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BILLING CODE 7590-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55532; File No. S7-966] Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Granting Approval of Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the American Stock Exchange, LLC, the Boston Stock Exchange, Inc., the Chicago Board Options Exchange, Inc., the International Securities Exchange, LLC, the National Association of Securities Dealers, Inc., the New York Stock Exchange, LLC, the NYSE Arca, Inc., and the Philadelphia Stock Exchange, Inc.
March 26, 2007. On December 5, 2006, the American Stock Exchange, LLC (“Amex”), the Boston Stock Exchange, Inc. (“BSE”), the Chicago Board Options Exchange, Inc. (“CBOE”), the International Securities Exchange, LLC (“ISE”), the National Association of Securities Dealers, Inc. (“NASD”), the New York Stock Exchange, LLC (“NYSE”), the NYSE Arca, Inc. (“NYSE Arca”), and the Philadelphia Stock Exchange, Inc. (“Phlx”) (collectively the “SRO participants”) filed with the Securities and Exchange Commission (“Commission”), pursuant to Section 17(d) 1 of the Securities Exchange Act of 1934 (“Act”) and Rule 17d-2 thereunder, 2 an amendment to their January 14, 2004 plan for the allocation of regulatory responsibility.
The proposed amended plan was published for comment on January 26, 2007. 3 The Commission received no comments on the amended plan. This order approves the amended plan. 1 15 U.S.C. 78q(d). 2 17 CFR 240.17d-2. 3 Securities Exchange Act Release No. 55145 (January 22, 2007), 72 FR 3882. I. Introduction Section 19(g)(1) of the Act, 4 among other things, requires every national securities exchange and registered securities association (“SRO”) to examine for, and enforce, compliance by its members and persons associated with its members with the Act, the rules and regulations thereunder, and the SRO's own rules, unless the SRO is relieved of this responsibility pursuant to Section 17(d) or 19(g)(2) of the Act. 5 Without this relief, the statutory obligation of each individual SRO could result in a pattern of multiple examinations of broker-dealers that maintain memberships in more than one SRO (“common members”).
This regulatory duplication would add unnecessary expenses for common members and their SROs. 4 15 U.S.C. 78s(g)(1). 5 15 U.S.C. 78q(d) or 15 U.S.C. 78s(g)(2). Section 17(d)(1) of the Act was intended, in part, to eliminate unnecessary multiple examinations and regulatory duplication. 6 With respect to a common member, Section 17(d)(1) authorizes the Commission, by rule or order, to relieve an SRO of the responsibility to receive regulatory reports, to examine for and enforce compliance with applicable statutes, rules and regulations, or to perform other specified regulatory functions. 6 *See* Securities Act Amendments of 1975, Report of the Senate Committee on Banking, Housing, and Urban Affairs to Accompany S. 249, S.
Rep. No. 94-75, 94th Cong., 1st Session. 32 (1975). To implement Section 17(d)(1), the Commission adopted two rules: Rule 17d-1 and Rule 17d-2 under the Act. 7 Rule 17d-1, adopted on April 20, 1976, 8 authorizes the Commission to name a single SRO as the designated examining authority (“DEA”) to examine common members for compliance with the financial responsibility requirements imposed by the Act, or by Commission or SRO rules. When an SRO has been named as a common member's DEA, all other SROs to which the common member belongs are relieved of the responsibility to examine the firm for compliance with applicable financial responsibility rules. 7 17 CFR 240.17d-1 and 17 CFR 240.17d-2. 8 *See* Securities Exchange Act Release No. 12352 (April 20, 1976), 41 FR 18809 (May 3, 1976).
Rule 17d-1 deals only with an SRO's obligations to enforce broker-dealers' compliance with the financial responsibility requirements. Rule 17d-1 does not relieve an SRO from its obligation to examine a common member for compliance with its own rules and provisions of the federal securities laws governing matters other than financial responsibility, including sales practices, and trading activities and practices. To address regulatory duplication in these other areas, on October 28, 1976, the Commission adopted Rule 17d-2 under the Act. 9 This rule permits SROs to propose joint plans allocating regulatory responsibilities with respect to common members.
Under paragraph
(c)of Rule 17d-2, the Commission may declare such a plan effective if, after providing for notice and comment, it determines that the plan is necessary or appropriate in the public interest and for the protection of investors, to foster cooperation and coordination among the SROs, to remove impediments to and foster the development of a national market system and a national clearance and settlement system, and in conformity with the factors set forth in Section 17(d) of the Act. Commission approval of a plan filed pursuant to Rule 17d-2 relieves an SRO of those regulatory responsibilities allocated by the plan to another SRO. 9 *See* Securities Exchange Act Release No. 12935 (October 28, 1976), 41 FR 49093 (November 8, 1976). II. The Plan On September 8, 1983, the Commission approved the SRO participants' plan for allocating regulatory responsibilities pursuant to Rule 17d-2. 10 On May 23, 2000, the Commission approved an amendment to the plan that added the ISE as a participant. 11 On November 8, 2002, the Commission approved another amendment that replaced the original plan in its entirety and, among other things, allocated regulatory responsibilities among all the participants in a more equitable manner. 12 On February 5, 2004, the parties submitted an amendment to the plan, primarily to include the BSE, which was establishing a new options trading facility to be known as the Boston Options Exchange (“BOX”), as an SRO participant. 13 10 *See* Securities Exchange Act Release No. 20158 (September 8, 1983), 48 FR 41256 (September 14, 1983). 11 *See* Securities Exchange Act Release No. 42816 (May 23, 2000), 65 FR 24759 (May 31, 2000). 12 *See* Securities Exchange Act Release No. 46800 (November 8, 2002), 67 FR 69774 (November 19, 2002). 13 *See* Securities Exchange Act Release No. 49197 (February 5, 2004), 69 FR 7046. (February 12, 2004). The plan reduces regulatory duplication for a large number of firms currently members of two or more of the SRO participants by allocating regulatory responsibility for certain options-related sales practice matters to one of the SRO participants. Generally, under the current plan, the SRO participant responsible for conducting options-related sales practice examinations of a firm, and investigating options-related customer complaints and terminations for cause of associated persons of that firm, is known as the firm's “Designated Options Examining Authority” (“DOEA”). Pursuant to the current plan, any other SRO of which the firm is a member is relieved of these responsibilities during the period the firm is assigned to a DOEA. III. Proposed Amendment to the Plan The purpose of the amended plan is to:
(i)Provide that NASD and NYSE will be DOEAs under the plan,
(ii)provide that the Designated Examination Authority pursuant to Commission Rule 17d-1 under the Act for a broker-dealer that is a member of more than one SRO participant (but not a member of the NASD or the NYSE) shall perform the regulatory responsibility under the agreement as if such DEA were the DOEA,
(iii)to incorporate a more formal procedure for updating the list of common rules, and
(iv)make certain other changes to the plan. The amended plan replaces the previous plan in its entirety. IV. Discussion The Commission finds that the amended plan is consistent with the factors set forth in Section 17(d) of the Act 14 and Rule 17d-2(c) thereunder 15 in that the amended plan is necessary or appropriate in the public interest and for the protection of investors, to foster cooperation and coordination among self-regulatory organizations, and to remove impediments to and foster the development of a national market system. In particular, the Commission continues to believe that the plan is an achievement in cooperation among the SRO participants, and that the plan will reduce unnecessary regulatory duplication by allocating to the designated SRO the responsibility for certain options-related sales practice matters that would otherwise be performed by multiple SROs. The plan promotes efficiency by reducing costs to firms that are members of more than one of the SRO participants. In addition, because the SRO participants coordinate their regulatory functions in accordance with the plan, the plan promotes, and will continue to promote, investor protection. 14 15 U.S.C. 78q(d). 15 17 CFR 240.17d-2(c). V. Conclusion This order gives effect to the amended plan submitted to the Commission that is contained in File No. S7-966. The SRO participants shall notify all members affected by the amended plan of their rights and obligations under the amended plan. It is therefore ordered, pursuant to Sections 17(d) 16 of the Act, that the amended plan of the Amex, BSE, CBOE, ISE, NASD, NYSE, NYSE Arca, and Phlx filed pursuant to Rule 17d-2 17 is approved. 16 15 U.S.C. 78q(d). 17 17 CFR 240.17d-2. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 18 18 17 CFR 200.30-3(a)(34). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-5981 Filed 3-30-07; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55539; File Nos. SR-Amex-2007-21; SR-BSE-2007-07; SR-CBOE-2007-13; SR-ISE-2007-12; SR-NYSEArca-2007-28; SR-Phlx-2007-21] Self-Regulatory Organizations; American Stock Exchange LLC and Chicago Board Options Exchange, Incorporated: Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Changes; Boston Stock Exchange, Inc.; International Securities Exchange, LLC; NYSE Arca, Inc.; and Philadelphia Stock Exchange, Inc.: Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change, as Amended, Relating to Linkage Orders March 27, 2007. 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 16, 2007, February 20, 2007, February 13, 2007, February 6, 2007, March 14, 2007, and March 14, 2007, the American Stock Exchange LLC (“Amex”), the Boston Stock Exchange, Inc. (“BSE”), the Chicago Board Options Exchange, Incorporated (“CBOE”), the International Securities Exchange, LLC (“ISE”), NYSE Arca, Inc. (“NYSE Arca”), and the Philadelphia Stock Exchange, Inc. (“Phlx”) (each, an “Exchange” and, collectively, the “Exchanges”), respectively, filed with the Securities and Exchange Commission (“Commission”) the proposed rule changes as described in Items I and II below. On March 12, 2007, March 13, 2007, March 19, 2007, and March 20, 2007, BSE, ISE, NYSE Arca, and Phlx, respectively, filed Amendment No. 1 to their proposed rule changes. 3 On March 21, 2007, Phlx filed Amendment No. 2 to its proposed rule change. 4 The Commission is publishing this notice to solicit comments on the proposed rule changes, as amended, from interested persons and is approving the proposed rule changes, as amended, on an accelerated basis. 1 15 U.S.C. 78s(b)(l). 2 17 CFR 240. 19b-4. 3 Amendment No. 1 effected technical corrections to the proposed rule texts. 4 Amendment No. 2 effected a technical correction to the proposed rule text. I. Self-Regulatory Organizations' Statement of the Terms of Substance of the Proposed Rule Changes The Exchanges propose to amend their respective rules pertaining to the Intermarket Options Linkage (“Linkage”) to conform such rules to Joint Amendment No. 22 5 of the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage (“Linkage Plan”). 6 The text of the proposed rule changes are available at the Exchanges' Web sites, 7 the Exchanges' principal offices, and at the Commission's Public Reference Room. 5 *See* Securities Exchange Act Release No. 55436 (March 8, 2007), 72 FR 12639 (March, 16, 2007) (File No. 4-429). 6 On July 28, 2000, the Commission approved a national market system plan for the purpose of creating and operating the Linkage proposed by Amex, CBOE, and ISE. *See* Securities Exchange Act Release No. 43086 (July 28, 2000), 65 FR 48023 (August 4, 2000). Subsequently, Phlx, Pacific Exchange, Inc. (n/k/a NYSE Arca, Inc.), and BSE joined the Linkage Plan. *See* Securities Exchange Act Release Nos. 43573 (November 16, 2000), 65 FR 70851 (November 28, 2000); 43574 (November 16, 2000), 65 FR 70850 (November 28, 2000); and 49198 (February 5, 2004), 69 FR 7029 (February 12, 2004). 7 *See http://www.amex.com, http://www.bostonstock.com, http://www.cboe.com, http://www.iseoptions.com, http://www.nyse.com* , and *http://www.phlx.com.* II. Self-Regulatory Organizations' Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Changes In its filing with the Commission, each Exchange included statements concerning the purpose of, and basis for, its 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 III below. The Exchanges have prepared summaries, set forth in Sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory Organizations' Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Changes 1. Purpose The Exchanges propose to reduce certain “turn-around” times in the Linkage to 5 seconds. Specifically, if a member 8 of an Exchange does not receive a response to its Linkage Order 9 within 5 seconds, that member would be able to reject any response purporting to be an execution received thereafter. The member would also be able to trade through the Exchange that failed to respond within 5 seconds. Similarly, if a member of one Exchange responds to a Linkage Order more than 5 seconds after receiving that order, and the Exchange that sent the Linkage Order cancels such response, the member would be required to cancel any purported trade resulting from that order. The Exchanges state that, as they have become more automated, experience with Linkage indicates that reducing the turn-around time to 5 seconds is expected to facilitate speedy executions of orders while not adversely affecting the ability of members to make markets on their Exchanges. The Exchanges submitted the proposed rule changes in conjunction with Joint Amendment No. 22 to the Linkage Plan. 10 8 The term “member,” as used herein, includes NYSE Arca OTP Holders and OTP Firms and Boston Options Exchange (“BOX”) Options Participants. *See* NYSE Arca Rules 1.1(q) and 1.1(r) and Chapter I, Sec. 1(a)(40) of BOX Rules, respectively. 9 *See* Section 2(16) of the Linkage Plan. For the purposes of these proposed rule changes only, references to “Linkage Orders” herein pertain to Principal Acting as Agent (“P/A”) Orders and Principal Orders. *See* Section 2(16)(a) and
(b)of the Linkage Plan, respectively, for definitions of “P/A Order” and “Principal Order.” 10 10 Joint Amendment No. 22 to the Linkage Plan became summarily effective for a period not to exceed 120 days on March 8, 2007. *See supra* note 5. 2. Statutory Basis The Exchanges believe the proposed rule changes are consistent with the Act and the rules and regulations under the Act applicable to national securities exchanges and, in particular, the requirements of Section 6(b) of the Act. 11 Specifically, the Exchanges believe the proposed rule changes are consistent with the requirements of Section 6(b)(5) of the Act 12 that the rules of an exchange be designed to prevent fraudulent and manipulative acts, to promote just and equitable principles of trade, to remove impediments to and perfect the mechanism of a free and open market and a national market system, and, in general, to protect investors and the public interest. 11 11 15 U.S.C. 78f(b). 12 2 15 U.S.C. 78f(b)(5). B. Self-Regulatory Organizations' Statement on Burden on Competition The Exchanges believe that the proposed rule changes would impose no burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. C. Self-Regulatory Organizations' Statement on Comments on the Proposed Rule Changes Received From Members, Participants or Others The Exchanges have neither solicited nor received comments on these proposals. III. Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule changes are 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-Amex-2007-21; SR-BSE-2007-07; SR-CBOE-2007-13; SR-ISE-2007-12; SR-NYSEArca-2007-28; SR-Phlx-2007-21 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 Numbers SR-Amex-2007-21; SR-BSE-2007-07; SR-CBOE-2007-13; SR-ISE-2007-12; SR-NYSEArca-2007-28; SR-Phlx-2007-21. These file numbers 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 submissions, all subsequent amendments, all written statements with respect to the proposed rule changes that are filed with the Commission, and all written communications relating to the proposed rule changes 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 the filings also will be available for inspection and copying at the principal offices of the Exchanges. 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-Amex-2007-21; SR-BSE-2007-07; SR-CBOE-2007-13; SR-ISE-2007-12; SR-NYSEArca-2007-28; SR-Phlx-2007-21 and should be submitted on or before April 23, 2007. IV. Commission's Findings and Order Granting Accelerated Approval of Proposed Rule Changes After careful consideration, the Commission finds that the proposed rule changes, as amended, are consistent with the requirements of the Act and the rules and regulations thereunder, applicable to national securities exchanges. 13 In particular, the Commission finds that the proposals are consistent with the provisions of Section 6(b)(5) of the Act 14 in that they are designed to promote just and equitable principles of trade, to remove impediments to and perfect the mechanism of a free and open market and a national market system, and in general, to protect investors and the public interest. The Commission believes that reducing the time required by an Exchange to respond to a Linkage Order and reducing the amount of time a member sending a Linkage Order must wait before trading through a nonresponsive Exchange should facilitate the more timely execution of orders across the Exchanges. 13 In approving this proposal, the Commission has considered its impact on efficiency, competition, and capital formation. *See* U.S.C. 78c(f). 14 15 U.S.C. 78f(b)(5). The Commission also finds good cause, pursuant to Section 19(b)(2) of the Act 15 for approving the proposal prior to the thirtieth day after the date of publication of the notice of the filing thereof in the **Federal Register** . Granting accelerated approval would facilitate the implementation of these changes in conjunction with the Joint Amendment No. 22 to the Linkage Plan. 16 15 15 U.S.C. 78s(b)(2). 16 *See supra* note 10. V. Conclusion It is therefore ordered, pursuant to Section 19(b)(2) of the Act, that the proposed rule changes (SR-Amex-2007-21 and SR-CBOE-2007-13) and proposed rule changes (SR-BSE-2007-07; SR-ISE-2007-12; SR-NYSEArca-2007-28; and SR-Phlx-2007-21), as amended, are hereby approved on an accelerated basis. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 17 17 17 CFR 200.30-3(a)(12). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-5967 Filed 3-30-07; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55533; File No. SR-Amex-2007-13] Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change Relating to Exchange Rules Regarding Specialist Commissions March 26, 2007. 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 January 29, 2007, the American Stock Exchange LLC (“Amex” or “Exchange”) filed with the Securities and Exchange Commission (“Commission”) the proposed rule change as described in Items I, II, and III below, which Items have been substantially prepared by the Amex. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to amend Rules 154-AEMI and 154-AEMI One to extend its rule regarding specialist commissions. The text of the proposed rule change is available at *http://www.amex.com,* at the Exchange's principal office, and at the Commission's Public Reference Room. 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 recently adopted Rule 154(b) setting forth the circumstances under which specialists may charge members and member organizations a commission for executing orders in equities. 3 The Exchange adopted this rule to provide consistency and clarity to all members and the public that orders sent to the Amex will not be subject to excessive or arbitrary costs; and to preserve the cost competitiveness of the Exchange. 3 *See,* Securities Exchange Act Release No. 55008 (December 22, 2006), 72 FR 597 (January 5, 2007) (Order approving SR-Amex 2006-98). The Exchange now proposes to adopt subparagraph
(k)to Rule 154-AEMI and to Rule 154-AEMI One to:
(1)Extend the application of the prohibitions on specialist commissions to Exchange Traded Fund Shares (“ETFs”) and equities trading on the AEMI System;
(2)expand the prohibition on specialist commissions to market at the close orders and limit at the close orders; and
