Section 12(b) of the Act. 3 3 15 U.S.C. 78 *1* (b). Any interested person may, on or before March 27, 2006, comment on the facts bearing upon whether the application has been made in accordance with the rules of Amex, and what terms, if any, should be imposed by the Commission for the protection of investors. All comment letters may be submitted by either of the following methods: Electronic Comments • Use the Commission's Internet comment form ( *http://www.sec.gov/rules/delist.shtml* ); or • Send an e-mail to *rule-comments@sec.gov.* Please include the File Number 1-13795 or; Paper Comments • Send paper comments in triplicate to Nancy M. Morris, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090. All submissions should refer to File Number 1-13795. This file number should be included on the subject line if e-mail is used. To help us process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site ( *http://www.sec.gov/rules/delist.shtml* ). Comments are also available for public inspection and copying in the Commission's Public Reference Room. All comments received will be posted without change; we do not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. The Commission, based on the information submitted to it, will issue an order granting the application after the date mentioned above, unless the Commission determines to order a hearing on the matter. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 4 4 17 CFR 200.30-3(a)(1). Nancy M. Morris, Secretary. [FR Doc. E6-3265 Filed 3-7-06; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [File No. 1-13810] Issuer Delisting; Notice of Application of Socket Communications Inc. To Withdraw Its Common Stock, $.001 Par Value, From Listing and Registration on the Pacific Exchange, Inc. March 2, 2006. On February 23, 2006, Socket Communications Inc., 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 12d2-2(d) thereunder, 2 to withdraw its common stock, $.001 par value (“Security”), from listing and registration on the Pacific Exchange, Inc. (“PCX”). 1 15 U.S.C. 78 *l* (d). 2 17 CFR 240.12d2-2(d). On January 26, 2006, the Board of Directors (“Board”) of the Issuer approved the delisting of the Security from listing and registration on PCX. The Issuer stated that the reason to withdraw the Security from PCX is that the Security is presently dual-listed on the Nasdaq National Market System (“Nasdaq”) and PCX. The Issuer believes that it no longer needs or benefits from the dual listing. The Issuer stated in its application that it has complied with PCX rules by providing PCX with the required documents governing the withdrawal of securities from listing and registration on PCX. The Issuer's application relates solely to withdrawal of the Security from listing on PCX and from registration under Section 12(b) of the Act, 3 and shall not affect its obligation to be registered under Section 12(g) of the Act. 4 3 15 U.S.C. 78 *1* (b). 4 15 U.S.C. 78 *1* (g). Any interested person may, on or before March 27, 2006 comment on the facts bearing upon whether the application has been made in accordance with the rules of PCX, and what terms, if any, should be imposed by the Commission for the protection of investors. All comment letters may be submitted by either of the following methods: Electronic Comments • Use the Commission's Internet comment form ( *http://www.sec.gov/rules/delist.shtml* ); or • Send an e-mail to *rule-comments@sec.gov.* Please include the File Number 1-13810 or; Paper Comments • Send paper comments in triplicate to Nancy M. Morris, Secretary, Securities and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090. All submissions should refer to File Number 1-13810. This file number should be included on the subject line if e-mail is used. To help us process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site ( *http://www.sec.gov/rules/delist.shtml* ). Comments are also available for public inspection and copying in the Commission's Public Reference Room. All comments received will be posted without change; we do not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. The Commission, based on the information submitted to it, will issue an order granting the application after the date mentioned above, unless the Commission determines to order a hearing on the matter. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 5 5 17 CFR 200.30-3(a)(1). Nancy M. Morris, Secretary. [FR Doc. E6-3266 Filed 3-7-06; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-53393; File No. SR-CBOE-2006-18] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 2 Thereto Relating to Implementation of the PAR Official Program March 1, 2006. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”), 1 and Rule 19b-4 thereunder, 2 notice is hereby given that on February 17, 2006, the Chicago Board Options Exchange, Incorporated (“Exchange” or “CBOE”) 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 Exchange. On February 24, 2006, CBOE filed Amendment No. 1 to the proposed rule change. On February 28, 2006, CBOE withdrew Amendment No. 1 and filed Amendment No. 2 to the proposed rule change. 3 CBOE has designated this proposal as non-controversial under Section 19(b)(3)(A)(iii) of the Act 4 and Rule 19b-4(f)(6) thereunder, 5 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, as amended, from interested persons. 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. 3 In Amendment No. 2, CBOE resubmitted Exhibit 1, the Exchange's draft Notice of Proposed Rule Change, in order to replace a corrupted version of that document submitted with the original filing. 4 15 U.S.C. 78s(b)(3)(A)(iii). 5 17 CFR 240.19b-4(f)(6). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to amend its rules relating to the implementation of the PAR Official program to extend the deadline for implementation to March 24, 2006. In addition, the Exchange proposes to amend and re-issue regulatory circular RG05-116, DPM Obligations Until the Implementation of the PAR Official Program, to incorporate the revised deadline. The text of the proposed rule change follows, with additions in *italics* and deletions in [brackets]. The text of the proposed regulatory circular is available at CBOE's Web site ( *http://www.cboe.org/legal/default.aspx* ), at CBOE's principal office, and at the Commission's Public Reference Room. Chicago Board Options Exchange, Incorporated Rules Rule 7.12. PAR Official (a)-(e). No Change. * * * Interpretations and Policies: .01 The Exchange shall assign a PAR Official to all applicable trading stations on or before [February 16] *March 24* , 2006. Rule 8.85. DPM Obligations (a)-(d). No Change.