(3)specify that specialist commissions can only be charged for orders that are executed and not for orders that are cancelled or expire unexecuted. Thus proposed Rules 154-AEMI
(k)and 154-AEMI One
(k)would prohibit specialists from charging a commission for orders or portions of orders that have not been executed. This includes but is not limited to, a prohibition on specialists charging for order cancellations and orders that expire due to the passage of time. 4 As noted above, the proposed rule will extend the prohibitions in Rule 154(b) to ETFs and equities now trading on the AEMI System which include prohibiting specialists from charging a commission on off floor orders that are electronically delivered to the specialist except in cases of orders that require special handling by the specialist or for which the specialist provides a service. The proposed rule would also prohibit specialists from billing for electronically delivered orders that are executed automatically by the Exchange's order processing facilities upon receipt. Orders executed on an opening or reopening would not be “billable.” In addition, proposed Rules 154-AEMI
(k)and 154-AEMI One
(k)will reference Rule 152-AEMI
(c)or Rule 152-AEMI One (c), respectively, which prohibits specialists from charging a commission where they act as principal in the execution of an order entrusted to them as agent. The proposed rule will also set forth the types of orders specialists would be allowed (but not required) to bill a commission. 4 The Commission made minor clarifications to this sentence pursuant to a telephone call with the Exchange. *See* telephone call by and between Rahman Harrison, Special Counsel, Division of Market Regulation, Commission, and Claire P. McGrath, Senior Vice President and General Counsel, Amex, on February, 28, 2007. In general, “routine” orders are not subject to specialist commissions while orders that require special handling or for which the specialist provides a service may be subject to a commission. Thus, proposed Rules 154-AEMI
(k)and 154-AEMI One
(k)(consistent with the recently adopted Rule 154(b)) will provide that specialists may (but are not required to) bill for:
(i)Limit orders that remain on the book for more than two minutes;
(ii)tick sensitive orders ( *e.g.* , an order to sell short in a security subject to the Commission's “tick-test”);
(iii)stop or stop limit orders;
(iv)fill-or-kill and immediate-or-cancel orders; and
(v)orders for the account of a competing market maker. 5 It should be noted that the proposed rules eliminate the following order types from the list of orders for which the specialist may bill a commission as set forth in Rule 154(b) since these order types are not used in the AEMI System:
(i)A non-regular way settlement (market or limit) order; and
(ii)a market or marketable limit order stopped at one price and executed at a better price. 5 The Commission made minor conforming changes to this sentence pursuant to a telephone call with the Exchange. *See* telephone call by and between Rahman Harrison, Special Counsel, Division of Market Regulation, Commission, and Claire P. McGrath, Senior Vice President and General Counsel, Amex, on February, 28, 2007. Specialist commissions increase the cost of doing business on the Exchange. These increased costs weaken the Exchange's competitive position relative to other markets as other markets do not need to compete as aggressively with the Exchange to cut their prices to investors. The Exchange consequently believes that the proposed rule would benefit investors if implemented and would strengthen the Exchange's competitive position. 2. Statutory Basis The Exchange believes the proposed rule change is consistent with the Act and the rules and regulations under the Act applicable to a national securities exchange and, in particular, the requirements of Section 6(b) 6 of the Act. Specifically, the Exchange believes the proposed rule change is consistent with the requirements of Section 6(b)(5) 7 of the Act that the rules of an exchange be designed to promote just and equitable principles of trade, to prevent fraudulent and manipulative acts and practices, and, in general, to protect investors and the public interest. In addition, the Exchange believes that the proposed rule change is consistent with the provisions of Section 6(b)(4), 8 which requires that the rules of an exchange provide for the equitable allocation of reasonable dues, fees, and other charges among its members and issuers and other persons using its facilities. 6 15 U.S.C. 78f(b). 7 15 U.S.C. 78f(b)(5). 8 15 U.S.C. 78f(b)(4). B. Self-Regulatory Organization's Statement on Burden on Competition The proposed rule change does not 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 Within 35 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 90 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 Amex 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-Amex-2007-13 on the subject line. Paper Comments • Send paper comments in triplicate to Nancy M. Morris, Secretary, Securities and Exchange Commission, Station Place, 100 F Street, NE., Washington, DC 20549-1090. All submissions should refer to File Number SR-Amex-2007-13. 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 the Exchange. 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 publicly available. All submissions should refer to File Number SR-Amex-2007-13 and should be submitted on or before April 23, 2007. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 9 9 17 CFR 200.30-3(a)(12). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-5982 Filed 3-30-07; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55529; File No. SR-BSE-2007-13] Self-Regulatory Organizations; Boston Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Existing BeX Fee Schedule March 26, 2007. 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 March 5, 2007, the Boston Stock Exchange, Inc. (“BSE” or “Exchange”) filed with the Securities and Exchange Commission. (“Commission”) the proposed rule change as described in Items I, II, and III below, which Items have been substantially prepared by the Exchange. The BSE has designated this proposal as one changing a due, fee, or other charge under Section 19(b)(3)(A)(ii) of the Act 3 and Rule 19b-4(f)(2) thereunder, 4 which renders the proposal effective upon filing with the Commission. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. 1 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. 3 15 U.S.C. 78s(b)(3)(A)(ii). 4 17 CFR 240.19b-4(f)(2). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The BSE proposes to amend the Boston Equities Exchange (“BeX”) fee schedule to include a smart order routing fee to be charged to BSE Members where a third-party broker-dealer serves as the “give-up” on an away Trading Center when the Member on whose behalf the order is being routed is not also a member of the away Trading Center. The text of the proposed rule change is available at *www.bostonstock.com* , at the BSE, and at the Commission's Public Reference Room. 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 On November 20, 2006, the BSE filed File No. SR-BSE-2006-44, a rule filing that amended the existing BSE fee schedule and established a fee schedule for the BeX, a facility of the Exchange. File No. SR-BSE-2006-44 resulted in, among other things, the deletion of all Transaction Fees, Electronic File Access and Processing Fees, and Floor Operation Fees from the BSE fee schedule. The Transaction Fees and Electronic File Access and Processing Fees that were deleted from the BSE fee schedule were transferred to the BeX fee schedule. In addition to the transfer of existing fees from the BSE fee schedule to the BeX fee schedule, certain new fees were added to the BeX fee schedule. For example, BeX now charges a smart order routing fee of $0.0010 per 100 shares. The purpose of the instant proposed rule change is to update the BeX fee schedule to reflect a new smart order routing fee that will be charged to Members when the Member on whose behalf an order is routed is not also a member or subscriber of the away Trading Center and, as a result, must utilize the “give-up” services provided through the Exchange. As described in Chapter XXXVIII, Section 3 of the Exchange's Rules, the Exchange will route orders to other Trading Center under certain circumstances (“Routing Services”). The Exchange provides its Routing Services pursuant to the terms of three separate agreements:
(1)An agreement between the Exchange and each Member on whose behalf orders will be routed (“Member-Exchange Agreement”);
(2)an agreement between the Exchange and each third-party broker-dealer that will serve as a “give-up” on an away Trading Center when the Member on whose behalf an order is routed is not also a member or subscriber of the away Trading Center (“Give-Up Agreement”); and
(3)an agreement between the Exchange and a third-party service provider (“Technology Provider”) pursuant to which the Exchange licenses the routing technology used by the Exchange for its Routing Services (“Exchange-Technology Provider Agreement”). The new smart order routing fee being added to the BeX fee schedule relates to the second scenario set forth above, where a third-party broker-dealer serves as the “give-up” on an away Trading Center when the Member on whose behalf the order is being routed is not also a member of the away Trading Center. The new fee is called the “Smart order routing using BeX provided give-up” fee and the charge is $0.0050 per 100 shares. 5 5 The Exchange represents that the new fee of $0.0050 per 100 shares will be charged in lieu of, and not in addition to, the currently existing “Smart order routing” fee of $0.0010 per 100 shares for those orders using a BeX-provided give-up. Telephone conversation between Brian Donnelly, Assistant Vice President, Regulation and Compliance, BSE, and David Michehl, Special Counsel, Division of Market Regulation, Commission, on March 19, 2007. 2. Statutory Basis The Exchange believes that the proposed rule change is consistent with the requirements of Section 6(b) of the Act, 6 in general, and furthers the objectives of Section 6(b)(4) of the Act, 7 in particular, in that it is designed to provide for the equitable allocation of reasonable dues, fees and other charges among Exchange members and issuers and other persons using Exchange facilities. 6 15 U.S.C. 78f(b). 7 15 U.S.C. 78f(b)(4). 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 The Exchange has neither solicited nor received comments on the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action The foregoing proposed rule change has been designated as a fee change pursuant to Section 19(b)(3)(A)(ii) of the Act 8 and Rule 19b-4(f)(2) thereunder, 9 because it establishes or changes a due, fee or other charge imposed by the Exchange. Accordingly, the proposal will take effect upon filing with the Commission. 8 15 U.S.C. 78s(b)(3)(A)(ii). 9 17 CFR 240.19b-4(f)(2). 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 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-BSE-2007-13 on the subject line. Paper Comments • Send paper comments in triplicate to Nancy M. Morris, Secretary, Securities and Exchange Commission, Station Place, 100 F Street, NE, Washington, DC 20549-1090. All submissions should refer to File Number SR-BSE-2007-13. 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 the BSE. 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-BSE-2007-13 and should be submitted on or before April 23, 2007. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 10 10 17 CFR 200.30-3(a)(12). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-5963 Filed 3-30-07; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55531; File No. SR-CBOE-2006-94] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Order Approving a Proposed Rule Change and Amendment No. 1 Thereto Relating to Off-Floor DPMs March 26, 2007. I. Introduction On November 13, 2006, the Chicago Board Options Exchange, Incorporated (“CBOE” or “Exchange”) filed with the Securities and Exchange Commission (“Commission”), pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”) 1 and Rule 19b-4 thereunder, 2 a proposed rule change to allow DPMs to operate off-floor. The Exchange filed Amendment No. 1 to the proposed rule change on January 18, 2007. The proposed rule change was published for comment in the **Federal Register** on February 20, 2007. 3 The Commission received no comments on the proposal. 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. 3 *See* Securities Exchange Act Release No. 55275 (February 12, 2007), 72 FR 7782. II. Description of the Proposal CBOE proposes to amend its rules to allow a DPM to operate remotely away from CBOE's trading floor. DPMs are member organizations that function in option classes allocated to them as Market-Makers, and also are subject to the obligations under Rule 8.85 or as otherwise provided in CBOE's Rules. Currently, all DPMs operate on CBOE's trading floor. However, some member organizations have expressed an interest in acting as DPM remotely away from CBOE's trading floor. As discussed below, the proposed rule change is intended to provide DPMs with the flexibility to operate on CBOE's trading floor (“On-Floor DPM”) or remotely away from CBOE's trading floor (“Off-Floor DPM”). A DPM would only be permitted to operate as an Off-Floor DPM in equity option classes traded on the Hybrid Trading System. CBOE proposes to amend Rule 8.83 to provide that in selecting an applicant for approval as a DPM, the appropriate exchange committee may place one or more conditions on the approval, including, but not limited to, whether the DPM will operate on-floor or off-floor. Additionally, CBOE proposes to amend Rule 8.83 to provide that an On-Floor DPM can request that the appropriate Exchange committee authorize it to operate as an Off-Floor DPM in one or more equity option classes traded on the Hybrid Trading System. The appropriate Exchange committee will consider the factors specified in Rule 8.83(b) in determining whether to permit an On-Floor DPM to operate as an Off-Floor DPM. In the event a DPM is approved to operate as an Off-Floor DPM, Rule 8.83 provides that the Off-Floor DPM can have a DPM Designee trade in open outcry in the option classes allocated to the Off-Floor DPM, but the Off-Floor DPM shall not receive a participation entitlement under Rule 8.87 with respect to orders represented in open outcry. CBOE also proposes to amend Rule 6.45A(a)(C) and Rule 6.74 to make clear that the DPM participation entitlement is only applicable to an On-Floor DPM. As provided in new Interpretation .01 to Rule 8.83, if an Off-Floor DPM wishes to operate as an On-Floor DPM, the Off-Floor DPM can request that the appropriate Exchange Committee authorize it to do so. In making a determination pursuant to this Interpretation, the appropriate Exchange committee would evaluate whether the change is in the best interests of the Exchange, and the committee may consider any information that it believes will be of assistance to it. Factors to be considered may include, but are not limited to, any one or more of the following: Performance, operational capacity of the Exchange or the DPM, efficiency, number and experience of personnel of the DPM who will be performing functions related to the trading of the applicable securities, number of securities involved, number of Market-Makers affected, and trading volume of the securities. In connection with this rule change, CBOE proposes to amend certain DPM obligations contained in Rule 8.85. In particular, CBOE proposes to amend the obligation contained in subparagraph (a)(iv), which currently provides that the DPM must assure that the number of DPM Designees and support personnel continuously present at the trading station throughout every business day is not less than the minimum required by the appropriate Exchange committee. CBOE proposes to amend subparagraph (a)(iv) to state that an Off-Floor DPM similarly shall assure that the number of DPM Designees and support personnel continuously overseeing the DPM's activities is not less than the minimum required by the appropriate Exchange committee. Additionally, an Off-Floor DPM shall provide members with telephone access to a DPM Designee at all times during market hours for purposes of resolving problems involving trading on the Exchange. CBOE also proposes to amend subparagraph (a)(v) of Rule 8.85, which states that a DPM shall trade in all securities allocated to the DPM only in the capacity of a DPM and not in any other capacity. CBOE proposes to allow, as part of an existing pilot program applicable to e-DPMs, 4 an Off-Floor DPM to have not more than one Market-Maker affiliated with the Off-Floor DPM trade on CBOE's trading floor in any specific option class allocated to the Off-Floor DPM, provided such Market-Maker is trading on a separate membership. 5 The affiliated Market-Maker would also have to comply with the “Guidelines for Exemptive Relief Under Rule 8.91(e) for Members Affiliated with DPMs,” set forth in Rule 8.91. (Absent the pilot program, an Off-Floor DPM may not allow any Market-Makers affiliated with the Off-Floor DPM to trade on CBOE's trading floor in any class allocated to the Off-Floor DPM.) If the Off-Floor DPM has an affiliated Marker-Maker trade on CBOE's trading floor in any specific option class allocated to the Off-Floor DPM pursuant to the pilot program, Rule 8.85(a)(v) provides that the Off-Floor DPM cannot also have a DPM Designee trading in open outcry in the option classes allocated to the Off-Floor DPM. 4 *See* CBOE Rule 8.93(vii). 5 CBOE proposes to make a corresponding change to the “Guidelines for Exemptive Relief Under Rule 8.91(e) for Members Affiliated with DPMs.” *See* Guidelines, Paragraph (b)(viii). Finally, CBOE proposes to amend Interpretation .02 of Rule 3.8 to allow an Off-Floor DPM to appoint one individual to be the nominee for all memberships utilized by the organization in an Off-Floor DPM capacity. Interpretation .02 of Rule 3.8 currently provides that a member organization can appoint one individual to be the nominee for all memberships utilized by the organization in an RMM capacity or an e-DPM capacity. This is an exception to the general requirement of Rule 3.8(a)(ii) which provides that “if a member organization is the owner or lessee of more than one membership, the organization must designate a different individual to be the nominee for each of the memberships.” III. Discussion After careful review, the Commission finds that the proposed rule change, as amended, is consistent with the requirements of the Act and the rules and regulations thereunder applicable to a national securities exchange 6 and, in particular, the requirements of Section 6 of the Act. 7 Specifically, the Commission finds that the proposal is consistent with Section 6(b)(5) of the Act, 8 in that the proposal has been designed to promote just and equitable principles of trade, and to protect investors and the public interest. 6 The Commission has considered the amended proposed rule change's impact on efficiency, competition and capital formation. 15 U.S.C. 78c(f). 7 15 U.S.C. 78f. 8 15 U.S.C. 78f(b)(5). In addition, the Commission believes that a Market Maker must have an affirmative obligation to hold itself out as willing to buy and sell options for its own account on a regular or continuous basis to justify receiving market maker margin. The Commission believes that CBOE's rules impose such affirmative obligations on DPMs that choose to operate remotely and notes that, under the proposal, a DPM acting from a remote location would still be required to meet the obligations of a DPM set forth in CBOE Rule 8.85. IV. Conclusion It is therefore ordered, pursuant to Section 19(b)(2) of the Act, 9 that the proposed rule change (SR-CBOE-2006-94), as modified by Amendment No. 1, is approved. 9 15 U.S.C. 78s(b)(2). For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 10 10 17 CFR 200.30-3(a)(12). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-5980 Filed 3-30-07; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55491A; File No. SR-CBOE-2006-95] Self-Regulatory Organizations; Chicago Board Options Exchange, Incorporated; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment Nos. 1 and 2 Thereto to List for Trading Options on the Vanguard® Emerging Markets Exchange Traded Fund March 26, 2007. Correction FR Doc. E7-5423, issued on March 26, 2007 on page 14145, regarding Securities Exchange Act Release No. 34-55491, incorrectly cited the date of the release as March 19, 2006. The date should read March 19, 2007. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 1 1 17 CFR 200.30-3(a)(12). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-5986 Filed 3-30-07; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION Release No. 34-55519; File No. SR-NASDAQ-2007-025) Self-Regulatory Organizations; The NASDAQ Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Trading One-, Two-, and Three-Character Symbols March 26, 2007. 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 March 21, 2007, The NASDAQ Stock Market LLC (“Nasdaq”) filed with the Securities and Exchange Commission (“Commission”) the proposed rule change as described in Items I, II and III below, which Items have been substantially prepared by Nasdaq. Nasdaq has filed this proposal pursuant to Section 19(b)(3)(A) of the Act 3 and Rule 19b-4(f)(5) thereunder, 4 which renders the proposal effective upon filing with the Commission. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. 3 15 U.S.C. 78s(b)(3)(A). 4 17 CFR 240.19b-4(f)(5). I. Self-Regulatory Organization's Statement of the Terms of the Substance of the Proposed Rule Change Nasdaq proposes to trade the securities of Delta Financial Corporation using the three-character symbol “DFC.” II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, Nasdaq 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. Nasdaq 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 Historically, securities listed on Nasdaq have traded using four or five character symbols. 5 In 2005, however, Nasdaq announced its intent to allow companies listed on Nasdaq to also use one-, two-, or three-character symbols. 6 Nasdaq announced a series of dates throughout December 2006 and January and February 2007 where market participants could test trading Nasdaq stocks using one-, two-, or three-character symbols on weekends, in after hour sessions, and during full day sessions. 7 Beginning February 20, 2007, Nasdaq had the ability to accept and distribute Nasdaq-listed securities with one-, two-, or three-character symbols. Nasdaq reminded market participants about this change again on March 1, 2007, stressing that “[a]ll customers should have completed their coding and testing efforts to ensure their readiness to support 1-, 2- and 3-character NASDAQ-listed issues.” 8 5 This includes securities listed on Nasdaq's predecessor market, operated as a facility of the NASD. 6 *See* Head Trader Alert 2005-133 (November 14, 2005), available at: *http://www.nasdaqtrader.com/Trader/News/2005/headtraderalerts/hta2005-133.stm* and Vendor Alert 2005-070 (November 14, 2005), available at: *http://www.nasdaqtrader.com/Trader/News/2005/vendoralerts/nva2005-070.stm. See also* Head Trader Alert 2006-144 (September 29, 2006), available at: *http://www.nasdaqtrader.com/Trader/News/2006/headtraderalerts/hta2006-144.stm* , Head Trader Alert 2006-193 (November 16, 2006), available at: *http://www.nasdaqtrader.com/Trader/News/2006/headtraderalerts/hta2006-193.stm* and Vendor Alert 2006-065 (October 4, 2006), available at: *http://www.nasdaqtrader.com/Trader/News/2006/vendoralerts/nva2006-065.stm.* 7 *See* Head Trader Alert 2006-201 (December 6, 2006), available at: *http://www.nasdaqtrader.com/Trader/News/2006/headtraderalerts/hta2006-201.stm* , Head Trader Alert 2007-008 (January 25, 2007), available at: *http://www.nasdaqtrader.com/Trader/News/2007/headtraderalerts/hta2007-008.stm* , Head Trader Alert 2007-011 (January 30, 2007), available at: *http://www.nasdaqtrader.com/Trader/News/2007/headtraderalerts/hta2007-011.stm* , Head Trader Alert 2007-020 (February 7, 2007), available at: *http://www.nasdaqtrader.com/Trader/News/2007/headtraderalerts/hta2007-020.stm* , and Head Trader Alert 2007-034 (February 16, 2007), available at: *http://www.nasdaqtrader.com/Trader/News/2007/headtraderalerts/hta2007-034.stm.* 8 Head Trader Alert 2007-050 (March 1, 2007), available at: *http://www.nasdaqtrader.com/Trader/News/2007/headtraderalerts/hta2007-050.stm.* Nasdaq believes that the changes to its systems to accommodate one-, two-, and three-character symbols will promote competition among exchanges and enhance the strength of the U.S. capital markets. Specifically, Nasdaq believes that issuers should have the freedom of choice and competition. As issuers face the important choice of where to list their equities, the symbol an issuer currently uses should not factor prominently in the listing decision process. Similarly, the symbol that a market assigns to an issuer should not serve as an anchor if the issuer wishes to transfer to a competing market. 9 As such, permitting the portability of this symbol will enhance competition among exchanges. Furthermore, as a result of the technological changes noted above, all Nasdaq systems, including the Securities Information Processor (SIP), are able to support all NYSE- and Amex-listed securities using their original symbols over its core transaction and data platforms. Nasdaq states that this provides an added level of redundancy and resiliency for the U.S. capital markets, and is key to its ability to provide full back-up for other equity markets in the event of a national or local emergency thereby enhancing the strength of the U.S. capital markets. 9 In that regard, Nasdaq notes that symbols are freely transferred when securities switch between the American Stock Exchange (“Amex”), the New York Stock Exchange (“NYSE”), and NYSE Arca. ** See, *e.g.* , Yamana Gold Inc. (on January 12, 2007 switched from Amex to NYSE keeping the symbol AUY), VAALCO Energy (on October 12, 2006 switched from Amex to NYSE keeping the symbol EGY), and the transfer of 15 iShares ETFs from Amex to NYSE Arca announced on September 27, 2006. Now that Nasdaq is also a national securities exchange, allowing companies to maintain their symbol when transferring to Nasdaq would be consistent with the practice of other exchanges. Nasdaq now proposes to allow one company, Delta Financial Corporation, to keep its current symbol, DFC, when it transfers from Amex to Nasdaq on March 22, 2007. 10 Investors were notified of this change on March 12, 2007 when the company announced its transfer and continued use of the symbol “DFC” 11 and Nasdaq notified market participants on the same day. 12 Moreover, Nasdaq believes that forcing the company to change its trading symbol will cause confusion among its investors. 10 Nasdaq notes that Amex has raised no objections to Delta Financial's continued use of the symbol DFC. 11 *See* company press release “Delta Financial to Keep Its ‘DFC’ Ticker on NASDAQ” dated March 12, 2007, available at: *http://www.snl.com/irweblinkx/file.aspx?IID=107286&FID=3528005.* 12 *See* Head Trader Alert 2007-057 (March 12, 2007), available at: *http://www.nasdaqtrader.com/Trader/News/2007/headtraderalerts/hta2007-057.stm. See* also Vendor Alert 2007-020 (March 12, 2007), available at: *http://www.nasdaqtrader.com/Trader/News/2007/vendoralerts/nva2007-020.stm.* Given the foregoing, Nasdaq believes that market participants were provided adequate notice of this change and are prepared to accommodate the trading of this company using the symbol DFC. Further, Nasdaq believes that any change to the symbol will cause confusion among investors and market participants. As such, Nasdaq proposes to begin trading the common stock of Delta Financial Corporation on Nasdaq using the symbol DFC on March 22, 2007. While this filing relates to the transfer of this issuer, Nasdaq states that it remains committed to working with the Commission and other markets to establish an equitable and transparent symbol assignment plan. 2. Statutory Basis Nasdaq believes that the proposed rule change is consistent with the provisions of Section 6 of the Act, 13 in general and with Section 6(b)(5) of the Act, 14 in particular, in that it is designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to remove impediments to a free and open market and a national market system, and, in general, to protect investors and the public interest. 13 15 U.S.C. 78f. 14 15 U.S.C. 78f(b)(5). B. Self-Regulatory Organization's Statement on Burden on Competition Nasdaq does not believe that the proposed rule change will result in any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act, as amended. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants, or Others Written comments were neither solicited nor received. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action The foregoing rule change has become effective pursuant to Section 19(b)(3)(A) of the Act 15 and Rule 19b-4(f)(5) thereunder 16 in that it effects a change to an order-entry or trading system that:
(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 have the effect of limiting the access to or availability of the system. As such, this proposed rule change is effective upon filing with the Commission. 15 15 U.S.C. 78s(b)(3)(A). 16 17 CFR 240.19b-4(f)(5). 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 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-NASDAQ-2007-025 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-NASDAQ-2007-025. 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 the Exchange. 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-NASDAQ-2007-025 and should be submitted on or before April 23, 2007. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 17 17 17 CFR 200.30-3(a)(12). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-5966 Filed 3-30-07; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55526; File No. SR-NASD-2007-025] Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New NASD Rule 7000E Series Relating to Fees and Credits for the NASD/NYSE Trade Reporting Facility March 26, 2007. 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 March 21, 2007, the National Association of Securities Dealers, Inc. (“NASD”) 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 substantially by NASD. NASD filed the proposed rule change pursuant to Section 19(b)(3)(A) of the Act 3 and Rule 19b-4(f)(6) thereunder, 4 which renders it effective upon filing with the Commission. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. 3 15 U.S.C. 78s(b)(3)(A). 4 17 CFR 240.19b-4(f)(6). NASD gave the Commission written notice of its intent to file the proposed rule change on March 6, 2007. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change NASD proposes to adopt a new NASD Rule 7000E Series relating to fees and credits for the NASD/NYSE Trade Reporting Facility (“NASD/NYSE TRF”). The text of the proposed rule change is available at *http://www.nasd.com* , NASD, and the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, NASD 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. NASD 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 On February 1, 2007, NASD filed for immediate effectiveness a proposed rule change relating to the establishment of the NASD/NYSE TRF. 5 The NASD/NYSE TRF will provide NASD members with another mechanism for reporting to NASD locked-in transactions in exchange-listed securities effected otherwise than on an exchange. The NASD/NYSE TRF will commence operation upon successful completion of system testing and certification, which is currently anticipated to be in April 2007. The instant proposed rule change would adopt a new NASD Rule 7000E Series relating to fees and credits applicable to the NASD/NYSE TRF. 5 *See* Securities Exchange Act Release No. 55325 (February 21, 2007), 72 FR 8820 (February 27, 2007) (SR-NASD-2007-011). NASD is proposing that under new Rule 7002E there will be no transaction fee for reporting locked-in trades to the NASD/NYSE TRF in securities listed on the New York Stock Exchange (“Tape A”), the American Stock Exchange (“Tape B”), and the Nasdaq Exchange (“Tape C”). Although NASD is not required to file a proposed rule change where no fees are to be assessed, for members' convenience and to avoid potential confusion with the fee structures of other NASD facilities, NASD is proposing Rule 7002E to clarify that there will be no charge for use of the NASD/NYSE TRF to report locked-in transactions in exchange-listed securities effected otherwise than on an exchange. The text of proposed Rule 7002E is identical to the text of current Rule 7002C relating to the NASD/NSX Trade Reporting Facility (“NASD/NSX TRF”) and Rule 7002D relating to the NASD/BSE Trade Reporting Facility (“NASD/BSE TRF”). In addition, NASD is proposing a transaction credit program under new Rule 7001E that is identical to the existing transaction credit program for the NASD/NSX TRF under Rule 7001C. NASD members reporting trades in Tape A, Tape B and Tape C stocks to the NASD/NYSE TRF will receive a 50% pro rata credit on gross market data revenue earned by the NASD/NYSE TRF with respect to those trade reports. Credits will be paid on a quarterly basis. To the extent that market data revenue is subject to any adjustment, credits may be adjusted accordingly. 6 6 NASD also notes that the proposed transaction credit program is substantially equivalent to the existing transaction credit program for the NASD/Nasdaq Trade Reporting Facility (“NASD/Nasdaq TRF”) under Rule 7001B and the NASD/BSE TRF under Rule 7001D. However, under the transaction credit programs for the NASD/Nasdaq TRF and NASD/BSE TRF, members do not receive 50% of gross revenue; instead, members receive 50% of revenue after deducting the amount, if any, that the respective TRF pays to the Consolidated Tape Association or the Nasdaq Securities Information Processor for capacity usage. Tape A and Tape B revenue is currently distributed to NASD and the exchanges based on number of trades reported, while Tape C revenue is distributed based on an average of the number of trades and number of shares reported. Thus, under the proposed program, the Tape A and Tape B revenue attributable to a member will be based on number of trades reported, while the Tape C revenue attributable to a member would be based on number of trades and number of shares reported. A member will receive 50% of the gross revenue attributable to it in each of the three tapes. “Gross revenue” is the revenue received by the NASD/NYSE TRF from the three tape associations after the tape associations deduct allocated support costs and unincorporated business costs. NASD filed the proposed rule change for immediate effectiveness. NASD proposes to implement the proposed rule change on the first day of operation of the NASD/NYSE TRF, which is currently anticipated to be in April 2007. 2. Statutory Basis NASD believes that the proposed rule change is consistent with the provisions of Section 15A of the Act, 7 in general, and with Section 15A(b)(5) of the Act, 8 in particular, which requires, among other things, that NASD rules provide for the equitable allocation of reasonable dues, fees and other charges among members and issuers and other persons using any facility or system that NASD operates or controls. NASD believes that the proposed rule change is a reasonable and equitable fee and credit structure in that there will be no fees charged for trade reporting to the NASD/NYSE TRF and the proposed transaction credit program is identical to existing credits for the NASD/NSX TRF. 7 15 U.S.C. 78 *o* -3. 8 15 U.S.C. 78 *o* -3(b)(5). B. Self-Regulatory Organization's Statement on Burden on Competition NASD does not believe that the proposed rule change will result in 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 were neither solicited nor received. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Because the foregoing proposed rule change does not:
(i)Significantly affect the protection of investors or the public interest;
(ii)Impose any significant burden on competition; and
(iii)Become operative for 30 days from the date on which it was filed, or such shorter time as the Commission may designate, it has become effective pursuant to Section 19(b)(3)(A) of the Act 9 and Rule 19b-4(f)(6) thereunder. 10 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. 9 15 U.S.C. 78s(b)(3)(A). 10 17 CFR 240.19b-4(f)(6). NASD has asked that the Commission waive the 30-day operative delay set forth in Rule 19b-4(f)(6)(iii) under the Act 11 to allow the proposed rule change to be implemented on the first day of operation of the NASD/NYSE TRF, which is currently anticipated to be in April 2007. The Commission believes such waiver is consistent with the protection of investors and the public interest, for it will allow the proposed fees and credits to be in place at the time NASD begins operating the NASD/NYSE TRF. For these reasons, the Commission designates the proposal to be operative upon filing with the Commission. 12 11 17 CFR 240.19b-4(f)(6)(iii). 12 For purposes only of waiving the 30-day operative delay of this proposal, the Commission has considered the proposed rule's impact on efficiency, competition, and capital formation. 15 U.S.C. 78c(f). 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-NASD-2007-025 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-NASD-2007-025. 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 NASD. 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-NASD-2007-025 and should be submitted on or before April 23, 2007. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 13 13 17 CFR 200.30-3(a)(12). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-5979 Filed 3-30-07; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55525; File No. SR-NFA-2007-01] Self-Regulatory Organization; National Futures Association; Notice of Filing and Immediate Effectiveness of a Proposed Amendment Relating to NFA Compliance Rule 2-10 March 26, 2007. Pursuant to Section 19(b)(7) of the Securities Exchange Act of 1934 (“Act”) 1 and Rule 19b-7 under the Act, 2 notice is hereby given that on February 27, 2007, National Futures Association (“NFA”) filed with the Securities and Exchange Commission (“Commission”) the proposed rule change described in Items I, II, and III below, which Items have been substantially prepared by NFA. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. NFA also has filed the proposed rule change with the Commodity Futures Trading Commission (“CFTC”). 1 15 U.S.C. 78s(b)(7). 2 17 CFR 240.19b-7. NFA, on February 26, 2007, submitted the proposed rule change to the CFTC for approval. The CFTC approved the proposed rule change on March 12, 2007. 3 3 *See* Letter from Eileen Donovan, Acting Secretary, CFTC, to Thomas W. Sexton, General Counsel, NFA, dated March 12, 2007, confirming approval of the proposal. I. Self-Regulatory Organization's Description of the Proposed Rule Change Section 15A(k) of the Act 4 makes NFA a national securities association for the limited purpose of regulating the activities of NFA members (“Members”) who are registered as brokers or dealers in security futures products under Section 15(b)(11) of the Act. 5 NFA Compliance Rule 2-10(b) applies to all futures commission merchant (“FCM”) Members, including those who are registered as security futures brokers or dealers under Section 15(b)(11) of the Act. 4 15 U.S.C. 78 *o* -3(k). 5 15 U.S.C. 78 *o* (b)(11). NFA Compliance Rule 2-10 currently requires FCM Members to maintain their books and records in an office located in either the U.S. or a jurisdiction that the CFTC has determined to have a comparable regulatory scheme for purposes of the CFTC's Part 30 regulation. 6 The amendment requires the U.S. or Part 30 jurisdiction office to be under the supervision of an associated person (“AP”) principal resident in that office. 6 17 CFR 30.1-30.12. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, NFA has prepared statements concerning the purpose of, and basis for, the proposed rule change, burdens on competition, and comments received from members, participants, and others. The text of these statements may be examined at the places specified in Item IV below. NFA 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 In November 2005, NFA's Board adopted amendments to NFA Compliance Rule 2-10 to require FCMs to maintain their books and records in an office located in either the U.S. or a Part 30 jurisdiction (if the firm is subject to the Part 30 regulatory scheme). 7 The rule does not require the office to be under the supervision of an AP principal resident in that office, however. 7 *See* Securities Exchange Act Release No. 53190 (January 30, 2006), 71 FR 6119 (February 6, 2006). This creates several potential problems. First, the rule allows the firm's principals to supervise the office from a remote location. Without a principal on the premise to oversee the office's day-to-day recordkeeping activities, the firm is less likely to discover potential problems quickly. Second, there may be no one in the office who is subject to NFA's disciplinary jurisdiction. Although the firm's AP principals may ultimately be responsible for the firm's books and records violations, their distance from the office could dilute their sense of accountability as well as the accountability of those in the office. The lack of a resident principal also means that NFA Compliance staff may not have ready access to someone who can answer questions during an audit or investigation. Although Compliance Rule 2-10 requires all Members to have an individual who is authorized to act on the Member's behalf, is fluent in English, and is knowledgeable about the Member's business and about financial matters, the absence of a resident AP principal can be problematic when NFA is seeking information from an FCM. 8 8 Telephone conversation between Kathryn Page Camp, Associate General Counsel, NFA, and Molly M. Kim, Special Counsel, Division of Market Regulation, Commission, on March 22, 2007. Accordingly, NFA amends Compliance Rule 2-10(b) to require that an FCM's books and records be kept in a U.S. or Part 30 office that is under the supervision of an AP principal resident in that office. As is currently the case, a firm could only use an office in a Part 30 jurisdiction if the firm is actually subject to regulation in that jurisdiction. 