(e)Requirement to Own Membership. Each DPM organization shall own at least one Exchange membership for each trading location in which the organization serves as a DPM. For purposes of this Rule, a trading location is defined as any separate identifiable unit of a DPM organization that applies for and is allocated option classes by the appropriate Allocation Committee. An Exchange membership shall include a transferable regular membership or a Chicago Board of Trade full membership that has effectively been exercised pursuant to Article Fifth(b) of the Certificate of Incorporation. The same Exchange membership(s) may not be used to satisfy this ownership requirement for different DPM organizations or different trading locations operated by the same DPM organization. A DPM organization shall be exempt from the membership requirement under Rule 8.85(e) for the period of November 18, 2005 to [February 16] *March 24* , 2006 if the DPM organization falls out of compliance with Rule 8.85(e) because the Exchange membership used to satisfy Rule 8.85(e) was, at the time the DPM organization fell out of compliance with Rule 8.85(e), held by an individual whose affiliation with the DPM organization has been terminated as a result of the implementation of Rule 7.12. * * * Interpretations and Policies .01-.03 No Change. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the Exchange included statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose The purpose of this proposed rule change is to extend the Exchange's deadline for assigning a PAR Official to all applicable trading stations from February 16, 2006 to March 24, 2006. 6 On November 18, 2005 (“approval date”), the Commission approved CBOE's proposal to remove a DPM's obligation to execute orders as an agent, including as a floor broker, in its allocated securities on the Exchange in any trading station and to allow the Exchange to appoint an Exchange employee or independent contractor (“PAR Official”) to assume many of the functions and obligations that DPMs previously held (“PAR Official Rule Change”). 7 6 *See* CBOE Rule 7.12, Interpretation and Policy .01. 7 *See* Securities Exchange Act Release No. 52798 (November 18, 2005), 70 FR 71344 (November 28, 2005). Among other things, the PAR Official Rule Change gave the Exchange ninety days after the approval date to implement the PAR Official Rule Change or, more specifically, to ensure that a PAR Official was assigned to each DPM trading station. The 90-day implementation period ended on February 16, 2006. 8 In addition, the PAR Official Rule Change exempted DPM organizations for the same period of time from complying with the seat ownership requirement of CBOE Rule 8.85(e) under certain circumstances. 9 Specifically, CBOE Rule 8.85(e) provides, in part, that a DPM organization will be exempt until February 16, 2006 from the requirement to own at least one Exchange membership for each trading location that the DPM organization is the appointed DPM. 8 *See supra* note 6. 9 CBOE Rule 8.85(e) provides in part that a DPM organization will be exempt from the seat ownership requirement under Rule 8.85(e) if the DPM organization fell out of compliance because the Exchange membership used to satisfy the requirement was, at the time the DPM organization fell out of compliance, held by an individual whose affiliation with the DPM organization was terminated as a result of the implementation of the PAR Official Rule; Rule 7.12. The Exchange has determined that, primarily due to the lengthy process involved in hiring and properly training a sufficient number of personnel to adequately assume all PAR Official functions, the Exchange will require additional time to assign PAR Officials to each DPM trading station. As such, the Exchange proposes to extend both the PAR Official implementation deadline and the seat ownership exemption deadline to March 24, 2006. Because the Exchange anticipated that PAR Officials would not be assigned to all DPM trading stations immediately upon the approval of the PAR Official Rule Change, the Exchange issued a regulatory circular that had the effect of subjecting any such DPMs to the same rules and obligations that governed DPM operations and that were eliminated with the approval of the rule change. 10 Concurrent with the filing of this proposed rule change, the Exchange also proposes to reissue the aforementioned regulatory circular, amended to reflect the new March 24, 2006 deadline. 10 *See* CBOE Regulatory Circular RG05-116, DPM Obligations Until the Implementation of the PAR Official Program, dated November 18, 2005. Immediately upon approval of the PAR Official Rule Change, the Exchange filed the regulatory circular with the Commission pursuant to Section 19(b)(3)(A)(iii) of the Act, 15 U.S.C. 78s(b)(3)(A)(iii), and Rule 19b-4(f)(6) thereunder, 17 CFR 240.19b-4(f)(6). *See* Securities Exchange Act Release No. 52860 (November 30, 2005), 70 FR 72867 (December 7, 2005) (Notice of filing for immediate effectiveness of SR-CBOE-2005-100). The regulatory circular governed the operations of those DPMs that were not immediately included in the PAR Official conversion as of November 18, 2005, and the rules and obligations set forth therein were adopted directly from the former (that is, the pre-PAR Official Rule Change) DPM rules. 2. Statutory Basis The Exchange believes that, because the proposed rule change will refine and enhance its members' abilities to meet certain regulatory requirements, the proposed rule change is consistent with Section 6(b) 11 of the Act in general, and furthers the objectives of Section 6(b)(5) 12 in particular, in that it is designed to promote just and equitable principles of trade and, in general, to protect investors and the public interest. 11 15 U.S.C. 78f(b). 12 15 U.S.C. 78f(b)(5). B. Self-Regulatory Organization's Statement on Burden on Competition The Exchange does not believe that the proposed rule change will impose any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others No written comments were solicited or received with respect to the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action The foregoing proposed rule change, as amended, has become effective pursuant to Section 19(b)(3)(A) of the Act 13 and Rule 19b-4(f)(6) 14 thereunder because it
(i)does not significantly affect the protection of investors or the public interest;
(ii)does not impose any significant burden on competition; and