2. Statutory Basis The rule change is authorized by, and consistent with, Section 15A(k) of the Act. 9 9 15 U.S.C. 78 *o* -3(k). B. Self-Regulatory Organization's Statement on Burden on Competition The rule change will not impose any burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act and the Commodity Exchange Act. C. Self-Regulatory Organization's Statement of Comments on the Proposed Rule Change Received From Members, Participants, or Others NFA did not publish the rule change to the membership for comment. NFA did not receive comment letters concerning the rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action NFA, on February 26, 2007, submitted the proposed amendments to NFA Compliance Rule 2-10 to the CFTC for approval. The CFTC approved the proposed rule change on March 12, 2007. Within 60 days of the date of effectiveness of the proposed rule change, the Commission, after consultation with the CFTC, may summarily abrogate the proposed rule change and require that the proposed rule change be refiled in accordance with the provisions of Section 19(b)(1) of the Act. 10 10 15 U.S.C. 78s(b)(1). 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 No. SR-NFA-2007-01 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 No. SR-NFA-2007-01. 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 Room. Copies of such filing will also be available for inspection and copying at the principal office of NFA. 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 No. SR-NFA-2007-01 and should be submitted on or before April 23, 2007. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 11 11 17 CFR 200.30-3(a)(75). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-5989 Filed 3-30-07; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55541; File No. SR-NSX-2007-01] Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Modify Fees for Transactions Executed Through NSTS and ITS Plans March 27, 2007. 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 5, 2007, the National Stock Exchange, Inc. (“NSX” or “Exchange”) filed with the Securities and Exchange Commission (“Commission”) the proposed rule change as described in Items I, II, and III below, which Items have been substantially prepared by the Exchange. On March 19, 2007, NSX submitted Amendment No. 1 to the proposed rule change. NSX has filed the proposal pursuant to Section 19(b)(3)(A) of the Act 3 and Rule 19b-4(f)(2) thereunder, 4 which renders the proposal effective upon filing with the Commission. The Commission is publishing this notice to solicit comments on the proposed rule change, 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 17 CFR 240.19b-4(f)(2). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange is proposing various amendments to its fees for transactions executed through National Securities Trading System (“NSTS”), the Exchange's legacy trading system, so that this fee schedule will correspond more closely to the existing fees for transactions executed through NSX BLADE, the Exchange's new trading platform. These amendments involve proposed changes to old NSX Rule 11.10(A) (which is applicable to NSTS transactions), and the associated NSTS Fee Schedule. The Exchange is also proposing corresponding changes to its Fee Schedule applicable to transactions under the Intermarket Trading System Plan and/or the Plan for the purpose of Creating and Operating an Intermarket Communications Linkage (“ITS Plans”) for transactions executed through the ITS Plans (“ITS Transactions”). The text of the proposed rule change is available at NSX, the Commission's Public Reference Room, and *http://www.nsx.com.* II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, NSX 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. NSX 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 Background The Exchange has created a new state of the art trading platform, known as NSX BLADE, which utilizes a strict price/time priority system as the ultimate replacement for NSTS. The Exchange is in the midst of phasing in NSX BLADE. NSX BLADE was launched on October 23, 2006. As of the date of the initial filing of this proposed rule change, all Tape “C” securities have been phased into NSX BLADE from NSTS, and the Exchange plans to transition all Tape “A” and Tape “B” securities from NSTS to NSX BLADE in the near future. During this transitional period of phasing in various securities to NSX BLADE, the Exchange will be operating both NSTS and NSX BLADE. Until such securities are phased into NSX BLADE, Tape “A” and “B” securities will continue to be traded via NSTS. Rule Set During this transitional period of phasing in various securities to NSX BLADE, the Exchange is operating both NSTS and NSX BLADE. Accordingly, the Exchange is operating under two sets of rules during this phase-in period. All transactions in NSTS are operating under the rules pertaining to NSTS (old Rule 11.9 (National Securities Trading System) and old Rule 11.10 (National Securities Trading System Fees) and any associated Fee Schedule) while all transactions in NSX BLADE are operating under the NSX BLADE trading rules approved in SR-NSX-2006-03 and the new fee rules in Chapter XVI of the Exchange Rules. When the phase-in is complete and NSTS is no longer operational, old Rules 11.9 and 11.10 (and any associated NSTS Fee Schedule) will be extinguished. The Exchange has issued a Notice to ETP Holders to advise them of the different trading systems and rules and fees applicable to each, 5 and will issue a Notice advising them of the fee changes with this rule change. During this interim period, the Exchange has created a Fee Schedule applicable to NSTS Rules (“NSTS Fee Schedule”) under the authority of NSX Rule 16.1. 6 Further, while the Fee Schedule for ITS Transactions is identical to the Fee Schedule for identical transactions entered in NSTS, the Exchange has decided to create a Fee Schedule for ITS Transactions to make it easier for parties to identify the specific fees associated with the ETP Holder's transactions. 5 Regulatory Circular 06-011, issued on October 19, 2006. 6 On November 14, 2006, a new NSTS Fee Schedule became effective. *See* Securities Exchange Act Release No. 54753 (November 14, 2006), 71 FR 67678 (November 22, 2006) (SR-NSX-2006-14). Fee Proposal In the instant rule filing, the Exchange is proposing amendments to old Rule 11.10(A) and the associated NSTS Fee Schedule relating to transactions in Tape “A” and “B” securities on NSTS, and is proposing corresponding amendments to its Fee Schedule for ITS Transactions. As amended, old Rule 11.10(A) and the associated NSTS Fee Schedule would provide for an execution fee of $0.0030 per share for removing liquidity from NSTS (in other words, a charge for taking liquidity against an order in NSTS), and a rebate of $0.0030 per share executed for adding liquidity into NSTS (in other words, a rebate for the addition of liquidity to NSTS, provided that it results in an execution through NSTS). Thus, ETP Holders taking liquidity against an order in NSTS will be charged a fee of $0.0030 per share executed, and ETP Holders providing liquidity into NSTS will be paid a rebate of $0.0030 per share executed. In connection with this rule change, language is also proposed to be added to the NSTS Fee Schedule stating that with respect to ITS Transactions executed through NSTS, the Exchange will pay the applicable liquidity provider rebate only after it receives payment of the liquidity taker fee applicable to the execution. This liquidity taker fee and liquidity provider rebate are proposed to replace the current transaction fees applicable to transactions in Tape “A” and “B” securities on NSTS. Currently, old Rule 11.10(A) provides for a variety of fees for executions in Tape “A” securities, and the NSTS Fee Schedule provides for a $0.0030 per share liquidity taker fee and a $0.0027 per share liquidity provider rebate for executions in Tape “B” securities. These fees and rebates are proposed to be removed and replaced with the fee structure described herein. 7 In connection with this filing, the Exchange also proposes to remove $50,000 monthly transaction fee cap for transactions on NSTS that is currently provided for in old Rule 11.10(A)(i), and the quotation fee that is currently provided for in old Rule 11.10(A)(s). The Exchange is proposing these changes to its fees for NSTS transactions in order to harmonize its NSTS fees with the fees applicable to transactions executed through NSX BLADE. One of the proposed changes described above—the proposed new language in the NSTS Fee Schedule relating to the timing of liquidity provider rebate payments on ITS Transactions—is a policy change and, as of the date of the initial filing of this rule change, similar language was not contained in the Fee Schedule applicable to transactions executed through NSX BLADE. 7 All Tape “C” securities have been transitioned to NSX BLADE, so there will be no Tape “C” transactions on NSTS. The liquidity taker fee and liquidity provider rebate described above are contained in the NSTS Fee Schedule. The NSTS Fee Schedule supplements the fees and rebates contained in old NSX Rule 11.10. If the NSTS Fee Schedule does not contravene any fees stated in old NSX Rule 11.10, the ETP Holder effecting a transaction via NSTS will be charged the fees noted in old NSX Rule 11.10. Changes are also being proposed to the Fee Schedule for ITS Transactions, to provide for a corresponding $0.0030 per share liquidity taker fee for ITS Transactions executed through NSTS. Thus ETP Holders taking liquidity will be charged under the NSTS Fee Schedule, and executions through an ITS Plan will be charged under the Fee Schedule for ITS Transactions (although the rates of the two execution fees are identical). The Exchange bills non-ETP Holders using the facilities of the Exchange for ITS Transactions under the Fee Schedule for ITS Transactions. Pursuant to NSX Rule 16.1(c), the Exchange will “provide ETP Holders with notice of all relevant dues, fees, assessments and charges of the Exchange.” ETP Holders and others, including self-regulatory organizations that are the subject of exchange-to-exchange billing, using the Exchange will be advised of these fees through the Exchange's Web site. In addition, ETP Holders will, simultaneously with this filing, be notified through the issuance of a Regulatory Circular of the changes to the Fee Schedules applicable to transactions through NSTS and the ITS Plans. The fees have been designed in this manner in order to ensure that the Exchange can continue to fulfill its obligations under the Act. 2. Statutory Basis NSX believes that the proposed rule change is consistent with the provisions of Section 6 of the Act, 8 in general, and with Sections 6(b)(4) of the Act, 9 in particular, in that the proposal provides for the equitable allocation of reasonable dues, fees, and other charges. In addition, NSX believes that the proposed rule change furthers the objectives of Section 6(b)(1) of the Act 10 in that it helps to assure that the Exchange is so organized and has the capacity to be able to carry out the purposes of the Act and to comply, and to enforce compliance by its ETP Holders with the Act. 8 15 U.S.C. 78f. 9 15 U.S.C. 78f(b)(4). 10 15 U.S.C. 78f(b)(1). B. Self-Regulatory Organization's Statement on Burden on Competition The Exchange does not believe that the proposed rule change will result in 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 The Exchange has neither solicited nor received written comments on the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action The foregoing rule change has become effective pursuant to Section 19(b)(3)(A)(ii) of the Act 11 and subparagraph (f)(2) of Rule 19b-4 thereunder 12 because it establishes or changes a due, fee, or other charge applicable only to a member imposed by the self-regulatory organization. Accordingly, the proposal is effective upon Commission receipt of the filing. 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. 13 11 15 U.S.C. 78s(b)(3)(A)(ii). 12 17 CFR 240.19b-4(f)(2). 13 15 U.S.C. 78s(b)(3)(C). For purposes of calculating the 60-day period within which the Commission may summarily abrogate the proposal, the Commission considers the period to commence on March 19, 2007, the date on which the Exchange submitted Amendment No. 1. 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-NSX-2007-01 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-NSX-2007-01. 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 Room. Copies of the filing also will be available for inspection and copying at the principal office of NSX. 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-NSX-2007-01 and should be submitted on or before April 23, 2007. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 14 14 17 CFR 200.30-3(a)(12). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-5984 Filed 3-30-07; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55542; File No. SR-NSX-2007-02] Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Amend the Exchange's Tape Rebate Programs for Transactions Through NSTS to Establish an Equivalent Tape A Rebate Program March 27, 2007. 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 15, 2007, the National Stock Exchange, Inc. (“NSX” or “Exchange”) filed with the Securities and Exchange Commission (“Commission”) the proposed rule change as described in Items I and II below, which Items have been prepared substantially by NSX. NSX amended the proposed rule change on March 19, 2007. 3 NSX filed the proposed rule change pursuant to Section 19(b)(3)(A) of the Act 4 and Rule 19b-4(f)(6) thereunder, 5 which renders it 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 *See* Amendment No. 1. 4 15 U.S.C. 78s(b)(3)(A). 5 17 CFR 240.19b-4(f)(6). The Commission considers the 60-day abrogation period to have commenced on March 19, 2007, the date NSX filed Amendment No. 1. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange is proposing to amend old NSX Rule 11.10(A)(1), which is applicable to transactions through the Exchange's legacy trading system, National Securities Trading System (“NSTS”), to provide for a rebate program for Tape A securities that is equivalent to the Exchange's current Tape A rebate program applicable to transactions executed through the Exchange's new trading system, NSX BLADE. This proposed Tape A rebate program is also equivalent to the Exchange's current Tape B and Tape C rebate programs applicable to NSTS an NSX BLADE transactions. The text of the proposed rule change is available at NSX, *http://www.nsx.com* , and the Commission's Public Reference Room. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, NSX 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. NSX 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 NSX proposes to amend old Exchange Rule 11.10(A)(1), which is applicable to transactions through NSTS, to provide for a rebate program for Tape A securities that is equivalent to the Exchange's current Tape A rebate program applicable to transactions executed through NSX BLADE. This proposed Tape A rebate program is also equivalent to the Exchange's current Tape B and Tape C rebate programs applicable to NSTS and NSX BLADE transactions. The Exchange has created a new trading platform, known as NSX BLADE, which uses a strict price/time priority system as the ultimate replacement for NSTS. The Exchange is in the midst of phasing in NSX BLADE. NSX BLADE was launched on October 23, 2006. As of the date of the initial filing of this proposed rule change, all Tape C securities have been phased into NSX BLADE from NSTS, and the Exchange plans to transition all Tape A and Tape B securities from NSTS to NSX BLADE in the near future. During this transitional period of phasing in various securities to NSX BLADE, the exchange will be operating both NSTS and NSX BLADE. Until such securities are phased into NSX BLADE, Tape A and Tape B securities will continue to be traded via NSTS. During this transitional period of phasing in various securities to NSX BLADE, the Exchange is operating both NSTS and NSX BLADE. Accordingly, the Exchange is operating under two sets of rules during the phase-in period. All transactions in the NSTS System are operating under the rules pertaining to NSTS (old Exchange Rule 11.9 (National Securities Trading System) and old Exchange Rule 11.10 (National Securities Trading System Fees) and any associated Fee Schedule) while all transactions in NSX BLADE are operating under the NSX BLADE trading rules approved in SR-NSX-2006-03 6 and the new fee rules in Chapter XVI. When the phase-in is complete and NSTS is no longer operational, old Rules 11.9 and 11.10 will be extinguished. The Exchange has issued a Notice to ETP Holders to advise them of the different trading systems and rules and fees applicable to each, 7 and will issue a Notice advising them of the fee changes with this proposed rule change. 6 *See* Securities Exchange Act Release No. 53963 (June 8, 2006), 71 FR 34660 (June 15, 2006) (order) (SR-NSX-2006-034). 7 Regulatory Circular 06-011, issued on October 19, 2006. Additionally, the Exchange currently offers rebate programs for Tape A, B and C transactions executed through NSX BLADE, each consisting of a 50 percent transaction credit on revenues generated by transactions executed through NSX BLADE in Tape A, B or C securities, respectively. Old Rule 11.10(A)(1), which is applicable to transactions executed through NSTS, currently provides for equivalent 50 percent Tape B and C rebate programs for transactions executed through NSTS. Under each of the Exchange's current rebate programs, the credit is allocable to ETP Holders on a pro rata basis based upon Tape A, B or C revenue generated by an ETP Holder's transactions on NSX BLADE or NSTS, as applicable. With the instant proposed rule change, the Exchange is proposing to adopt a rebate program for NSTS transactions in Tape A securities that is equivalent to the Exchange's current Tape A rebate program applicable to NSX BLADE transactions. As with the Exchange's other tape rebate programs, this proposed Tape A rebate program will provide a 50 percent transaction credit on revenues generated by transactions executed through NSTS in Tape A securities, and will be allocable to ETP Holders on a pro rata basis based upon the Tape A revenue generated by such ETP Holder's transactions on NSTS. The Exchange believes that there is no regulatory reason to distinguish Tape A transactions on NSTS from Tape A transactions on NSX BLADE, and is therefore proposing an equivalent rebate program. As with the Exchange's other tape rebate programs, to the extent that market data revenue from Tape A transactions is subject to any adjustment, credits provided under the Tape A program may be adjusted accordingly. The Exchange believes the proposed rule change is consistent with the protection of investors and the public interest because it lowers the cost of trading and market data to broker-dealers and the investing public, and because it enhances competition in the trading of Tape A securities. 2. Statutory Basis NSX believes that the proposed rule change is consistent with the provisions of Section 6(b) of the Act, 8 in general, and with Section 6(b)(4) of the Act, 9 in particular, in that it is designed to provide for the equitable allocation of reasonable dues, fees and other charges by crediting members on a pro rata basis. 8 15 U.S.C. 78f(b). 9 15 U.S.C. 78f(b)(4) B. Self-Regulatory Organization's Statement on Burden on Competition NSX does not believe that the proposed rule change will impose any inappropriate burden on competition. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others The Exchange has neither solicited nor received written comments on the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Because the foregoing proposed rule change does not:
(i)Significantly affect the protection of investors or the public interest;
(ii)Impose any significant burden on competition; and
(iii)Become operative for 30 days from the date on which it was filed, or such shorter time as the Commission may designate, it has become effective pursuant to Section 19(b)(3)(A) of the Act 10 and Rule 19b-4(f)(6) thereunder. 11 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. 10 15 U.S.C. 78s(b)(3)(A). 11 17 CFR 240.19b-4(f)(6). The Exchange has asked that the Commission waive the 30-day operative delay contained in Rule 19b-4(f)(6)(iii) under the Act. 12 The Commission believes waiver of the 30-day operative delay is consistent with the protection of investors and the public interest, because the proposed rule change contains no novel regulatory issues, and is designed to enhance competition in the trading of Tape A securities. Accordingly, the Commission designates the proposed rule change to be effective and operative upon filing with the Commission. 13 12 17 CFR 240.19b-4(f)(6)(iii). 13 For purposes only of waiving the 30-day operative delay of this proposal, the Commission has considered the proposed rule's impact on efficiency, competition, and capital formation. 15 U.S.C. 78c(f). 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-NSX-2007-02 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-NSX-2007-02. 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 NSX. 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-NSX-2007-02 and should be submitted on or before April 23, 2007. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 14 14 17 CFR 200.30-3(a)(12). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-5985 Filed 3-30-07; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55524; File No. SR-NSX-2007-03] Self-Regulatory Organizations; National Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Fees for Transactions Executed Through NSX BLADE and ITS Plans Priced at Less Than $1.00 Per Share March 26, 2007. 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 March 2, 2007, the National Stock Exchange, Inc. (“NSX” or “Exchange”) filed with the Securities and Exchange Commission (“Commission”) the proposed rule change as described in Items I, II, and III below, which Items have been substantially prepared by the Exchange. NSX has filed the proposal pursuant to Section 19(b)(3)(A) of the Act 3 and Rule 19b-4(f)(2) thereunder, 4 which renders the proposal effective upon filing with the Commission. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. 3 15 U.S.C. 78s(b)(3)(A). 4 17 CFR 240.19b-4(f)(2). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange is proposing changes to its fees for transactions priced at less than $1.00 per share that are executed through NSX BLADE, the Exchange's new trading platform. These changes are being proposed in order to comply with Rule 610(c) of Regulation NMS under the Act. The Exchange is also proposing corresponding changes to its Fee Schedule applicable to transactions under the Intermarket Trading System Plan and/or the Plan for the purpose of Creating and Operating an Intermarket Communications Linkage (“ITS Plans”) for transactions executed through the ITS Plans (“ITS Transactions”). The text of the proposed rule change is available at NSX, the Commission's Public Reference Room, and *http://www.nsx.com.* II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, NSX 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. NSX 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 has created a new state of the art trading platform, known as NSX BLADE, which utilizes a strict price/time priority system as the ultimate replacement for the Exchange's legacy system, National Securities Trading System (“NSTS”). Pursuant to Exchange Rule 16.1(a), the Exchange maintains a Fee Schedule that contains its current fees, dues and other charges applicable to transactions in NSX BLADE (“NSX BLADE Fee Schedule”). Currently, the NSX BLADE Fee Schedule provides for an execution fee of $0.0030 per share for removing liquidity from NSX BLADE (in other words, a charge for taking liquidity against an order in NSX BLADE), and a rebate of $0.0030 per share executed for adding liquidity into NSX BLADE (in other words, a rebate for the addition of liquidity to NSX BLADE, provided that it results in an execution through NSX BLADE). Thus, ETP Holders taking liquidity against an order in NSX BLADE are currently charged a fee of $0.0030 per share executed, and ETP Holders providing liquidity into NSX BLADE are currently paid a rebate of $0.0030 per share executed. Rule 610(c)(2) of Regulation NMS 5 generally requires that the fees charged by a trading center for execution of an order against a quotation of less than $1.00 per share cannot exceed or accumulate to more than 0.3% of the quotation price per share. In order to comply with this rule, the Exchange is proposing a 0.3% per share liquidity taker fee and a 0.3% per share liquidity provider rebate for transactions that are priced at less than $1.00 per share. This fee and rebate structure would be in lieu of the $0.0030 per share liquidity taker fee and the $0.0030 liquidity provider rebate described above. In other words, for transactions that are priced at less than $1.00 per share, ETP Holders would be charged 0.3% of the price per share for taking liquidity against an order in NSX BLADE, and would receive a rebate of 0.3% of the price per share for the addition of liquidity to NSX BLADE, provided that it results in an execution through NSX BLADE. For example, if a transaction was executed on NSX BLADE for 100 shares at $0.50 per share, any liquidity taker fee or liquidity provider rebate applicable to the transaction would be equal to $0.15 ($.050 × 0.3% × 100). 5 17 CFR 242.610(c)(2). In addition, changes are being proposed to the Fee Schedule for ITS Transactions, to provide for a corresponding 0.3% per share liquidity taker fee for ITS Transactions executed through NSX BLADE that are priced at less than $1.00 per share. ETP Holders taking liquidity from NSX BLADE will be charged under the NSX BLADE Fee Schedule, and executions on NSX BLADE through an ITS Plan will be charged under the Fee Schedule for ITS Transactions (although the rates of the two execution fees are identical). The Exchange bills non-ETP Holders using the facilities of the Exchange for ITS Transactions under the Fee Schedule for ITS Transactions. In connection with this rule change, language is also proposed to be added to the NSX BLADE Fee Schedule stating that with respect to ITS Transactions executed through NSX BLADE, the Exchange will pay the applicable liquidity provider rebate ($0.0030 per share or 0.3% per share, depending on the execution price) only after it receives payment of the liquidity taker fee applicable to the execution. Pursuant to NSX Rule 16.1(c), the Exchange will “provide ETP Holders with notice of all relevant dues, fees, assessments and charges of the Exchange.” ETP Holders and others, including self-regulatory organizations that are the subject of exchange-to-exchange billing, using the Exchange will be advised of these fees through the Exchange's website. In addition, ETP Holders will, simultaneously with this filing, be notified through the issuance of a Regulatory Circular of the changes to the Fee Schedules applicable to transactions through NSX BLADE and the ITS Plans. The fees have been designed in this manner in order to ensure that the Exchange can continue to fulfill its obligations under the Act. 2. Statutory Basis NSX believes that the proposed rule change is consistent with the provisions of Section 6 of the Act, 6 in general, and with Sections 6(b)(4) of the Act, 7 in particular, in that the proposal provides for the equitable allocation of reasonable dues, fees, and other charges. 6 15 U.S.C. 78f. 7 15 U.S.C. 78f(b)(4). B. Self-Regulatory Organization's Statement on Burden on Competition The Exchange does not believe that the proposed rule change will result in 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 were neither solicited nor received. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action The foregoing rule change has become effective pursuant to Section 19(b)(3)(A)(ii) of the Act 8 and subparagraph (f)(2) of Rule 19b-4 thereunder 9 because it establishes or changes a due, fee, or other charge applicable only to a member imposed by the self-regulatory organization. Accordingly, the proposal is effective upon Commission receipt of the filing. 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. 8 15 U.S.C. 78s(b)(3)(A)(ii). 9 17 CFR 240.19b-4(f)(2). 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-NSX-2007-03 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-NSX-2007-03. 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 the filing also will be available for inspection and copying at the principal office of NSX. 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-NSX-2007-03 and should be submitted on or before April 23, 2007. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 10 Florence E. Harmon, Deputy Secretary. 10 17 CFR 200.30-3(a)(12). [FR Doc. E7-5988 Filed 3-30-07; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55528; File No. SR-NYSE-2007-28] Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Exempt Limited Partnerships From Certain of Its Shareholder Approval Rules March 26, 2007. Pursuant to Section 19(b)(1) 1 of the Securities Exchange Act of 1934 (the “Act”), 2 and Rule 19b-4 thereunder, 3 notice is hereby given that on March 9, 2007, New York Stock Exchange LLC (the “NYSE” or the “Exchange”) filed with the Securities and Exchange Commission (“Commission”) the proposed rule changes as described in Items I, II, and III below, which items have been substantially prepared by the Exchange. The Commission is publishing this notice to solicit comments on the proposed rule changes from interested persons. 1 15 U.S.C. 78s(b)(1). 2 15 U.S.C. 78a. 3 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to amend the Exchange's Listed Company Manual (the “Manual”) to exempt limited partnerships from the obligation to obtain shareholder approval under the circumstances set forth in Sections 312.03(b), (c), and
(d)for the issuance of common stock and securities convertible into or exchangeable for common stock. 4 4 NYSE-listed limited partnerships would still be subject to the Exchange's shareholder approval requirements for equity compensation plans. * See* NYSE Listed Company Manual Sections 303A.08 and 312.03(a). The text of the proposed rule change is available on the Exchange's Web site at *http://www.nyse.com* , the Office of the Secretary, the Exchange and at the Commission's Public Reference Room. 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 NYSE 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 exempt limited partnerships from the obligation to obtain shareholder approval under the circumstances set forth in Manual Sections 312.03(b), (c), and
(d)for the issuance of common stock and securities convertible into or exchangeable for common stock. 5 5 *See supra* note 4. Subject to certain exceptions specified therein, Manual Sections 312.03(b), (c), and
(d)require listed issuers to obtain shareholder approval prior to the issuance of common stock or securities convertible into or exchangeable for common stock in any transaction or series of related transactions in the following situations: • Where the potential dilution exceeds either one percent of the number of shares of common stock or one percent of the voting power outstanding before the issuance to:
(a)a director, officer or substantial security holder of the company (each a “Related Party”);
(b)a subsidiary, affiliate or other closely-related person of a Related Party; or
(c)any company or entity in which a Related Party has a substantial direct or indirect interest. • If the Related Party involved in a transaction covered by the preceding bullet is classified as such solely because such person is a substantial security holder, and if the issuance relates to a sale of stock for cash at a price at least as great as each of the book and market value of the issuer's common stock, then shareholder approval will not be required unless the number of shares of common stock to be issued, or unless the number of shares of common stock into which the securities may be convertible or exercisable, exceeds either five percent of the number of shares of common stock or five percent of the voting power outstanding before the issuance. • If:
(a)the common stock has, or will have upon issuance, voting power equal to or in excess of 20 percent of the voting power outstanding before the issuance of such stock or of securities convertible into or exercisable for common stock; or
(b)the number of shares of common stock to be issued is, or will be upon issuance, equal to or in excess of 20 percent of the number of shares of common stock outstanding before the issuance of the common stock or of securities convertible into or exercisable for common stock. • If the issuance will result in a change of control of the issuer. The policy underlying these requirements is that shareholders should have the right to vote on any issuance of common stock that is materially dilutive of either their voting or economic interest in the company. Nasdaq has similar shareholder approval requirements to those of the NYSE. However, Nasdaq exempts limited partnerships (“LPs”) from those requirements, 6 which the Exchange believes has placed it at a significant disadvantage in competing with Nasdaq for initial public offerings and transfers of LPs. To be treated as a partnership for federal tax purposes, an LP must ensure that 90% of its income is derived from “qualified sources,” which generally refers only to income derived from natural resource-related activities. Most listed LPs are engaged in energy-related businesses. The typical business model of LPs in the energy industry is to use their capital to acquire assets (e.g., pipelines) that produce predictable revenue streams and to commit in their partnership agreements to distribute most of their profits to the LP's unit holders. These LPs acquire assets frequently on an opportunistic basis and pay for them by issuing additional LP units. The Exchange believes that the ability of an LP listed on Nasdaq to issue additional LP units without the expense and uncertainty of obtaining shareholder approval provides Nasdaq with a significant advantage over the Exchange in attracting and retaining listings of LPs. 6 *See* Nasdaq Marketplace Rule 4360 (“ Qualitative Listing Requirements for Nasdaq Issuers That Are Limited Partnerships”), which does not include the shareholder approval requirements found in Nasdaq Marketplace Rule 4350 (“Qualitative Listing Requirements for Nasdaq Issuers That Are Not Limited Partnerships”). *See also* Securities Exchange Act Release No. 30811 (June 15, 1992); 57 FR 28542 (June 25, 1992) (SR-NASD-91-58) (approving the NASD's adoption of non-quantitative listing standards for partnerships, which did not include shareholder approval requirements). *See also* Securities Exchange Act Release No. 34533 (August 15, 1994); 59 FR 43147 (August 22, 1994) (SR-NASD-93-3) (approving the NASD's adoption of the predecessor rule to Rule 4360, which also did not include shareholder approval requirements for listed limited partnerships). The Exchange believes that an analysis of the policies regarding voting and economic dilution underpinning its shareholder approval requirements demonstrates that it is appropriate to exempt LPs from their application. Listed LPs generally provide very limited voting rights to their unit holders. Typically, control of the LP resides with the general partner (“GP”) and the LP's board is that of the GP. The owner of the GP appoints the board and the common unit holders of the LP have no voting rights with respect to the election of directors. LP partnership agreements generally provide that LP unit holders can vote only on a merger or dissolution of the LP or on any amendment to the partnership agreement that is adverse to their interests. As such, the Exchange believes that investors who buy LP units have no expectation that they will be able to vote and, therefore, the policy that shareholders should be able to vote on any stock issuances that are materially dilutive of their voting power is of less relevance to LPs than to regular corporations. Furthermore, because LP unit holders generally do not have the right to elect directors, most LPs do not hold annual meetings. Therefore, it would not be possible for an LP to arrange for shareholder approval to be obtained in conjunction with an annual meeting, as would be possible for a regular company. Rather, an LP would have to call a special meeting every time it needed approval of an issuance pursuant to the shareholder approval rules. The Exchange also believes that the economic dilution concerns underpinning the shareholder approval rules are also less relevant in the case of LPs. Listed LPs typically are required under their partnership agreements to distribute almost all of their earnings to their unit holders and specify a minimum quarterly distribution that the LP is required to make. As such, LPs will only invest in new assets if they know that those assets will be sufficiently accretive to earnings to pay the minimum quarterly distribution required for the additional units that are sold to raise the capital to pay for those assets. A failure to pay the minimum quarterly distribution, or a reduction in the actual distribution level historically paid, would likely have a negative effect on the trading price of a listed LP, imposing a market discipline on management to ensure that any additional issuances will not be economically dilutive. 2. Statutory Basis The proposed rule change is consistent with Section 6(b) 7 of the Act in general, and furthers the objectives of Section 6(b)(5), 8 in particular, in that it is designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to foster cooperation and coordination with persons engaged in facilitating transactions in securities, and to remove impediments to and perfect the mechanisms of a free and open market and a national market system. The Exchange believes that the proposed rule change will increase competition among listing markets and will remove a competitive disadvantage the Exchange currently has vis a vis Nasdaq and is therefore designed to perfect the mechanism of a free and open market. 7 15 U.S.C. 78f(b). 8 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 were neither solicited nor received. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Within 35 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 90 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 Exchange 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 *rulecomments@sec.gov.* Please include File Number SR-NYSE-2007-28 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-NYSE-2007-28. 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 the NYSE. 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-NYSE-2007-28 and should be submitted on or before April 23, 2007. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 9 9 17 CFR 200.30-3(a)(12). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-5964 Filed 3-30-07; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55537; File No. SR-NYSE-2007-30] Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 123D (Openings and Halts in Trading) March 27, 2007. 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 March 19, 2007, the New York Stock Exchange LLC (“NYSE” or the “Exchange”) filed with the Securities and Exchange Commission (“Commission”) the proposed rule change as described in Items I, II, and III below, which Items have been substantially prepared by the Exchange. The NYSE has filed this proposal pursuant to Section 19(b)(3)(A) of the Act 3 and Rule 19b-4(f)(5) thereunder, 4 which renders it effective upon filing with the Commission. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. 3 15 U.S.C. 78s(b)(3)(A). 4 17 CFR 240.19b-4(f)(5). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The NYSE proposes to amend NYSE Rule 123D(3) to establish that any orders received by the NYSE in a security subject to a “Sub-penny Trading” condition will be routed to NYSE Arca, Inc. (“NYSE Arca”) and handled in accordance with the rules governing that market. The text of the proposed rule change is available at the Exchange's Office of the Secretary, on the Exchange's Web site at *http://www.nyse.com/Frameset.html?displayPage=http://apps.nyse.com/commdata/pub19b4.nsf/rulefilings?openview* , and at the Commission's Public Reference Room. 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 Recently, the Exchange amended NYSE Rule 123D to add subsection (3), 5 which provides for a non-regulatory trading halt on the NYSE when securities listed on the Exchange approach the price at which quoting and trading in sub-penny increments is permitted pursuant to SEC Rules. 6 5 *See* Securities Exchange Act Release No. 55398 (March 5, 2007), 72 FR 11072 (March 12, 2007) (SR-NYSE-2007-25). 