(iii)does not become operative for 30 days from the date on which it was filed, or such shorter time as the Commission may designate, provided that the self-regulatory organization has given the Commission written notice of its intent to file the proposed rule change at least five business days prior to the filing date of the proposed rule change, or such shorter time as the Commission may designate. 13 15 U.S.C. 78s(b)(3)(A). 14 17 CFR 19b-4(f)(6). The Exchange has requested that the Commission waive the five-day pre-filing requirement and the 30-day operative delay of Rule 19b-4(f)(6)(iii) so that the proposed rule change may become effective immediately. The Commission believes that waiving the pre-filing requirement and the operative delay is consistent with the protection of investors and the public interest because it would allow the Exchange's transition to the use of PAR Officials to continue. In addition, this proposed rule change is necessary for those DPMs that continue to operate under the pre-PAR Official program rules. Therefore, the Commission has determined to waive the pre-filing requirement and the operative delay and allow the proposed rule change to become operative immediately. 15 15 For purposes only of waiving the operative delay of this proposal, the Commission notes that it has considered the proposed rule's impact on efficiency, competition, and capital formation. 15 U.S.C. 78c(f). At any time within 60 days of the filing of the proposed rule change, the Commission may summarily abrogate such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act. IV. Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change, as amended, is consistent with the Act. Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's Internet comment form ( *http://www.sec.gov/rules/sro.shtml* ); or • Send an e-mail to *rule-comments@sec.gov.* Please include File No. SR-CBOE-2006-18 on the subject line. Paper Comments • Send paper comments in triplicate to Nancy M. Morris, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090. All submissions should refer to File Number SR-CBOE-2006-18. This file number should be included on the subject line if e-mail is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commissions Internet Web site ( *http://www.sec.gov/rules/sro.shtml* ). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for inspection and copying in the Commission's Public Reference Room. Copies of such filing also will be available for inspection and copying at the principal office of the CBOE. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR-CBOE-2006-18 and should be submitted on or before March 29, 2006. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 16 16 17 CFR 200.30-3(a)(12). Nancy M. Morris, Secretary. [FR Doc. E6-3270 Filed 3-7-06; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-53395; File Nos. SR-DTC-2006-04, SR-FICC-2006-01, and SR-NSCC-2006-01] Self-Regulatory Organizations; The Depository Trust Company, Fixed Income Clearing Corporation, and National Securities Clearing Corporation; Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change To Exclude Non-U.S.-Based Central Securities Depositories From a Requirement To Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation March 2, 2006. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”), 1 notice is hereby given that on February 9, 2006, The Depository Trust Company (“DTC”), the Fixed Income Clearing Corporation (“FICC”), and the National Securities Clearing Corporation (“NSCC”) filed with the Securities and Exchange Commission (“Commission”) proposed rule changes SR-DTC-2006-04, SR-FICC-2006-01, and SR-NSCC-2006-01 as described in Items I, II, and III below, which items have been prepared primarily by DTC, FICC, and NSCC. The Commission is publishing this notice and order to solicit comments on the proposed rule changes from interested parties and to grant accelerated approval of the proposed rule changes. 1 15 U.S.C. 78s(b)(1). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change DTC, FICC, and NSCC are seeking to exclude non-U.S.-based central securities depositories from the requirement to purchase shares of the common stock of The Depository Trust & Clearing Corporation (“DTCC”). II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, DTC, FICC, and NSCC included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. DTC, FICC, and NSCC have prepared summaries, set forth in sections (A), (B), and
(C)below, of the most significant aspects of these statements. 2 2 The Commission has modified the text of the summaries prepared by DTC, FICC, and NSCC.
(A)Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change DTCC is a holding company parent of DTC, FICC, and NSCC, each a clearing agency registered with the Commission. In 2005, amendments were made to DTCC's Shareholders Agreement and new provisions were added to the rules of each of the three clearing agencies pursuant to which participants of DTC, FICC, and NSCC that make full use of the services of one or more of the clearing agencies will be required to purchase DTCC common shares (“Mandatory Purchaser Participants”). Other participants that make only limited use of the services of one or more of the clearing agencies will have the right but not the obligation to purchase DTCC common shares (“Voluntary Purchaser Participants”). 3 3 Securities Exchange Act Release No. 52922 (December 7, 2005), 70 FR 74070 (December 14, 2005) [File Nos. SR-DTC-2005-16, SR-FICC-2005-19, and SR-NSCC-2005-14]. The purpose of those amendments to DTCC's Shareholders Agreement and revisions to the agency rules was to help ensure that participants continue to govern and to control the activities of DTC, FICC, and NSCC, including the services provided, service fees charged, and the practice of returning to participants revenues in excess of expenses and necessary reserves, by providing that all DTCC common shares are owned by participants of the three clearing agencies. DTCC's clearing agency subsidiaries have links with non-U.S.-based central securities depositories (“non-U.S. CSDs”) in order to support the activities of the clearing agencies' participants. The definition of “Mandatory Purchaser Participant” in each of DTC, FICC, and NSCC's Rules has the unintended consequence of requiring non-U.S. CSDs to purchase DTCC common shares. 4 Most of these non-U.S. CSDs have “free of payment” links and therefore do not expose the clearing agencies to settlement risk. In other cases, where the non-U.S. CSD is permitted to process transactions “against payment” and therefore benefits from settlement guarantees provided by the clearing agencies, there are reciprocal arrangements under which the clearing agency subsidiaries obtains the benefits of settlement guarantees provided by the non-U.S. CSD. 4 The definition of “Mandatory Purchaser Participant” is contained in DTC Rule 31, FICC Rule 49, and NSCC Rule 64. The purpose of the current proposed rule changes is to provide that non-U.S. CSDs would be excluded from the category of DTC, FICC, and NSCC participants that are required to purchase DTCC common shares. These entities would, however, have the right to purchase DTCC common shares. DTC, FICC, and NSCC each believe that their proposed rule change is consistent with the requirements of Section 17A of the Act 5 and the rules and regulations thereunder applicable to DTC, FICC, and NSCC because each believe the proposed changes to DTCC's Shareholders Agreement and to their rules will assure fair representation of DTC, FICC, and NSCC's participants in the selection of their directors and the administration of their affairs, respectively. 5 15 U.S.C. 78q-1.
(B)Self-Regulatory Organization's Statement on Burden on Competition DTC, FICC, and NSCC do not believe that the proposed rule change will have any impact or impose any burden on competition.
(C)Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others Written comments relating to the proposed rule change have not yet been solicited or received. DTC, FICC, and NSCC will notify the Commission of any written comments they receive. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action The Commission finds that the proposed rule change is consistent with the requirements of the Act and the rules and regulations thereunder and particularly with the requirements of Section 17A(b)(3)(C). 6 Section 17A(b)(3)(C) requires that the rules of a clearing agency be designed to assure fair representation in the selection of its directors and in the administration of its affairs. The Commission finds that DTC, FICC, and NSCC's proposed rule changes are consistent with this requirement because the allocation of common share purchase requirements will more accurately represent the actual use of the clearing agencies' services and the risks posed by such uses. Moreover, the removal of non-U.S. CSDs from the definition of Mandatory Purchaser Participant should not result in a significant increase in the burden imposed on the remaining shareholders, because the common shares that would otherwise be purchased by the non-U.S. CSDs represent slightly more than one percent of the total number of DTCC common shares to be purchased by the Mandatory Purchaser Participants. 6 15 U.S.C. 78q-1(b)(3)(C). DTC, FICC, and NSCC have requested that the Commission approve the proposed rules prior to the thirtieth day after publication of the notice of the filing. The Commission finds good cause for approving the proposed rule change prior to the thirtieth day after the publication of notice because such approval will permit DTCC to complete the necessary calculations to determine the number of shares to be purchased by Mandatory Purchaser Participants without including the non-U.S. CSDs, and will permit the clearing agencies' participants to complete their purchases of such shares prior to DTCC, DTC, FICC, and NSCC's annual shareholders meetings to be held in April 2006. IV. Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's Internet comment form ( *http://www.sec.gov/rules/sro.shtml* ) or • Send an e-mail to *rule-comments@sec.gov.* Please include File Numbers SR-DTC-2006-04, SR-FICC-2006-01, and SR-NSCC-2006-01 in the subject line. Paper Comments • Send paper comments in triplicate to Nancy M. Morris, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090. All submissions should refer to File Numbers SR-DTC-2006-04, SR-FICC-2006-01, and SR-NSCC-2006-01. This file number should be included on the subject line if e-mail is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site ( *http://www.sec.gov/rules/sro.shtml* ). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for inspection and copying in the Commission's Public Reference Section, 100 F Street, NE., Washington, DC 20549. Copies of such filings also will be available for inspection and copying at the principal offices of DTC, FICC, and NSCC and on DTC's Web site at *http://www.dtc.org,* and on FICC's Web site at *http://www.ficc.com,* and on NSCC's Web site, *http://www.nscc.com.* All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Numbers SR-DTC-2006-04, SR-FICC-2006-01, and SR-NSCC-2006-01 and should be submitted on or before March 29, 2006. For the Commission by the Division of Market Regulation, pursuant to delegated authority. 7 7 17 CFR 200.30-3(a)(12). Nancy M. Morris, Secretary. [FR Doc. E6-3269 Filed 3-7-06; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-53396; File No. SR-FICC-2005-17] Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change Relating to Assumption of Blind Brokered Fails by Its Government Securities Division March 2, 2006. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”), 1 notice is hereby given that on September 30, 2005, the Fixed Income Clearing Corporation (“FICC”) filed with the Securities and Exchange Commission (“Commission”) a proposed rule change and on November 28, 2005 amended the proposed rule change that is described in Items I, II, and III below, which items have been prepared primarily by FICC. The Commission is publishing this notice to solicit comments on the proposed rule change from interested parties. 1 15 U.S.C. 78s(b)(1). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The proposed rule change would clarify the practice of the Government Securities Division (“GSD”) of FICC of assuming certain blind brokered repurchase transaction (“repo”) fails and of obtaining financing in connection with such assumption. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, FICC included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. FICC has prepared summaries, set forth in sections (A), (B), and
(C)below, of the most significant aspects of these statements. 2 2 The Commission has modified the text of the summaries prepared by FICC.