6 *See* Regulation NMS Rule 612, 17 CFR 242.612, which permits markets to accept bids, offers, orders and indications of interest in increments smaller than a $0.01, but not less than $0.0001, for stocks priced below $1.00 per share and to quote and trade such stocks in sub-pennies. Markets may choose not to accept such bids, offers, orders or indications of interest and the NYSE has done so, maintaining a minimum trading and quoting variation of $0.01 for all securities trading below $100,000. *See* NYSE Rule 62. Pursuant to NYSE Rule 123D(3), whenever a security trading on the Exchange is reported on the consolidated tape during normal trading hours as having traded at a price of $1.05 or less, or if a security would open on the Exchange at a price of $1.05 or less, trading in the security on the Exchange shall be immediately halted due to a “Sub-penny Trading” condition. Once halted for such reason, trading shall not resume on the Exchange until the security has traded on another automated trading center as defined in Commission Rule 600(b)(4) 7 for at least one entire trading day at a price or prices that are at all times at or above $1.10. Any such resumption of trading shall occur at the beginning of a trading day, so that normal opening procedures can apply. In contrast to other trading halts described in NYSE Rule 123D, a “Sub-penny Trading” halt is automatic and does not require the approval of any Floor Officials. However, if a determination is made by a Floor Official that a trade that triggered a halt because of a “Sub-penny Trading” condition was made in error or otherwise was an anomaly, trading of the security on the Exchange will resume immediately. 7 *See* 17 CFR. 242.600(b)(4). The purpose of this filing is to amend NYSE Rule 123D(3) to reflect that orders entered with the Exchange in a security subject to a “Sub-penny Trading” condition halt will be immediately routed to NYSE Arca, where they will be handled in accordance with the rules governing that market. This process will facilitate customers who maintain systems connectivity with the Exchange, but may not have direct connectivity with NYSE Arca. If the entity entering the order on the Exchange is not an NYSE Arca “ETP Holder” as defined in NYSE Arca Rule 1.1(m), such order will be cancelled by NYSE Arca when received. Similarly, if an order routed by the NYSE to NYSE Arca contains execution instructions not supported by NYSE Arca, such order will be cancelled by NYSE Arca when received. In addition, NYSE Rule 123D(3) is amended to reflect that the Exchange will cancel any open limit orders in the Display Book system with respect to securities that become subject to a “Sub-penny Trading” condition halt. 2. Statutory Basis The proposed rule change is consistent with Section 6(b) of the Act, 8 in general, and furthers the objectives of Section 6(b)(5) of the Act, 9 in particular, in that it is designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to foster cooperation and coordination with persons engaged in facilitating transactions in securities, and to remove impediments to and perfect the mechanism of a free and open market and a national market system. 8 15 U.S.C. 78f(b). 9 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 The Exchange has neither solicited nor received written comments on the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action The foregoing proposed rule change has become effective upon filing pursuant to Section 19(b)(3)(A)(iii) of the Act 10 and Rule 19b-4(f)(5) thereunder 11 because it effects a change in an existing order-entry or trading system of a self-regulatory organization that:
(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 have the effect of limiting the access to or availability of the system. 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. 10 15 U.S.C. 78s(b)(3)(A)(iii). 11 17 CFR 19b-4(f)(5). 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-NYSE-2007-30 on the subject line. Paper Comments • Send paper comments in triplicate to Nancy M. Morris, Secretary, Securities and Exchange Commission, Station Place, 100 F Street NE., Washington, DC 20549-1090. All submissions should refer to File Number SR-NYSE-2007-30. 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 offices of the Exchange. 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-NYSE-2007-30 and should be submitted on or before April 23, 2007. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 12 12 17 CFR 200.30-3(a)(12). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-5965 Filed 3-30-07; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55536; File No. SR-NYSE-2007-01] Self-Regulatory Organizations; New York Stock Exchange LLC; Order Approving Proposed Rule Change to Amend Listing and Annual Fees Applicable to Investment Company Units, Currency Trust Shares, Commodity Trust Shares and streetTRACKS® Gold Shares March 27, 2007. On January 24, 2007, the New York Stock Exchange LLC (“NYSE” or “Exchange”) filed with the Securities and Exchange Commission (“Commission”) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”) 1 and Rule 19b-4 thereunder, 2 a proposal to amend initial listing fees and annual fees applicable to Investment Company Units (“ICUs”), Currency Trust Shares, Commodity Trust Shares and streetTRACKS® Gold Shares in Section 902.07 of the NYSE Listed Company Manual (“Manual”), and to make conforming amendments to Sections 902.02 and 902.03 of the Manual. The proposed rule change was published for comment in the **Federal Register** on February 23, 2007. 3 The Commission did not receive any comments regarding the proposal. This order approves the proposed rule change. 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. 3 Securities Exchange Act Release No. 55299 (February 15, 2007), 72 FR 8233. Under the proposed rule change, the current flat $5,000 Listing Fee for each series of ICUs will be broadened to also apply to each series of streetTRACKS® Gold Shares and each issue of Currency Trust Shares and Commodity Trust Shares. Further, the Listing and Annual Fees for ICUs, streetTRACKS® Gold Shares, Currency Trust Shares, and Commodity Trust Shares will not be counted toward the NYSE's total annual fees cap of $500,000. In addition, the annual fee charged for ICUs, Currency Trust Shares, Commodity Trust Shares and streetTRACKS® Gold Shares by the Exchange is currently a flat amount. Under the proposed rule change, this fee will be tiered based on the number of shares outstanding for each issue at the end of the preceding calendar quarter and will be billed on a quarterly basis. The Commission has reviewed carefully the proposed rule change and finds that it is consistent with the requirements of the Act and the rules and regulations thereunder applicable to a national securities exchange. 4 In particular, the Commission finds that the proposed rule change is consistent with Section 6(b)(4) of the Act, 5 which requires that the rules of the exchange provide for the equitable allocation of reasonable dues, fees, and other charges among its members and issuers and other persons using its facilities. The Commission notes that, in part, the proposed rule change merely reflects on the Exchange's fee schedule listing fees that had previously been approved by the Commission. 6 In addition, the Commission notes that it has approved similar tiered annual fee structures. 7 4 In approving this proposal, the Commission has considered the proposed rule's impact on efficiency, competition, and capital formation. 15 U.S.C. 78c(f). 5 15 U.S.C. 78f(b)(4). 6 *See,* *e.g.* , Securities Exchange Act Release Nos. 50603 (October 28, 2004), 69 FR 64614 (November 5, 2004) (SR-NYSE-2004-22) and 54020 (June 20, 2006), 71 FR 36579 (June 27, 2006) (SR-NYSE-2006-35). 7 *See,* *e.g.* , Securities Exchange Act Release Nos. 53059 (January 5, 2006), 71 FR 2072 (January 12, 2006) (SR-Amex-2005-128) and 54007 (June 16, 2006), 71 FR 36155 (June 23, 2006) (SR-PCX-2006-16). *It is therefore ordered,* pursuant to Section 19(b)(2) of the Act, 8 that the proposed rule change (File No. SR-NYSE-2007-01) be, and hereby is, approved. 8 15 U.S.C. 78s(b)(2). For the Commission, by the Division of Market Regulation, pursuant delegated authority. 9 9 17 CFR 200.30-3(a)(12). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-5983 Filed 3-30-07; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55522; File No. SR-NYSEArca-2007-26] Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Certain Types of Orders on Ox March 26, 2007. 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 March 2, 2007, NYSE Arca, Inc. (“NYSE Arca” or “Exchange”) filed with the Securities and Exchange Commission (“Commission”) the proposed rule change as described in Items I and II below, which Items have been substantially prepared by the Exchange. The Exchange filed the proposed rule change as a “non-controversial” proposed rule change pursuant to Section 19(b)(3)(A) 3 of the Act and Rule 19b-4(f)(6) thereunder, 4 which renders the proposal effective upon filing with the Commission. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. 3 15 U.S.C. 78s(b)(3)(A). 4 17 CFR 240.19b-4(f)(6). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change NYSE Arca proposes to update and amend its rules concerning order types by incorporating the order type definitions of NYSE Arca Rule 6.62A into a revised NYSE Arca Rule 6.62. The text of the proposed rule change is available at the Exchange, the Commission's Public Reference Room, and *http://www.nysearca.com.* 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. NYSE Arca has substantially 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 filing is to incorporate the order definitions contained in NYSE Arca Rule 6.62A into a revised NYSE Arca Rule 6.62. Presently, Rule 6.62 defines certain order types applicable under the PCX Plus System, which is obsolete, while Rule 6.62A defines certain order types applicable under the current OX Trading System. Many of these rules overlap and actually apply to both systems, while some portions are obsolete. Revising the two rules will eliminate obsolete references and redundancies. In September 2006, NYSE Arca introduced the OX Trading System (“OX”), a new automated options trading platform. OX replaced the Exchange's legacy system, PCX Plus. In conjunction with the introduction of OX, the Exchange filed, and received approval for, a new rule set applicable to the new system. 5 During the introductory phase of OX, the Exchange operated two trading systems, which necessitated the need for two rule sets: one pertaining to PCX Plus; and another pertaining to OX. The Exchange has now completed its rollout of OX. As such, options issues no longer trade on the PCX Plus at the Exchange, thereby rendering the PCX Plus rule set effectively duplicative and obsolete. 6 5 *See* Securities Exchange Act Release No. 54238 (July 28, 2006), 71 FR 44758 (August 7, 2006) (SR-NYSEArca-2006-13) (Order approving rules related to the OX Trading System). 6 The Exchange anticipates submitting a comprehensive clean-up rule filing in the near future. At the request of the Commission staff, the instant filing is targeted to eliminate confusion regarding certain order types. Order types that are contained in Rule 6.62, designated as PCX Plus rules, may also be applicable under the OX system. Other order types that are presently designated as PCX Plus rules, may also be applicable in open outcry trading. The Exchange proposes to combine all order types from Rule 6.62 and Rule 6.62A into one rule. Revised Rule 6.62 will now contain all defined order types for options that trade on NYSE Arca and Rule 6.62A will be deleted in its entirety. In rule text where either “PCX Plus” or “OX” has been used, the Exchange proposes to replace such designation with “NYSE Arca” or “Exchange.” The Exchange also proposes removing the “PCX Plus” designation from the title of Rule 6.62. A more detailed description of proposed changes is shown below. In addition to these changes, minor technical corrections, and new subsection designations are shown in the proposed rule text, accompanying this filing. • Rule 6.62(b) will include text taken from Rule 6.62A(b) related to “marketable” limit orders and will also contain new subsection
(1)defining Inside Limit Orders. This definition is presently Rule 6.62A(c). • Rule 6.62(c) Contingency Orders. This rule will also cover Working Order types, presently defined in Rule 6.62A(e), including definitions for Stop Orders and Stop Limit Orders. • Rule 6.62(h) Combination Orders. New subsection (1)-(2) will be added defining Stock/option Orders and Single Stock Future (“SSF”)/Option Order. These definitions are presently contained in subsection (j)(1)-(2). • Rule 6.62(k)-(r) are taken from Rule 6.62A(d) and (f)-(k). 2. Statutory Basis The Exchange believes that the proposed rule change is consistent with Section 6(b) of the Act, 7 in general, and furthers the objectives of Section 6(b)(5) of the Act, 8 in particular, because it is designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to foster cooperation and coordination with persons engaged in facilitating transactions in securities, and to remove impediments to and perfect the mechanism of a free and open market and a national market system. 7 15 U.S.C. 78f(b). 8 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 would 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 The Exchange has neither solicited nor received written comments on the proposed rule change. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Because the proposed rule change does not:
(i)Significantly affect the protection of investors or the public interest;
(ii)impose any significant burden on competition; and
(iii)become operative for 30 days after 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 9 and subparagraph (f)(6) of Rule 19b-4 thereunder. 10 9 15 U.S.C. 78s(b)(3)(A). 10 17 CFR 240.19b-4(f)(6). A proposed rule change filed under 19b-4(f)(6) normally may not become operative prior to 30 days after the date of filing. 11 However, Rule 19b-4(f)(6)(iii) permits the Commission to designate a shorter time if such action is consistent with the protection of investors and the public interest. The Exchange has satisfied the five-day pre-filing requirement. In addition, the Exchange has requested that the Commission waive the 30-day pre-operative delay and designate the proposed rule change to become operative upon filing. The Commission believes that waiving the 30-day pre-operative delay is consistent with the protection of investors and the public interest because it would allow the Exchange to clarify and update its rules concerning order types without delay. Therefore, the Commission designates the proposal to become effective and operative upon filing. 12 11 17 CFR 240.19b-4(f)(6)(iii). 12 For purposes only of waiving the operative delay of this proposal, the Commission 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 the 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 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-NYSEArca-2007-26 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-NYSEArca-2007-26. 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 NYSE Arca. 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-NYSEArca-2007-26 and should be submitted on or before April 23, 2007. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 13 13 17 CFR 200.30-3(a)(12). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-5987 Filed 3-30-07; 8:45 am] BILLING CODE 8010-01-P SMALL BUSINESS ADMINISTRATION [License No. 09/79-0454] Emergence Capital Partners SBIC, L.P.; Notice Seeking Exemption Under Section 312 of the Small Business Investment Act, Conflicts of Interest Notice is hereby given that Emergence Capital Partners SBIC, L.P., 160 Bovet Road, Suite 300, San Mateo, CA 94402, a Federal Licensee under the Small Business Investment Act of 1958, as amended (“the Act”), in connection with the financing of a small concern, has sought an exemption under Section 312 of the Act and Section 107.730, Financings which Constitute Conflicts of Interest of the Small Business Administration (“SBA”) Rules and Regulations (13 CFR 107.730). Emergence Capital Partners SBIC, L.P., proposes to provide equity financing to DVDPlay, Inc. (“DVDPlay”), 695 Campbell Technology Parkway, Suite 200, Campbell, CA 95008. The financing is contemplated to fund the ongoing operating needs of the business. The financing is brought within the purview of § 107.730(a)(1) of the Regulations because Emergence Capital Partners, L.P., and Emergence Capital Associates, L.P., all Associates of Emergence Capital Partners SBIC, L.P., own more than ten percent of DVDPlay, and therefore DVDPlay is considered an Associate of Emergence Capital Partners SBIC, L.P., as detailed in § 107.50 of the Regulations. Notice is hereby given that any interested person may submit written comments on the transaction to the Associate Administrator for Investment, U.S. Small Business Administration, 409 Third Street, SW., Washington, DC 20416. March 12, 2007. Jaime Guzmán-Fournier, Associate Administrator for Investment. [FR Doc. E7-5958 Filed 3-30-07; 8:45 am] BILLING CODE 8025-01-P DEPARTMENT OF TRANSPORTATION Federal Aviation Administration Aviation Rulemaking Advisory Committee Meeting on Transport Airplane and Engine Issues AGENCY: Federal Aviation Administration (FAA), DOT. ACTION: Notice of public meeting. SUMMARY: This notice announces a public meeting of the FAA's Aviation Rulemaking Advisory Committee
(ARAC)to discuss transport airplane and engine
(TAE)issues. DATES: The meeting is scheduled for Tuesday, April 17, 2007 starting at 11 a.m. Eastern Daylight Time. Arrange for oral presentations by April 9, 2007. ADDRESSES: Federal Aviation Administration, 800 Independence Ave, SW., Room 810 Washington, DC 20591. FOR FURTHER INFORMATION CONTACT: Nicanor Davidson, Office of Rulemaking, ARM-207, FAA, 800 Independence Avenue, SW., Washington, DC 20591, Telephone
(202)267-5174, FAX
(202)267-5075, or e-mail at *nicanor.davidson@faa.gov.* SUPPLEMENTARY INFORMATION: Pursuant to Section 10(a)(2) of the Federal Advisory Committee Act (Pub. L. 92-463; 5 U.S.C. app. III), notice is given of an ARAC meeting to be held via teleconference on April 17, 2007. The meeting is being held to vote on the Task 3 report from the Airworthiness Assurance Working Group (AAWG). This ad hoc meeting is necessary because this action from the AAWG is a critical part of FAA's effort to develop new guidance to support the Aging Airplane Safety Final Rule (AASFR). The agenda for the meeting is as follows: • Opening Remarks • AAWG Report and Vote Attendance is open to the public, but will be limited to the availability of phone lines. Please confirm your attendance with the person listed in the FOR FURTHER INFORMATION CONTACT section no later than April 9, 2007. Please provide the following information: Full legal name, country of citizenship, and name of your industry association, or applicable affiliation. If you are attending as a public citizen, please indicate so. For persons participating, the call-in number is
(202)366-3920; the Passcode is “8489.” To insure that sufficient telephone lines are available, please notify the person listed in the FOR FURTHER INFORMATION CONTACT section of your intent to participate by April 9, 2007. Anyone calling from outside the Washington, DC metropolitan area will be responsible for paying long-distance charges. The public must make arrangements by April 9, 2007, to present oral statements at the meeting. Written statements may be presented to the ARAC at any time by providing 25 copies to the person listed in the FOR FURTHER INFORMATION CONTACT section. If you need assistance or require a reasonable accommodation for the meeting or meeting documents, please contact the person listed in the FOR FURTHER INFORMATION CONTACT section. Sign and oral interpretation, as well as a listening device, can be made available if requested 10 calendar days before the meeting. Issued in Washington, DC on March 28, 2007. Pamela Hamilton-Powell, Director, Office of Rulemaking. [FR Doc. E7-6058 Filed 3-30-07; 8:45 am] BILLING CODE 4910-13-P DEPARTMENT OF TRANSPORTATION Federal Motor Carrier Safety Administration [Docket No. FMCSA-2007-27209] Notice of Request for Comments on New Information Collection: Survey of Medical Examiners Who Certify the Physical Qualifications of Commercial Motor Vehicle
(CMV)Drivers AGENCY: Federal Motor Carrier Safety Administration (FMCSA), DOT. ACTION: Notice; request for information. SUMMARY: In accordance with the Paperwork Reduction Act of 1995, FMCSA announces its plan to submit the Information Collection Request
(ICR)described below to the Office of Management and Budget