(A)Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change The purpose of the proposed rule change is to clarify the practice of the GSD of FICC of assuming certain blind brokered repo fails and of obtaining financing as necessary in connection with such assumption. The settlement of the start leg of a same-day starting repo has always been and continues to be processed outside of the GSD. In the evening of the day of a same-day starting brokered repo, FICC will assume responsibility from the broker for settlement of such start leg if the repo dealer has not delivered securities to the broker to start the repo ( *i.e.* , the start leg has failed). This may involve the receipt of securities from the repo dealer for redelivery to the reverse repo dealer or the settlement of the start leg may be effected by netting or pairoff of the settlement obligations arising from the start leg against the settlement obligations arising from the close leg of the same or another repo. FICC will also assume a blind brokered repo fail that arises in the close leg of a blind brokered repo transaction. For example, if the start leg of the transaction settles outside of FICC in the normal course but one side of the close leg does not compare (for any reason that would cause a trade to not compare such as erroneous trade data submitted by one or both of the parties), the broker will wind up with a net settlement position rather than netting flat. If that transaction fails to settle, FICC will assume the broker's fail. FICC assumes the fails in these instances in order to decrease risk. 3 By assuming the fail, FICC removes the broker, which acts as an intermediary and which expects to net out of every transaction and not have a settlement position, from the settlement process. FICC is proposing to add a provision to its rules to expressly provide for this practice and therefore to make its rules consistent with its current and longstanding practice. 4 3 FICC has engaged in the practice of assuming broker fails since the inception of its blind brokered repo service. 4 The specific rule being added is Rule 19, Section 5, “Assumption of Blind Brokered Fails.” In the assumption of such broker fails, the need for financing might arise. For example, such as if the repo dealer delivered securities at the close of the securities Fedwire and if the broker was unable to deliver them to the reverse repo dealer. The GSD's rules already contain a provision, Section 8 of Rule 12, that addresses the GSD's need to obtain financing in general. This provision contemplates the need for financing in order to allow the GSD to facilitate securities settlement generally. It is important to note that such financing is part of the GSD's normal course of business, and the GSD's ability to obtain such financing is necessary for it to be able to complete securities settlement. Section 8 of Rule 12 provides that if FICC deems it appropriate to obtain financing to provide its securities settlement services, FICC may create security interests in eligible netting securities delivered by a netting member in order to obtain such financing. The provision requires that members not take any action to adversely affect this process. The provision also states that such security interests may be created to obtain financing in an amount greater than the obligation of a member to FICC relating to such eligible netting securities. Thus, clearing fund securities may be used to collateralize such financing. Also, Section III.C of the GSD's fee structure provides the formula that the GSD will use to charge members for the cost of any financing obtained by the GSD. FICC wishes to interpret Section 8 of Rule 12 and Section III.C. to apply to financing that might arise because of FICC's assumption of blind brokered fails. FICC does not believe that actual changes to the rules are necessary for this clarification. FICC believes that the proposed change is consistent with Section 17A of the Act 5 and the rules and regulations thereunder applicable to FICC because it clarifies FICC's rules for consistency with current practice and provides an interpretation of an existing rule. 5 15 U.S.C. 78q-1.
(B)Self-Regulatory Organization's Statement on Burden on Competition FICC does not believe that the proposed rule change will have any impact or impose any burden on competition.
(C)Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others Written comments relating to the proposed rule change have not yet been solicited or received. FICC will notify the Commission of any written comments received by FICC. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Within thirty-five days of the date of publication of this notice in the **Federal Register** or within such longer period:
(i)As the Commission may designate up to ninety days of such date if it finds such longer period to be appropriate and publishes its reasons for so finding; or
(ii)as to which the self-regulatory organization consents, the Commission will:
(A)By order approve such proposed rule change or
(B)institute proceedings to determine whether the proposed rule change should be disapproved. IV. Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change is consistent with the Act. Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's Internet comment form ( *http://www.sec.gov/rules/sro.shtml* ) or • Send an e-mail to *rule-comments@sec.gov* . Please include File Number SR-FICC-2005-17 in the subject line. Paper Comments • Send paper comments in triplicate to Nancy M. Morris, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090. All submissions should refer to File Number SR-FICC-2005-17. This file number should be included on the subject line if e-mail is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site ( *http://www.sec.gov/rules/sro.shtml* ). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for inspection and copying in the Commission's Public Reference Section, 100 F Street, NE., Washington, DC 20549. Copies of such filings also will be available for inspection and copying at the principal office of FICC and on FICC's Web site, *http://www.ficc.com* . All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR-FICC-2005-17 and should be submitted on or before March 29, 2006. For the Commission by the Division of Market Regulation, pursuant to delegated authority. 6 6 17 CFR 200.30-3(a)(12). Nancy M. Morris, Secretary. [FR Doc. E6-3272 Filed 3-7-06; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-53394; File No. SR-PCX-2006-07] Self-Regulatory Organizations; Pacific Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Open Order Modifiers March 1, 2006. Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”) 1 and Rule 19b-4 thereunder, 2 notice is hereby given that on February 1, 2006, the Pacific Exchange, Inc. (“PCX” or “Exchange”), submitted to the Securities and Exchange Commission (“Commission”) the proposed rule change as described in Items I and II below, which Items have been prepared by PCX. PCX filed the proposed rule change pursuant to Section 19(b)(3)(A) of the Act 3 which renders it effective upon filing with the Commission. On February 28, 2006, PCX filed Amendment No. 1 to the proposed rule change. 4 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 240.19b-4. 3 15 U.S.C. 78s(b)(3)(A). 4 Amendment No. 1 replaced and superseded the original filing in its entirety. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change PCX, through its wholly-owned subsidiary PCX Equities, Inc. (“PCXE”), proposes to amend its rules governing the Archipelago Exchange (“ArcaEx”), the equity trading facility of PCXE, to add GTC and GTD modifiers for use on the Exchange and to specify the method in which GTC and GTD Orders will be adjusted in the event of a corporate action. The text of the proposed rule change is below. Additions are *italicized* ; deletions are in [brackets]. Rules of PCX Equities, Inc. Rule 7 Equities Trading Rule 7.31 Orders and Modifiers (a)-(b) No change.
(c)*Time in Force* *(1)* Day Order. An order to buy or sell which, if not executed, expires at the end of the day on which it was entered. *(2) Good Till Cancelled (“GTC”) Order. An order to buy or sell (or unexecuted portion thereof) which, if not executed, remains in effect until executed, cancelled by the entering party, or expiration, whichever comes first. All unexecuted portions of GTC Orders will be cancelled by the Corporation one year after initial entry.* *(3) Good Till Date (“GTD”) Order. An order to buy or sell (or unexecuted portion thereof) set to expire following the close of the core session of the pre-determined date specified by the entering party which, if not executed, remains in effect until executed, cancelled by the entering party, or expiration, whichever comes first. All unexecuted portions of GTD Orders will be cancelled by the Corporation one year after initial entry.* Rule 7.39 [Reserved] *Adjustment of Open Orders* *The Archipelago Exchange will automatically adjust the price and/or size of round and odd lot Open Orders, as defined in PCXE Rule 7.31, in all ArcaEx eligible securities (unless instructed otherwise by the entering party) resident in the system in response to issuer corporate actions (i.e., dividend payment or distribution, stock split, mergers and acquisitions), as follows:* *(a) Sell Orders—Sell Orders in the system shall not be adjusted by the Corporate Action Processing (“CAP”) System and must be modified, if desired, by the entering party, except for reverse splits where such sell side orders shall be purged from the system.* *(b) Buy Orders—Buy side orders shall be adjusted by the CAP System based on the particular corporate action impacting the security as set forth below:* *(1) Cash Dividends: Buy side order prices shall be first reduced by the dividend amount and the resulting price will be rounded to the nearest penny.* *(2) Stock Dividends and Stock Splits: Buy side order prices shall be determined by first rounding up the dollar value of the stock dividend or split to the nearest penny. The resulting amount shall then be subtracted from the price of the buy order. The size of the order shall be adjusted by first
(A)multiplying the size of the original order by the numerator of the ratio of the dividend split, then
(B)dividing that result by the denominator of the ratio of the dividend split, then
(C)rounding that result to the next lowest share.* *(3) Dividends Payable in Either Cash or Securities at the Option of the Stockholder: Buy side order prices shall be reduced by the dollar value of either the cash or securities, whichever is greater. The dollar value of the cash shall be determined using the formula in paragraph
(1)above, while the dollar value of the securities shall be determined using the formula in paragraph
(2)above. If the stockholder opts to receive securities, the size of the order shall be increased pursuant to the formula in subparagraph
(2)above.* *(4) Combined Cash and Stock Dividends/Split: In the case of a combined cash dividend and stock split/dividend, the cash dividend portion shall be calculated first as per section
(1)above, and stock portion thereafter pursuant to sections
(2)and/or
(3)above.* *(5) Reverse Splits: All orders (buy and sell) shall be cancelled and returned to the entering party.* *(c) Stop Orders To Sell—Sell Stop Orders will be handled in the same manner as Buy Orders as mentioned in section
(b)in the event of a corporate action.* *(d) Open Orders that are adjusted by the CAP System pursuant to the above rules, and that thereafter continuously remain in the system, shall retain the time priority of their original entry.* *(e) In the event a corporate action is identified by the Corporation at a time in which an adjustment to all affected open buy orders and sell stop orders could not be made, the Corporation will cancel all such orders and notify the entering party(ies).* II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the Exchange included statements concerning the purpose of, and basis for, the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in Sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to amend PCXE Rule 7.31 to introduce new time-in-force modifiers to be available for certain order types as part of its continuing efforts to enhance participation on the ArcaEx trading facility. The modifiers, known as Good Till Cancelled
(GTC)and Good Till Date (GTD), would permit certain orders to buy or sell to remain in effect until executed, cancelled by the entering party, or until they expire. Currently, all non-marketable orders submitted by ETP Holders are eligible for execution only on the date on which they were entered. All unexecuted orders expire at the end of the day on which they were entered. This proposal seeks to add time-in-force modifiers that would be available to extend beyond the current trading session and provide ETP Holders with more flexibility in managing their orders. The proposed modifiers are similar to those found on other market centers. 5 5 *See* New York Stock Exchange, Inc., Rule 13, and National Association of Securities Dealers, Inc., Rule 4706. *GTC and GTD Order Type Modifiers.* A GTC or GTD Order Modifier (also known as “Open Orders”) would be a time-in-force order parameter to permit orders to buy or sell to remain in effect until executed, cancelled by the entering party, or expiration. All valid Open Orders remaining on the ArcaEx book at the end of the core trading session (1 p.m. Pacific Time) would be held open and be available for execution in the Arca Book beginning at 6:30 a.m. Pacific Time the following day. The difference between the various Open Orders is described as follows. A GTC modifier would be an order (or unexecuted portion thereof) to buy or sell which would remain in effect until executed or until cancelled by the entering party. Orders with a GTD modifier would be an order (or unexecuted portion thereof) to buy or sell set to expire following the close of the core session of the pre-determined date specified by the entering party and would remain in effect until executed, expired, or cancelled by the entering party. All Open Orders not executed, expired, or cancelled by the entering party within one year from date of entry would be automatically cancelled by the Exchange following notification of such action being sent to the entering party. *Open Order Execution Priority in ArcaEx.