(OMB)for review and approval. The ICR describes a proposed collection activity and its expected cost and burden. The **Federal Register** notice allowing for a 60-day comment period on the ICR was published on June 19, 2006 (71 FR 35324). Four comments were received in response to the notice. Two individuals supported the proposed information collection and two commented on matters outside of the scope of the proposed information collection. These comments are addressed in the ICR that will be submitted to OMB. DATES: Please send your comments by May 2, 2007. OMB must receive your comments by this date in order to act quickly on the ICR. ADDRESSES: You may submit comments to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725 Seventeenth Street, NW., Washington, DC 20503, *Attention: DOT/FMCSA Desk Officer.* FOR FURTHER INFORMATION CONTACT: Dr. Mary D. Gunnels, Office of Bus and Truck Standards and Operations, Physical Qualifications Division, Department of Transportation, Federal Motor Carrier Safety Administration, 400 Seventh Street, SW., Washington, DC 20590-0001. Telephone: 202-366-4001, e-mail *maggi.gunnels@fmcsa.dot.gov.* Office hours are from 8:30 a.m. to 5 p.m., Eastern Time, Monday through Friday, except Federal holidays. SUPPLEMENTARY INFORMATION: *Title:* Survey of Medical Examiners Who Certify the Physical Qualifications of Commercial Motor Rehicle Drivers. *OMB Control Number:* 2126-xxxx. *Type of Request:* New information collection. *Respondents:* Medical examiners: Advanced Practice Nurses (APNs), Doctors of Chiropractic (DCs), Doctors of Osteopathy (DOs), Medical Doctors (MDs), and Physician Assistants
(PAs)who are currently performing FMCSA physical examinations of CMV drivers. *Estimated Number of Respondents:* 4,300 respondents [4,000 respondents for the survey + 300 respondents (150 medical examiners + 150 drivers per on-site observation) = 4,300 respondents]. *Estimated Time per Response:* 30 minutes to complete the survey and 5 minutes each for the medical examiner and driver to complete the observation consent forms. *Expiration Date:* N/A. This is a new information collection. *Frequency of Response:* This is a one-time survey. *Estimated Total Annual Burden:* 2,025 hours. The estimated annual burden is 2,000 hours for the completion of the survey based on the following requirement for statistical significance: 800 responses from each of at least five of the medical examiner professional categories; [4,000 respondents per survey × 30 minutes/60 minutes per respondent = 2,000 hours]. Observation consent forms—The estimated annual burden is 25 hours for the completion of the observation consent forms based on the following requirement for statistical significance: [300 respondents (150 medical examiners + 150 drivers) × 5 minutes/60 minutes per on-site observation = 25 hours]. The estimated total annual burden is 2,025 hours [2,000 hours for completion of the survey + 25 hours for completion of the observation consent forms = 2,025 hours]. Background FMCSA estimates that there are approximately four to five million active interstate drivers subject to FMCSA's medical standards. Interstate CMV drivers are required to have a medical examination every two years at a minimum or more frequently at the discretion of the medical examiner. A medical certificate is typically valid for two years after the date of examination, so it is estimated that a minimum of two to three million medical examinations are conducted each year. In the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) (Pub. L. 109-59, 119 Stat. 1144; August 10, 2005) Congress supports comprehensive improvements in the FMCSA medical program, including improving the quality of the interstate CMV driver physical qualification examination. There has been no research to date that captures the decisionmaking and performance of medical examiners who determine the physical qualifications of CMV drivers operating throughout the United States. In addition, there has been no systematic consideration of medical examiner perceptions of difficulties or uncertainties associated with the examination process. A Working Integrated Product Team
(WIPT)of medical examiner peers experienced in conducting CMV driver physical qualification examinations will review the methodology and materials for the study, and data gained from 150 direct observations of physical examinations of CMV drivers. Results of the Medical Examiner Performance Study would ultimately be used to develop recommendations for improving the overall physical qualification process and achieve FMCSA's goals of reducing crash rates, injuries, and fatalities involving large trucks and buses. This initiative is separate from the earlier National Registry of Certified Medical Examiner survey announced on September 29, 2005 (70 FR 56964), the primary intent of which is to identify those tasks most critical to competent job performance via a role delineation study. *Public Comments Invited:* We particularly request comments on: The necessity of the collection of information for FMCSA to meet its goal of reducing truck and bus crashes and its usefulness to this goal; the accuracy of the estimate of the burden of the information collection; ways to enhance the quality, utility and clarity of the information collected; and ways to minimize the burden of the collection of information on respondents, including using automated collection techniques or other forms of information technology. Issued on: March 20, 2007. Rose A. McMurray, Chief Safety Officer, Assistant Administrator. [FR Doc. E7-5741 Filed 3-30-07; 8:45 am] BILLING CODE 4910-EX-P DEPARTMENT OF TRANSPORTATION Research & Innovative Technology Administration [Docket: OST-2007-26835] Agency Information Collection; Activity Under OMB Review; Report of Passengers Denied Confirmed Space—BTS Form 251 AGENCY: Research & Innovative Technology Administration (RITA), Bureau of Transportation Statistics (BTS), DOT. ACTION: Notice. SUMMARY: In compliance with the Paperwork Reduction Act of 1995, Public Law 104-13, (44 U.S.C. 3501 et seq.) this notice announces that the Information Collection Request, abstracted below, is being forwarded to the Office of Management and Budget for extension of currently approved Report of Passengers Denied Confirmed Space. Earlier, a **Federal Register** Notice with a 60-day comment period was published on January 19, 2007 (72 FR 2591). The agency did not receive any comments to its previous notice. DATES: Written comments should be submitted by May 2, 2007. FOR FURTHER INFORMATION CONTACT: Bernie Stankus, Office of Airline Information, RTS-42, Room 4125, RITA, BTS, 400 Seventh Street, SW., Washington, DC 20590-0001, Telephone Number
(202)366-4387, Fax Number
(202)366-3383 or e-mail *bernard.stankus@dot.gov.* *Comments:* Comments should be sent to OMB at the address that appears below and should identify the associated OMB Approval Number 2138-0018 and Docket 26835. SUPPLEMENTARY INFORMATION: OMB Approval No. 2138-0018 *Title:* Report of Passengers Denied Confirmed Space. *Form No.:* BTS Form 251. *Type Of Review:* Extension of a currently approved collection. *Respondents:* Large certificated and foreign air carriers. *Number of Respondents:* 100. *Number of Responses:* 400 (annual). *Total Annual Burden:* 1,670 hours. *Needs and Uses:* BTS Form 251 is a one-page report on the number of passengers denied boarding (voluntarily and involuntarily), whether the bumped passengers were provided alternate transportation and/or compensation, and the amount of the payment. U.S. and foreign air carriers that operate scheduled passenger service with large aircraft (over 60-seats) must submit Form 251. In addition, carriers report data from inbound international flights because the protections of 14 CFR Part 250 Oversales do not apply to these flights. The report allows the Department to monitor the effectiveness of its oversales rule and take enforcement action when necessary. While the involuntarily denied-boarding rate has decrease from 4.38 per 10,000 passengers in 1980 to 1.04 for the nine months ended September 2006, the rate is up from the 0.89 attained for the nine months ended September 2005. The publishing of the carriers' individual denied boarding rates has negated the need for more intrusive regulation. The rate of denied boarding can be examined as a continuing fitness factor. This rate provides an insight into a carrier's customer service policy and its compliance disposition. A rapid sustained increase in the rate of denied boarding often is an indicator of operational difficulty. Because the rate of denied boarding is released quarterly, travelers and travel agents can select carriers with low bumping incidents when booking a trip. This information is available in the *Air Travel Consumer Report at: http://airconsumer.ost.dot.gov/reports/index.htm.* The *Air Travel Consumer Report* is also sent to newspapers, magazines, and trade journals. Without Form 251, the Department would be unable to determining the effectiveness of the oversales rule. The Confidential Information Protection and Statistical Efficiency Act of 2002 (44 U.S.C. 3501 note), requires a statistical agency to clearly identify information it collects for non-statistical purposes. BTS hereby notifies the respondents and the public that BTS uses the information it collects under this OMB approval for non-statistical purposes including, but not limited to, publication of both Respondent's identity and its data, submission of the information to agencies outside BTS for review, analysis and possible use in regulatory and other administrative matters. Issued in Washington, DC. Donald W. Bright, Assistant Director, Airline Information, Bureau of Transportation Statistics. [FR Doc. E7-6056 Filed 3-30-07; 8:45 am] BILLING CODE 4910-FE-P DEPARTMENT OF TRANSPORTATION Surface Transportation Board [STB Docket No. AB-290 (Sub-No. 279X)] The Cincinnati, New Orleans and Texas Pacific Railway Company—Abandonment Exemption—in Scott County, TN The Cincinnati, New Orleans and Texas Pacific Railway Company (CNOTP), a wholly owned subsidiary of Norfolk Southern Railway Company, has filed a notice of exemption 1 under 49 CFR 1152 Subpart F— *Exempt Abandonments* to abandon a 12.44-mile line of railroad between milepost NR 0.00 at New River and milepost NR 12.44 at Sterling, in Scott County, TN. 2 The line traverses United States Postal Service Zip Code 37841, and includes the former stations of Highway Jct., Pemberton, Hunter, Slick Rock, Brimstone, and Sterling. 3 1 Pursuant to 49 CFR 1152.50(d)(2), the railroad must file a verified notice with the Board at least 50 days before the abandonment or discontinuance is to be consummated. CNOTP initially indicated in its notice of exemption a proposed consummation date of May 1, 2007, but because the verified notice was filed on March 13, 2007, consummation may not take place prior to May 2, 2007. CNOTP has been informed by a Board staff member that consummation may not take place until May 2, 2007. 2 In its verified notice of exemption filed on March 13, 2007, CNOTP also requested abandonment of a second line segment located between milepost NR 215.30 at Helenwood and milepost NR 218.60 at New River, in Scott County, a distance of 3.30 miles. By letters filed on March 20, 2007, and on March 21, 2007, CNOTP requests that the Board amend its notice. CNOTP indicates that, in its notice of exemption and environmental report, CNOTP stated that it did not have fee title to the entire right-of-way of the line. CNOTP states that the line segment between mileposts NR 215.30 and NR 218.60 is leased from the Trustees of the Cincinnati Southern Railway (CSR). According to CNOTP, the Trustees hold the CSR property on behalf of its owner, the City of Cincinnati, OH. CNOTP states that the Trustees are not required to file with the Board for authority to abandon this line segment or any other part of their line because the City, the Trustees, and CSR have never held themselves out as a common carrier to provide rail service nor have they operated any part of their line, but have always leased it to CNOTP. Accordingly, CNOTP's request to amend its March 13, 2007 notice of exemption will be granted. However, CNOTP has been notified that the request to discontinue the line segment between mileposts NR 215.30 and NR 218.60 requires a separate notice of exemption to be filed, accompanied by the appropriate filing fee. Therefore, a decision on the discontinuance will be handled in a separate decision. 3 In another letter also filed on March 21, 2007 (March 21 letter), CNOTP clarified the Zip Codes and stations for the line segment that is being abandoned. CNOTP has certified that:
(1)No local traffic has moved over the line for at least 2 years;
(2)no overhead traffic has moved over the line for at least 2 years and overhead traffic, if there were any, could be rerouted over other lines;
(3)no formal complaint filed by a user of rail service on the line (or by a State or local government entity acting on behalf of such user) regarding cessation of service over the line either is pending with the Surface Transportation Board (Board) or with any U.S. District Court or has been decided in favor of complainant within the 2-year period; and
(4)the requirements at 49 CFR 1105.7 (environmental reports), 49 CFR 1105.8 (historic reports), 49 CFR 1105.11 (transmittal letter), 49 CFR 1105.12 (newspaper publication), and 49 CFR 1152.50(d)(1) (notice to governmental agencies) have been met. As a condition to this exemption, any employee adversely affected by the abandonment shall be protected under *Oregon Short Line R. Co.—Abandonment—Goshen* , 360 I.C.C. 91 (1979). To address whether this condition adequately protects affected employees, a petition for partial revocation under 49 U.S.C. 10502(d) must be filed. Provided no formal expression of intent to file an offer of financial assistance
(OFA)has been received, this exemption will be effective on May 2, 2007, unless stayed pending reconsideration. 4 Petitions to stay that do not involve environmental issues, 5 formal expressions of intent to file an OFA under 49 CFR 1152.27(c)(2), 6 and trail use/rail banking requests under 49 CFR 1152.29 must be filed by April 12, 2007. Petitions to reopen or requests for public use conditions under 49 CFR 1152.28 must be filed by April 23, 2007, 7 with: Surface Transportation Board, 395 E Street, SW., Washington, DC 20423-0001. 4 On March 15, 2007, Seaside Holdings, Inc. (Seaside), filed a notice of intent to file an OFA to purchase both line segments. However, because CNOTP has now amended its March 13, 2007 notice, only one line segment between mileposts NR 0.00 and NR 12.44 is being abandoned. The Board will address Seaside's request for this line segment, and any other requests that may be timely filed, in a separate decision. 5 The Board will grant a stay if an informed decision on environmental issues (whether raised by a party or by the Board's Section of Environmental Analysis
(SEA)in its independent investigation) cannot be made before the exemption's effective date. *See Exemption of Out-of-Service Rail Lines* , 5 I.C.C.2d 377 (1989). Any request for a stay should be filed as soon as possible so that the Board may take appropriate action before the exemption's effective date. 6 Each OFA must be accompanied by the filing fee, which currently is set at $1,300. *See* 49 CFR 1002.2(f)(25). 7 CNOTP, in its March 21 letter, states that at least one parcel of the right-of-way is held by CNOTP by easement. Therefore, CNOTP contends that it does not have a continuous right-of-way that can be conveyed for public use. A copy of any petition filed with the Board should be sent to CNOTP's representative: James R. Paschall, Senior General Attorney, Norfolk Southern Corporation, Three Commercial Place, Norfolk, VA 23510. If the verified notice contains false or misleading information, the exemption is void *ab initio.* CNOTP has filed environmental and historic reports which address the effects, if any, of the abandonment on the environment and historic resources. SEA will issue an environmental assessment
(EA)by April 6, 2007. Interested persons may obtain a copy of the EA by writing to SEA (Room 1100, Surface Transportation Board, Washington, DC 20423-0001) or by calling SEA, at
(202)245-0305. [Assistance for the hearing impaired is available through the Federal Information Relay Service
(FIRS)at 1-800-877-8339.] Comments on environmental and historic preservation matters must be filed within 15 days after the EA becomes available to the public. Environmental, historic preservation, public use, or trail use/rail banking conditions will be imposed, where appropriate, in a subsequent decision. Pursuant to the provisions of 49 CFR 1152.29(e)(2), CNOTP shall file a notice of consummation with the Board to signify that it has exercised the authority granted and fully abandoned the line. If consummation has not been effected by CNOTP's filing of a notice of consummation by April 2, 2008, and there are no legal or regulatory barriers to consummation, the authority to abandon will automatically expire. Board decisions and notices are available on our Web site at *http://www.stb.dot.gov.* Decided: March 27, 2007. By the Board, David M. Konschnik, Director, Office of Proceedings. Vernon A. Williams, Secretary. [FR Doc. E7-6051 Filed 3-30-07; 8:45 am] BILLING CODE 4915-01-P DEPARTMENT OF THE TREASURY Office of Foreign Assets Control Additional Designation of Entities Pursuant to Executive Order 12978 AGENCY: Office of Foreign Assets Control, Treasury. ACTION: Notice. SUMMARY: The Treasury Department's Office of Foreign Assets Control (“OFAC”) is publishing the names of sixty-five newly-designated individuals and forty-five newly designated entities whose property and interests in property are blocked pursuant to Executive Order 12978 of October 21, 1995, “Blocking Assets and Prohibiting Transactions with Significant Narcotics Traffickers.” DATES: The designation by the Secretary of the Treasury of the sixty-five individuals and forty-five entities identified in this notice pursuant to Executive Order 12978 is effective on March 28, 2007. FOR FURTHER INFORMATION CONTACT: Assistant Director, Compliance Outreach & Implementation, Office of Foreign Assets Control, Department of the Treasury, Washington, DC 20220, tel.: 202/622-2490. SUPPLEMENTARY INFORMATION: Electronic and Facsimile Availability This document and additional information concerning OFAC are available from OFAC's Web site ( *http://www.treas.gov/ofac* ) or via facsimile through a 24-hour fax-on demand service, tel.:
(202)622-0077. Background On October 21, 1995, the President, invoking the authority, *inter alia* , of the International Emergency Economic Powers Act (50 U.S.C. 1701-1706) (“IEEPA”), issued Executive Order 12978 (60 FR 54579, October 24, 1995) (the “Order”). In the Order, the President declared a national emergency to deal with the threat posed by significant foreign narcotics traffickers centered in Colombia and the harm that they cause in the United States and abroad. Section 1 of the Order blocks, with certain exceptions, all property and interests in property that are in the United States, or that hereafter come within the United States or that are or hereafter come within the possession or control of United States persons, of:
(1)The persons listed in an Annex to the Order;
(2)any foreign person determined by the Secretary of Treasury, in consultation with the Attorney General and Secretary of State, to play a significant role in international narcotics trafficking centered in Colombia; or
(3)to materially assist in, or provide financial or technological support for or goods or services in support of, the narcotics trafficking activities of persons designated in or pursuant to this order; and