* All orders subject to a GTC and GTD modifier may be entered during any trading session but would be eligible for execution only during the core session. The orders would be ranked in accordance with PCXE Rule 7.36 and would be executed in such a price/date/time priority in accordance with PCXE Rule 7.37 based on the time and date stamp and conditions from initial entry. *Orders Types Eligible for GTC or GTD Modifiers.* ETP Holders, upon prior notice from PCXE, would be permitted to enter GTC or GTD modifiers for certain order types available on ArcaEx. Initially, these would include: Limit Orders, Stop Orders, and Stop Limit Orders. 6 All other order types would be accepted if entered with any of the proposed order modifiers but would treated as they are currently and be cancelled at the end of the core trading session, rather than be available for execution the following day. 6 As defined by PCXE Rule 7.31. *Corporate Actions.* PCX also proposes to add Rule 7.39 to identify the procedures the Exchange will follow to adjust Open Orders on the ArcaEx book in the event of a corporate action. These procedures are similar to those found on other market centers. 7 7 *See* National Association of Securities Dealers, Inc. Rule 4715; *see also* New York Stock Exchange, Inc. Rule 118. All valid Open Orders remaining on the ArcaEx book at the end of the core trading session would be removed and stored within a separate database. During this time, any information received from the Depository Trust & Clearing Corporation (“DTCC”) in relation to a corporate action (i.e. dividend payment, stock split, mergers and acquisitions, etc.) for a specific security would be entered into the Corporate Action Processing System (“CAP”). Additionally, a “Corporate Action Notice System” would produce web-based corporate action information relating to these events to notify ArcaEx Users. 8 When this occurs, the price and/or number of shares for Open Orders would be modified to reflect the change to the original order as described in PCXE Rule 7.39. For example, open buy orders and open sell stop orders for a security would be similarly adjusted by the CAP System in accordance with the proposed rule, depending on the type of corporate action affecting the security. The system would not alter open sell orders in the event of any corporate action, and all open orders for a security would be cancelled and returned to the entering party in the event of a reverse split for that security. ArcaEx would offer the option to allow ETP Holders to designate whether their Open Order should be modified by ArcaEx in the event of a corporate action and would permit ETP Holders to instruct that the order be cancelled in such an event. 8 *See* PCXE Rule 1.1(x). Open Orders for ETP Holders that do not wish the affected order to be cancelled automatically by the Exchange in the event of a Corporate Action would be adjusted accordingly as described above by CAP and the adjusted Open Order would be re-posted into the ArcaEx book. Such orders shall be ranked in accordance with PCXE Rule 7.36, and would be executed in such a price/time priority in accordance with PCXE Rule 7.37 based upon the original order entry time. Open Orders that are affected by corporate actions of which the Exchange was not aware of prior to ranking all adjusted Open Orders in the ArcaEx book for execution would be automatically cancelled by ArcaEx. 9 9 Open Orders would be cancelled by the Exchange only for buy-side and sell stop orders affected by Corporate Actions. In the event of a reverse split, all Open Orders affected would be cancelled by the Exchange. ArcaEx, in its efforts to continually offer a competitive market structure and provide more execution opportunities and ease of order flow management for ETP Holders, proposes to add these order modifiers. 2. Statutory Basis PCX believes that the proposed rule change is consistent with Section 6(b) 10 of the Act, in general, and furthers the objectives of Section 6(b)(5), 11 in particular, in that it is designed to facilitate transactions in securities, to promote just and equitable principles of trade, to enhance competition, and to protect investors and the public interest. 10 15 U.S.C. 78f(b). 11 15 U.S.C. 78f(b)(5). B. Self-Regulatory Organization's Statement on Burden on Competition The Exchange does not believe that the proposed rule change will impose any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others Written comments on the proposed rule change were neither solicited nor received. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action PCX has filed the proposed rule change pursuant to Section 19(b)(3)(A) of the Act 12 and subparagraph (f)(6) of Rule 19b-4 thereunder. 13 Because the foregoing proposed rule change:
(1)Does not significantly affect the protection of investors or the public interest;
(2)does not impose any significant burden on competition; and
(3)does not become operative for 30 days from the date of filing, or such shorter time as the Commission may designate if consistent with the protection of investors and the public interest, the proposed rule change has become effective pursuant to Section 19(b)(3)(A) of the Act and Rule 19b-4(f)(6) thereunder. As required under Rule 19b-4(f)(6)(iii), PCX provided the Commission with written notice of its intent to file the proposed rule change at least five business days prior to filing the proposal with the Commission or such shorter period as designated by the Commission. PCX has requested that the Commission waive 30-day delayed operational date provisions contained in the above rule, based upon a representation that accelerating the operative date would allow investors to immediately benefit from execution opportunities on ArcaEx. For this reason, the Commission designates the proposal to be effective and operative upon filing with the Commission. 12 15 U.S.C. 78s(b)(3)(A). 13 17 CFR 240.19b-4(f)(6). At any time within 60 days of the filing of such proposed rule change, the Commission may summarily abrogate such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors, or otherwise in furtherance of the purposes of the Act. 14 14 The effective date of the original proposed rule change is February 1, 2006 and the effective date of Amendment No. 1 is February 28, 2006. For purposes of calculating the 60-day period within which the Commission may summarily abrogate the proposed rule change, as amended, under section 19(b)(3)(C) of the Act, the Commission considers the period to commence on February 28, 2006, the date on which PCX submitted Amendment No. 1. *See* 15 U.S.C. 78s(b)(3)(C). IV. Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change, as amended, is consistent with the Act. Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's Internet comment form ( *http://www.sec.gov/rules/sro.shtml* ); or • Send an e-mail to *rule-comments@sec.gov.* Please include File Number SR-PCX-2006-07 on the subject line. Paper Comments • Send paper comments in triplicate to Nancy M. Morris, Secretary, Securities and Exchange Commission, 100 F Street, NE., Washington, DC 20549-1090. All submissions should refer to File Number SR-PCX-2006-07. This file number should be included on the subject line if e-mail is used. To help the Commission process and review your comments more efficiently, please use only one method. The Commission will post all comments on the Commission's Internet Web site ( *http://www.sec.gov/rules/sro.shtml* ). Copies of the submission, all subsequent amendments, all written statements with respect to the proposed rule change that are filed with the Commission, and all written communications relating to the proposed rule change between the Commission and any person, other than those that may be withheld from the public in accordance with the provisions of 5 U.S.C. 552, will be available for inspection and copying in the Commission's Public Reference Room. Copies of such filing also will be available for inspection and copying at the principal office of PCX. All comments received will be posted without change; the Commission does not edit personal identifying information from submissions. You should submit only information that you wish to make available publicly. All submissions should refer to File Number SR-PCX-2006-07 and should be submitted on or before March 29, 2006. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 15 Nancy M. Morris, Secretary. 15 17 CFR 200.30-3(a)(12). [FR Doc. E6-3276 Filed 3-7-06; 8:45 am] BILLING CODE 8010-01-P DEPARTMENT OF TRANSPORTATION Federal Railroad Administration Safety Advisory 2006-01 AGENCY: Federal Railroad Administration (FRA), Department of Transportation (DOT). ACTION: Notice of safety advisory. SUMMARY: FRA is issuing Safety Advisory 2006-01, in order to provide the industry additional information on the potential catastrophic failure of certain railroad freight car side frame castings manufactured by National Castings of Mexico's
(NCM)Sahagun, Mexico facility and Buckeye Steel Castings' (Buckeye) Columbus, Ohio facility. The purpose of this safety advisory is to recommend that the rail industry carefully inspect these specific side frames when equipped freight cars are in shops or on repair tracks. FOR FURTHER INFORMATION CONTACT: Ronald Newman, Staff Director, Motive Power and Equipment Division (RRS-14), FRA Office of Safety Assurance and Compliance, 1120 Vermont Avenue, NW., Washington, DC 20590, telephone:
(202)493-6241 or Thomas Herrmann, Staff Attorney, FRA Office of Chief Counsel, 1120 Vermont Avenue, NW., Washington, DC 20590, telephone:
(202)493-6036. SUPPLEMENTARY INFORMATION: The standard three
(3)piece railroad freight car truck (comprised of a bolster and two side frames) is a critical safety component which transmits the load of the freight car and its lading to the rail and track structure. Any crack or failure detected in critical load bearing areas of these components can result in a serious derailment. There have been six
(6)reported in-service failures of side frames manufactured by either NCM or Buckeye. Three of these in-service failures have resulted in a derailment. These include: Car DTTX 723603 on December 8, 2004, on BNSF Train QOIGCHI104 near Ottawa, Kansas; Car DTTX 724557 on December 14, 2004, on CSXT Train Q112-13 near Fostoria, Ohio; and Car UP 28414 on September 10, 2005, on UP Train CCOTSH05 near Hanna, Wyoming. Preliminary information indicates that there are three pattern types produced by these manufacturers most susceptible to failure. Most of the side frames that have failed to date had received some type of welded repair during the manufacturing process. In addition, preliminary analysis has in some cases indicated porosity and possible hardness problems with the involved castings. The following table identifies the three pattern numbers of side frames manufactured by NCM and Buckeye that may have the potential to fail while in-service. Manufacturer Type Service AAR designation Pattern number Buckeye Barber S-2-D 263/286K GRL F-9S-11FN-UA F-10103-B85 NCM Barber S-2-HD 263/286K GRL F9S-06BN-UA 52120 NCM Barber S-2-E 263/286K GRL F9S-14FN-UA 53180 FRA has previously issued Safety Advisory 2003-03 and Emergency Order No. 23. *See* 68 FR 65982 (November 24, 2003) and 69 FR 23850 (April 30, 2004). Both of these documents address the potential safety problems related to certain truck bolsters manufactured at the NCM, Sahagun, Mexico facility. *Recommended Action:* In recognition of the need to assure safety, FRA recommends that railroads carefully inspect the side frames identified in this advisory when any freight car equipped with the involved side frames is on a shop or repair track. Railroad freight cars equipped with side frames in these pattern numbers should receive a careful inspection of the side frames at the inner corner radius (spring nest and outboard sides) of the pedestal jaw opening (field or gage side) at the transition from the pedestal roof. There are eight
(8)locations per side frame that should receive close visual inspection. (See Figure 1). Any evidence of cracking and/or missing material in the corner radius areas is cause for replacement. FRA will continue to monitor the rail industry's voluntary action and may consider pursuing other measures to ensure public safety. FRA may modify Safety Advisory 2006-01, issue additional safety advisories, or take other appropriate action necessary to ensure the highest level of safety on the nation's railroads. Issued in Washington, DC, on March 2, 2006. Grady C. Cothen, Jr., Deputy Associate Administrator for Safety Standards and Program Development. EN08MR06.032 [FR Doc. 06-2164 Filed 3-7-06; 8:45 am]
Connectionstraces to 10
8 references not yet in our index
  • 5 CFR 6.6
  • 3 CFR 1954
  • 44 USC 3501-3520
  • 17 CFR 270.11
  • 15 USC 78
  • 17 CFR 240.12
  • 17 CFR 240.19
  • 17 CFR 19
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cites case law
Notices
Notice
U.S.C.§ 3301
U.S.C.§ 3501
C.F.R.§ 274.15
U.S.C.§ 80a–11
C.F.R.§ 200.30-3
U.S.C.§ 78s
U.S.C.§ 78f
U.S.C.§ 78c
U.S.C.§ 552
Cite5 CFR 6.6
Cite3 CFR 1954
Cite44 USC 3501-3520
Cites 18 · showing 12Cited by 0 across 0 sources
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