(4)persons determined by the Secretary of the Treasury, in consultation with the Attorney General and the Secretary of State, to be owned or controlled by, or to act for or on behalf of, persons designated pursuant to this Order. On March 28, 2007, the Secretary of the Treasury, in consultation with the Attorney General and Secretary of State, as well as the Secretary of Homeland Security, designated sixty-five individuals and forty-five entities whose property and interests in property are blocked pursuant to the Order. The list of designees is as follows: Individuals 1. OCHOA VASCO, Fabio Enrique (a.k.a. MARTINEZ PEREZ, Juan Carlos; a.k.a. OCHOA VASCO, Carlos Mario; a.k.a. “CARLOS MARIO”; a.k.a. “KIKO”; a.k.a. “KIKO EL CHIQUITO”); Medellin, Antioquia, Colombia; Guadalajara, Jalisco, Mexico; DOB 22 Nov 1960; POB Medellin, Colombia; Cedula Number 79281039 (Colombia) (individual) [SDNT] 2. ALVAREZ DEL RIO, Fredy de Jesus; POB Colombia; Cedula No. 98557177(Colombia) (individual) [SDNT] 3. BARAHONA CORDOBEZ, Jaime (a.k.a. BARONA CORDOBES, Jaime; a.k.a. BARONA CORDOBEZ, Jaime), Km. 16.5 El Salvador 169, Andalucia, Guatemala; Avenida Reforma 8-33 Zona 10, Guatemala City, Guatemala; 10 Calle 5-60 Zona 9, Guatemala City, Guatemala; c/o OVERSEAS TRADING COMPANY S.A., Guatemala City, Guatemala; DOB 1 Oct 1960; POB Guatemala; NIT # 953243-9 (Guatemala); Passport 16660729 (Guatemala) (individual) [SDNT] 4. BODDEN GALE, Elvert Dowie (a.k.a. “TIO BODDEN”), Roatan, Honduras; DOB 24 Apr 1956; POB Honduras; Passport A046090 (Honduras) (individual) [SDNT] 5. BRISENO MAR, Gloria Elisa (a.k.a. BRISENO, Lizzy; a.k.a. OCHOA, Gloria Elisa), c/o INVERSIONES Y REPRESENTACIONES S.A., Medellin, Colombia; c/o MC OVERSEAS TRADING COMPANY S.A. DE C.V., Guadalajara, Jalisco, Mexico; c/o LIZZY MUNDO INTERIOR, Guadalajara, Jalisco, Mexico; DOB 16 Aug 1965; POB Durango, Mexico; C.U.R.P. BIMG650816MDGRRL05 (Mexico); Passport 99140015920 (Mexico) (individual) [SDNT] 6. CADENAS VIRAMONTES, Porfirio Miguel, Calle Nelson 421-B, Guadalajara, Jalisco, Mexico; Calle Justo Sierra 1963, Colonia Ladron de Guevara, Guadalajara, Jalisco, Mexico; Calle Mar del Sur No 2075 Int. 1, Colonia Fraccionamiento Country Club, Guadalajara, Jalisco, Mexico; c/o MC OVERSEAS TRADING COMPANY S.A. DE C.V., Guadalajara, Mexico; c/o OVERSEAS TRADING COMPANY S.A., Guatemala City, Guatemala; c/o INMOBILIUM INVESTMENT CORP., Panama City, Panama; DOB 12 Jun 1959; POB Guadalajara, Jalisco, Mexico; C.U.R.P CAUP590612HJCDRR09 (Mexico); R.F.C. # CAVP-590612-AD1 (Mexico); NIT # 2665307-9 (Guatemala); Passport 97140096573 (Mexico) (individual) [SDNT] 7. CAICEDO ROJAS, Jorge Ernesto, Calle 82 No 11-37 Ofc. 504, Bogota, Colombia; c/o PROMOCIONES E INVERSIONES LAS PALMAS S.A., Bogota, Colombia; c/o HOTEL LA CASCADA S.A., Girardot, Colombia; DOB 21 Oct 1955; POB Bogota, Colombia; Cedula No. 3227987 (Colombia) (individual) [SDNT] 8. CALVO LOMBANA, Gabriel Andres, c/o ORIMAR LTDA., Bogota, Colombia; c/o AQUAMARINA ISLAND INTERNATIONAL CORPORATION, Panama City, Panama; c/o FISHING ENTERPRISE HOLDING INC., Panama City, Panama; DOB 20 Aug 1935; POB Bogota, Colombia; Cedula No. 2859105 (Colombia) (individual) [SDNT] 9. CASTANEDA GIRALDO, Maria Teresa (a.k.a. CASTANEDA DE PABON, Maria Teresa), c/o INVERSIONES MPS S.A., Bogota, Colombia; c/o PROYECTOS Y SOLUCIONES INMOBILIARIA LTDA., Bogota, Colombia; c/o GERENCIA DE PROYECTOS Y SOLUCIONES LTDA., Bogota, Colombia; DOB 3 Aug 1957; POB Colombia; Cedula No. 35455961 (Colombia) (individual) [SDNT] 10. CASTELLANOS SANCHEZ, Federico Ernesto, Calle Tauro No 4090, Colonia Juan Manuel Vallarte, Zapopan, Jalisco, Mexico; c/o MC OVERSEAS TRADING COMPANY S.A. DE C.V., Guadalajara, Mexico; DOB 11 Jan 1947; POB Tototlan, Jalisco, Mexico (individual) [SDNT] 11. CASTRILLON VASCO, Jhon Jairo, c/o HOTEL LA CASCADA S.A., Girardot, Colombia; c/o INVERSIONES Y REPRESENTACIONES S.A., Medellín, Colombia; c/o FLORIDA SOCCER CLUB S.A., Medellín, Colombia; DOB 30 Mar 1960; POB Medellín, Colombia; Cedula No. 71603587 (Colombia) (individual) [SDNT] 12. CASTRO GARZON, Ricardo (a.k.a. LINEROS GARZON, Rodolfo; a.k.a. “CAYO”), c/o CASTRO CURE Y CIA. S.C.S., Barranquilla, Colombia; c/o CURE SABAGH Y CIA. S.C.S., Barranquilla, Colombia; c/o FUDIA LTDA., Barranquilla, Colombia; c/o CABLES NACIONALES S.A., Barranquilla, Colombia; c/o INVERSIONES AGROPECUARIA ARIZONA LTDA., Barranquilla, Colombia; DOB 13 Dec 1960; POB Barranquilla, Colombia; Cedula No. 8715520 (Colombia) (individual) [SDNT] 13. CASTRO GARZON, Victor Hugo (a.k.a. “CABEZON”), Guadalajara, Jalisco, Mexico; DOB 10 May 1965; POB Barranquilla, Colombia; Cedula No. 72137257 (Colombia) (individual) [SDNT] 14. CASTRO PAEZ, Gerardo, c/o CABLES NACIONALES CANAL S.A., Barranquilla, Colombia; c/o ORIMAR LTDA., Bogota, Colombia; DOB 16 Mar 1974; POB Barranquilla, Colombia; Cedula No. 72196638 (Colombia) (individual) [SDNT] 15. CASTRO PAEZ, Jhon Paul, c/o CABLES NACIONALES CANAL S.A., Barranquilla, Colombia; POB Colombia; Cedula No. 72223501 (Colombia) (individual) [SDNT] 16. CHOW RIOS, Harding Elvis; DOB 2 Apr 1962; POB San Andres, Colombia; Cedula No. 15243752 (Colombia) (individual) [SDNT] 17. CURE SABAGH, Diana Maria, c/o CASTRO CURE Y CIA. S.C.S., Barranquilla, Colombia; c/o CURE SABAGH Y CIA. S.C.S., Barranquilla, Colombia; c/o FUDIA LTDA., Barranquilla, Colombia; c/o CABLES NACIONALES CANAL S.A., Barranquilla, Colombia; DOB 24 Oct 1967; POB Barranquilla, Colombia; Cedula No. 22443685 (Colombia) (individual) [SDNT] 18. DALE DE MOR, Maria Elena, c/o MOR ALFOMBRAS ALFOFIQUE S.A., Bogota, Colombia; c/o MAYOR COMERCIALIZADORA LTDA., Bogota, Colombia; c/o KARIAN LIMITADA., Bogota, Colombia; DOB 11 May 1945; POB Bogota, Colombia; Cedula No. 41326059 (Colombia); Passport AG035322 (Colombia) (individual) [SDNT] 19. DE MARTINI TAMAYO, Sergio Rene (a.k.a. “CANOSO”); DOB 14 Sep 1962; POB Medellín, Colombia; Cedula No. 71622812 (Colombia) (individual) [SDNT] 20. DURAN ABDELNUR, Jorge Eduardo, c/o DURATEX S.A., Bogota, Colombia; c/o COMERCIALIZADORA MORDUR S.A., Quito, Ecuador; DOB 21 Nov 1955; POB Colombia; Cedula No. 19309441 (Colombia) (individual) [SDNT] 21. FANDINO ARBELAEZ, Francisco Jose, c/o DURATEX S.A., Bogota, Colombia; c/o KARIAN LIMITADA, Bogota, Colombia; DOB 6 Jul 1940; POB Colombia; Cedula No. 17032032 (Colombia); Passport AF325976 (Colombia) (individual) [SDNT] 22. FERNANDEZ CASTRO, Fernando Alberto (a.k.a. “FERCHO”), c/o GIMNASIO BODY AND HEALTH, Barranquilla, Colombia; DOB 12 May 1966; POB Colombia; Cedula No. 72137518 (Colombia) (individual) [SDNT] 23. GALLEGO VALENCIA, John Jairo (a.k.a. “DON JOTA”; a.k.a. “FREDERICO”), c/o LAVADERO EL CASTILLO, Medellín, Colombia; DOB 30 Jul 1950; POB Medellín, Colombia; Cedula No. 70126377 (Colombia); Passport AC312064 (Colombia) (individual) [SDNT] 24. GARCIA BUITRAGO, Miyer Alberto (a.k.a. “CHIQUI”); DOB 13 Jul 1970; POB Manzanares, Caldas, Colombia; Cedula No. 10287969 (Colombia); Passport AH132212 (Colombia) (individual) [SDNT] 25. GARCIA RODRIGUEZ, Martha, c/o TRANSPORTES MICHAEL LTDA., Barranquilla, Colombia; c/o COOPERATIVA DE SERVICIO DE TRANSPORTE DE CARGA DE COLOMBIA LTDA., Barranquilla, Colombia; c/o CENTRO DE BELLEZA SHARY VERGARA, Barranquilla, Colombia; POB Colombia; Cedula No. 32761805 (Colombia) (individual) [SDNT] 26. GAVIRIA DE MOR, Liliana, c/o DURATEX S.A., Bogota, Colombia; c/o MOR ALFOMBRAS ALFOFIQUE S.A., Bogota, Colombia; c/o MOR GAVIRIA S.C.S., Bogota, Colombia; c/o GAVIRIA MOR Y CIA. LTDA., Girardot, Colombia; c/o CONSTRUCTORA AMERICA S.A., Bogota, Colombia; DOB 16 Mar 1965; POB Bogota, Colombia; Cedula No. 20621292 (Colombia); Passport AG443233 (Colombia) (individual) [SDNT] 27. GAVIRIA MEJIA, Luis Fernando, Calle 114 No 0-45 Torre 3 Apt. 303, Bogota, Colombia; c/o DURATEX S.A., Bogota, Colombia; DOB 11 Mar 1947; POB Bogota, Colombia; Cedula No. 17163914 (Colombia); Passport AJ241295 (Colombia) (individual) [SDNT] 28. GAVIRIA RUEDA, Gloria Ines, c/o COMERCIALIZADORA MOR GAVIRIA S.A., Quito, Ecuador; c/o INTERNACIONAL DE PROYECTOS INMOBILIARIOS S.A., Quito, Ecuador; POB Colombia; Cedula No. 1719011601 (Ecuador); alt. Cedula No. 41576358 (Colombia); RUC # 1233779 (Ecuador) (individual) [SDNT] 29. GIL GARZON, Marco Antonio, c/o CONSTRUCTORA AMERICA S.A., Bogota, Colombia; DOB 25 May 1947; POB Toca, Boyaca, Colombia; Cedula No. 17176949 (Colombia) (individual) [SDNT] 30. GIL GUIO, Alexandra, c/o DURATEX S.A., Bogota, Colombia; c/o PROMOCIONES E INVERSIONES LAS PALMAS S.A., Bogota, Colombia; c/o CONSTRUCTORA IRAKA S.A., Bogota, Colombia; c/o C.I. OTILIA FLOWERS S.A., Cajica, Cundinamarca, Colombia; c/o CONSTRUCTORA AMERICA S.A., Bogota, Colombia; DOB 11 Oct 1973; POB Colombia; Cedula No. 52145376 (Colombia) (individual) [SDNT] 31. GONZALEZ BETANCUR, Angel Horacio, c/o FISHING ENTERPRISE HOLDING INC., Panama City, Panama; c/o AQUAMARINA ISLAND INTERNATIONAL CORPORATION, Panama City, Panama; DOB 3 Feb 1966; POB Colombia; Cedula No. 6465085 (Colombia) (individual) [SDNT] 32. HERNANDEZ ORTEGA, Cesar Alejandro, c/o LIZZY MUNDO INTERIOR, Guadalajara, Mexico; DOB 28 Oct 1975; POB Guadalajara, Jalisco, Mexico; C.U.R.P. HEOC751028HJCRRS09 (Mexico); Passport 140022479 (Mexico) (individual) [SDNT] 33. HODWALKER MARTINEZ, Martin David (a.k.a. “TILO”), c/o VERANILLO DIVE CENTER LTDA., Barranquilla, Colombia; c/o MARTIN HODWALKER M. Y CIA. S. EN C., Barranquilla, Colombia; c/o YAMAHA VERANILLO DISTRIBUIDORES, Barranquilla, Colombia; c/o DESARROLLO GEMMA CORPORATION, Panama City, Panama; DOB 26 Dec 1968; POB Colombia; Cedula No. 8534760 (Colombia); Passport AF465508 Colombia (individual) [SDNT] 34. HOOKER TAYLOR, Javier Arnulfo (a.k.a. HOOKER POMARE, Javier), c/o COOPERATIVA DE SERVICIO DE TRANSPORTE DE CARGA DE COLOMBIA LTDA., Barranquilla, Colombia; c/o ROCK FISH IMPORT EXPORT E.U., San Andres, Colombia; DOB 19 Feb 1971; POB San Andres, Colombia; Cedula No. 18001893 (Colombia) (individual) [SDNT] 35. HYDE, Clive Norman (a.k.a. HYDE SR., Clive Norman; a.k.a. “MR. HYDE”); DOB 8 Apr 1956; POB Belize (individual) [SDNT] 36. INDABURU LUENGAS, Pedro Enrique, c/o COMERCIALIZADORA MOR GAVIRIA S.A., Quito, Ecuador; c/o COMERCIALIZADORA MORDUR S.A., Quito, Ecuador; c/o INTERNACIONAL DE PROYECTOS INMOBILIARIOS S.A., Quito, Ecuador; DOB 29 Jun 1948; POB Bogota, Colombia; Cedula No. 1719011619 (Ecuador); alt. Cedula No. 19074171 (Colombia); RUC # 171901161-9 (Ecuador) (individual) [SDNT] 37. LEAL LOPEZ, Janey Farides, c/o MARTIN HODWALKER M. Y CIA. S. EN C., Barranquilla, Colombia; c/o VERANILLO DIVE CENTER LTDA., Barranquilla, Colombia; DOB 6 Nov 1972; POB Colombia; Cedula No. 32779104 (Colombia); Passport AF665724 (Colombia) (individual) [SDNT] 38. LOGAN MOREY, Elvis Angus (a.k.a. “BURTON BURGESS”); DOB 28 Jul 1963; POB Toledo District, Belize; Passport P0017003 (Belize); SSN 561-77-9011 (United States) (individual) [SDNT] 39. LOZANO OSPINA, Max Abilio, c/o DURATEX S.A., Bogota, Colombia; c/o PROMOCIONES E INVERSIONES LAS PALMAS S.A., Bogota, Colombia; c/o C.I. OTILIA FLOWERS S.A., Cajica, Cundinamarca, Colombia; c/o CONSTRUCTORA AMERICA S.A., Bogota, Colombia; DOB 23 May 1971; POB Colombia; Cedula No. 79248772 (Colombia) (individual) [SDNT] 40. MALDONADO ESCOBAR, Fernando, c/o MOR GAVIRIA Y CIA. S.C.S., Bogota, Colombia; c/o PROMOCIONES E INVERSIONES LAS PALMAS S.A., Bogota, Colombia; c/o AUDITORES ESPECIALIZADOS LTDA., Bogota, Colombia; c/o GAVIRIA MOR Y CIA. LTDA., Girardot, Colombia; c/o AQUAMARINA ISLAND INTERNATIONAL CORPORATION, Panama City, Panama; DOB 16 May 1961; POB Bogota, Colombia; Cedula No. 19445721 (Colombia); Passport AH330349 (Colombia) (individual) [SDNT] 41. MALDONADO ESCOBAR, Mauricio, c/o MAYOR COMERCIALIZADORA LTDA., Bogota, Colombia; c/o MOR GAVIRIA Y CIA. S.C.S., Bogota, Colombia; c/o AUDITORES ESPECIALIZADOS LTDA., Bogota, Colombia; DOB 22 Oct 1962; POB Colombia; Cedula No. 79266443 (Colombia) (individual) [SDNT] 42. MAR SEM, Maria Gloria, c/o MC OVERSEAS TRADING COMPANY S.A. DE C.V., Guadalajara, Jalisco, Mexico; DOB 19 Aug 1944; POB Mexico; Passport 97140093454 (Mexico) (individual) [SDNT] 43. MARKS, Martin Gregory (a.k.a. GORDON, Howard A.); DOB 30 Oct 1958; POB Jamaica; Passport 217720 (Jamaica) (individual) [SDNT] 44. MOLINA MOLINA, Jesus Dagoberto, c/o TRANSPORTES MICHAEL LTDA., Barranquilla, Colombia; c/o COOPERATIVA DE SERVICIO DE TRANSPORTE DE CARGA MULTIMODAL, Barranquilla, Colombia; POB Colombia; Cedula No. 8233532 (Colombia) (individual) [SDNT] 45. MOR DALE, Jaime Enrique, c/o MOR ALFOMBRAS ALFOFIQUE S.A., Bogota, Colombia; c/o MAYOR COMERCIALIZADORA LTDA., Bogota, Colombia; c/o KARIAN LIMITADA, Bogota, Colombia; DOB 22 Feb 1971; POB Bogota, Colombia; Cedula No. 80420773 (Colombia); Passport AG035370 (Colombia) (individual) [SDNT] 46. MOR DALE, Jorge Dib, c/o MOR ALFOMBRAS ALFOFIQUE S.A., Bogota, Colombia; c/o MAYOR COMERCIALIZADORA LTDA., Bogota, Colombia; c/o KARIAN LIMITADA, Bogota, Colombia; DOB 20 Mar 1963; POB Bogota, Colombia; Cedula No. 79264955 (Colombia); Passport A1758932 (Colombia) (individual) [SDNT] 47. MOR DALE, Ricardo Alberto, c/o MOR ALFOMBRAS ALFOFIQUE S.A., Bogota, Colombia; c/o MAYOR COMERCIALIZADORA LTDA., Bogota, Colombia; c/o KARIAN LIMITADA, Bogota, Colombia; DOB 10 Jun 1964; POB Bogota, Colombia; Cedula No. 79301217 (Colombia) (individual) [SDNT] 48. MOR GAVIRIA, Carolina, c/o DURATEX S.A., Bogota, Colombia; c/o MOR GAVIRIA S.C.S., Bogota, Colombia; c/o SUPER BOYS GAMES LTDA., Bogota, Colombia; DOB 17 Aug 1985; POB Colombia; Cedula No. 8715520 (Colombia) (individual) [SDNT] 49. MOR GAVIRIA, Jaime, c/o DURATEX S.A., Bogota, Colombia; c/o MOR ALFOMBRAS ALFOFIQUE S.A., Bogota, Colombia; c/o PROMOCIONES E INVERSIONES LAS PALMAS S.A., Bogota, Colombia; c/o SUPER BOYS GAMES LTDA., Bogota, Colombia; c/o GAVIRIA MOR Y CIA. LTDA., Girardot, Colombia; DOB 27 Sep 1980; POB Colombia; Cedula No. 92700929 (Colombia); Passport AG443304 (Colombia) (individual) [SDNT] 50. MOR GAVIRIA, Maria Liliana (a.k.a. SVIEDRYS, Maria Liliana), Washington, D.C.; c/o DURATEX S.A., Bogota, Colombia; c/o MOR ALFOMBRAS ALFOFIQUE S.A., Bogota, Colombia; c/o MOR GAVIRIA S.C.S., Bogota, Colombia; c/o SUPER BOYS GAMES LTDA., Bogota, Colombia; c/o GAVIRIA MOR Y CIA. LTDA., Girardot, Colombia; DOB 21 Feb 1979; POB Bogota, Colombia; Cedula No. 35195932 (Colombia); Passport AG801641 (Colombia); SSN 579-33-4498 (United States) (individual) [SDNT] 51. MOR NASSAR, Jorge, c/o MOR ALFOMBRAS ALFOFIQUE S.A., Bogota, Colombia; c/o MAYOR COMERCIALIZADORA LTDA., Bogota, Colombia; DOB 10 Oct 1939; POB Ubate, Cundinamarca, Colombia; Cedula No. 310935 (Colombia); Passport AG035369 (Colombia) (individual) [SDNT] 52. MOR SAAB, Jaime Dib (a.k.a. MOR, Jaime Div; a.k.a. “JAIME MOORE”), c/o DURATEX S.A., Bogota, Colombia; c/o MOR ALFOMBRAS ALFOFIQUE S.A., Bogota, Colombia; c/o MOR GAVIRIA Y CIA. S.C.S., Bogota, Colombia; c/o INVERSIONES MPS S.A., Bogota, Colombia; c/o MAYOR COMERCIALIZADORA LTDA., Bogota, Colombia; c/o PROYECTOS Y SOLUCIONES S.A., Bogota, Colombia; c/o GERENCIA DE PROYECTOS Y SOLUCIONES LTDA., Bogota, Colombia; c/o PROMOCIONES E INVERSIONES LAS PALMAS S.A., Bogota, Colombia; c/o ACUICOLA SANTA CATALINA S.A., Bogota, Colombia; c/o SUPER BOYS GAMES LTDA., Bogota, Colombia; c/o KARIAN LTDA., Bogota, Colombia; c/o GAVIRIA MOR Y CIA. LTDA., Girardot, Colombia; c/o CONSTRUCTORA IRAKA S.A., Bogota, Colombia; c/o CONSTRUCTORA AMERICA S.A., Bogota, Colombia; c/o COMERCIALIZADORA MOR GAVIRIA S.A., Quito, Ecuador; c/o COMERCIALIZADORA MORDUR S.A., Quito, Ecuador; c/o INTERNACIONAL DE PROYECTOS INMOBILIARIOS IPI S.A., Quito, Ecuador; DOB 29 Apr 1955; POB Girardot, Cundinamarca, Colombia; Cedula No. 19222380 (Colombia); SSN 591-98-9689 (United States); (individual) [SDNT] 53. MOR SAAB, Soraya, c/o DURATEX S.A., Bogota, Colombia; c/o MOR GAVIRIA S.C.S., Bogota, Colombia; c/o PROYECTOS Y SOLUCIONES S.A., Bogota, Colombia; c/o CONSTRUCTORA IRAKA S.A., Bogota, Colombia; c/o ACUICOLA SANTA CATALINA S.A., Bogota, Colombia; c/o PROMOCIONES E INVERSIONES LAS PALMAS S.A., Bogota, Colombia; DOB 10 May 1959; POB Girardot, Cundinamarca, Colombia; Cedula No. 35461535 (Colombia) (individual) [SDNT] 54. OLIVEROS GUZMAN, Henry, c/o INVERSIONES MPS S.A., Bogota, Colombia; c/o MAYOR COMERCIALIZADORA LTDA., Bogota, Colombia; c/o MOR ALFOMBRAS ALFOFIQUE S.A., Bogota, Colombia; c/o GERENCIA DE PROYECTOS Y SOLUCIONES LTDA., Bogota, Colombia; c/o HOTEL LA CASCADA S.A., Girardot, Colombia; POB Colombia; Cedula No. 79484051 (Colombia) (individual) [SDNT] 55. PABON ALVARADO, Gustavo Alberto, c/o INVERSIONE MPS S.A., Bogota, Colombia; c/o PROYECTOS Y SOLUCIONES S.A., Bogota, Colombia; c/o PROYECTOS Y SOLUCIONES INMOBILIARIA LTDA., Bogota, Colombia; c/o GERENCIA DE PROYECTOS Y SOLUCIONES LTDA., Bogota, Colombia; c/o ACUICOLA SANTA CATALINA S.A., Bogota, Colombia; c/o HOTEL LA CASCADA S.A., Girardot, Colombia; c/o FLORIDA SOCCER CLUB S.A., Medelln, Colombia; DOB 6 May 1955; POB Bogota, Colombia; Cedula No. 79146243 (Colombia) (individual) [SDNT] 56. PACHECO MEJIA, Luis, c/o FLORIDA SOCCER CLUB S.A., Medellín, Colombia; Calle Paseo de Los Virreyes No. 4022, Colonia San Wenceslao, Zapopan, Jalisco, Mexico; DOB 18 Jun 1951; POB Guadalajara, Jalisco, Mexico; Passport 03140120376 (Mexico); RFC PAML-510618-ED7 (Mexico) (individual) [SDNT] 57. PALACIO ADARVE, John Ricardo; DOB 11 Mar 1969; POB Itagui, Antioquia, Colombia; Cedula No. 70697538 (Colombia) (individual) [SDNT] 58. RINCONES MENDOZA, Henry Juvenal; DOB 25 Sep 1976; POB Colombia; Cedula No. 79863543 (Colombia) (individual) [SDNT] 59. SABAGH DE CURE, Maria Dunia, c/o CURE SABAGH Y CIA. S.C.S., Barranquilla, Colombia; c/o FUDIA LTDA., Barranquilla, Colombia; DOB 02 Jan 1947; POB Barranquilla, Colombia; Cedula No. 33278803 (Colombia); Passport AE330188 (Colombia) (individual) [SDNT] 60. TRUJILLO MOLINA, Maria Helena (a.k.a. TRUJILLO MOLINA, Maria Elena), c/o HOTEL LA CASCADA S.A., Girardot, Colombia; c/o INVERSIONES Y REPRESENTACIONES S.A., Medelín, Colombia; POB Colombia; Cedula No. 42875026 (Colombia) (individual) [SDNT] 61. VALENCIA MARIN, Libardo Elias; DOB 23 Mar 1946; POB Colombia; Cedula No. 8225623 (Colombia) (individual) [SDNT] 62. VARELA SERNA, Carlos Heneris (a.k.a. “COLITAS”), c/o TRANSPORTES MICHAEL LTDA., Barranquilla, Colombia; c/o COOPERATIVA DE SERVICIO DE TRANSPORTE DE CARGA DE COLOMBIA LTDA., Barranquilla, Colombia; c/o CENTRO DE BELLEZA SHARY VERGARA, Barranquilla, Colombia; DOB 11 Jan 1956; POB Cali, Colombia; Cedula No. 16632290 (Colombia) (individual) [SDNT] 63. VASQUEZ DIAZ, Augusto de Jesus, c/o FLORIDA SOCCER CLUB S.A., Medelíon, Colombia; Cedula No. 3333064 (Colombia) (individual) [SDNT] 64. WORRELL, Gareth Bruce (a.k.a. WORRELL MURRAY, Gareth Bruce; a.k.a. WORRELL MURRAY, Garrett; a.k.a. “GARETH MOREY”); DOB 19 Jun 1971; alt. DOB 19 Jan 1971; POB Belize; Passport 0159817 (Belize) (individual) [SDNT] 65. YEPES VELEZ, Silvio (a.k.a. YEPEZ VELEZ, Silvio), Carrera 30 No 77-26, Bogota, Colombia; c/o HOTEL LA CASCADA S.A., Girardot, Colombia; DOB 9 Nov 1948; POB Manizales, Caldas, Colombia; Cedula No. 19065009 (Colombia); NIT # 19065009-4 (Colombia) (individual) [SDNT] Entities 1. ACUICOLA SANTA CATALINA S.A., Avenida 13 No. 100-12 Ofc. 302, Bogota, Colombia; NIT # 830010809-5 (Colombia) [SDNT] 2. AQUAMARINA ISLAND INTERNATIONAL CORPORATION, Avenida Cuba Calle 38, Edificio Los Cristales Piso 3, Panama City, Panama; Calle 93 No. 14-20 Ofc. 611, Bogota, Colombia; Avenida del Pastelillo 24-46, Edificio Fadia—Manga, Cartagena, Colombia; RUC # 2120851397079 (Panama) [SDNT] 3. AUDITORES ESPECIALIZADOS LTDA., Calle 93 No. 14-20 Ofc. 611, Bogota, Colombia; NIT # 830041980-1 (Colombia) [SDNT] 4. C.I. OTILIA FLOWERS S.A., Carrera 11 No. 94-02 Ofc. 405, Bogota, Colombia; Vereda Las Manas, Finca La Estancia, Cajica, Cundinamarca, Colombia; NIT # 800207350-5 (Colombia) [SDNT] 5. CABLES NACIONALES S.A. (a.k.a. CANAL S.A.), Calle 111 No. 34-139, Barranquilla, Colombia; NIT # 802005017-7 (Colombia) [SDNT] 6. CASTRO CURE Y CIA. S. EN C., Calle 111 No. 34-139, Barranquilla, Colombia; NIT # 802001885-5 (Colombia) [SDNT] 7. CENTRO DE BELLEZA SHARY VERGARA, Carrera 54 No. 72-80 Local 25, Barranquilla, Colombia [SDNT] 8. COMERCIALIZADORA MOR GAVIRIA S.A. (a.k.a. ALFOMBRAS DURATEX DE COLOMBIA; a.k.a. “DURATEX ECUADOR”), Avenida Pedro Vicente Maldonado N229 y Rivas, Edificio Centro Comercial El Recreo, Local 24F, Pichincha, Quito, Ecuador; RUC # 1791813359001 (Ecuador) [SDNT] 9. COMERCIALIZADORA MORDUR S.A., Avenida Pedro Vicente Maldonado 14-205, Edificio Centro Comercial El Recreo, Local 22F, Pichincha, Quito, Ecuador; RUC # 1791315820001 (Ecuador) [SDNT] 10. CONSTRUCTORA AMERICA S.A., Carrera 63 No. 17-07, Bogota, Colombia; NIT # 830125002-3 (Colombia) [SDNT] 11. CONSTRUCTORA IRAKA S.A., Carrera 7 No. 132-82, Bogota, Colombia; NIT # 830111113-1 (Colombia) [SDNT] 12. COOPERATIVA DE SERVICIO DE TRANSPORTE DE CARGA DE COLOMBIA LTDA. (a.k.a. COOPERATIVA DE SERVICIO DE TRANSPORTE DE CARGA MULTIMODAL DE COLOMIBA LTDA.; a.k.a. COOTRANSMULTI H.H. LTDA.), Calle 30 No. 10-50, Barranquilla, Colombia; Calle 35 No. 36-68, Barranquilla, Colombia; NIT # 802019665-0 (Colombia) [SDNT] 13. CURE SABAGH Y CIA. S.C.S., Calle 32 No. 43A-89, Barranquilla, Colombia; NIT # 802000463-6 (Colombia) [SDNT] 14. DESARROLLO GEMMA CORPORATION, Calle 52 Bella Vista, Chalet # 17, Panama City, Panama; RUC # 25544701403775 (Panama) [SDNT] 15. DURATEX S.A. (f.k.a. INVERSIONES JEDA S.A.), Carrera 63 No. 17-07, Bogota, Colombia; Calle 116 No. 19-22, Bogota, Colombia; Avenida 19 No. 95-13 Local 1, Bogota, Colombia; NIT # 800054668-3 (Colombia) [SDNT] 16. FISHING ENTERPRISE HOLDING, INC., Avenida Samuel Lewis, Edificio Comosa, Piso 16, Panama City, Panama; RUC # 2120741397076 (Panama) [SDNT] 17. FLORIDA SOCCER CLUB S.A. (a.k.a. CORPORACION DEPORTIVA FLORIDA SOCCER CLUB; a.k.a. FSC S.A.), Calle 48 No. 70-80 Ofc. 115, Medelín, Colombia; Calle 49B No. 74-31 Sector Estadio, Medelín, Colombia; Itagui, Antioquia, Colombia; NIT # 811046159 (Colombia) [SDNT] 18. FUDIA LTDA., Calle 111 No. 36B-17, Barranquilla, Colombia; NIT # 800230555-4 (Colombia) [SDNT] 19. GAVIRIA MOR Y CIA. LTDA., Calle 16 No. 11-82 Ofc. 302, Girardot, Colombia; NIT # 800212771-2 (Colombia) [SDNT] 20. GERENCIA DE PROYECTOS Y SOLUCIONES LTDA., Avenida 13 No. 100-12 Ofc. 302, Bogota, Colombia; NIT # 800231600-2 (Colombia) [SDNT] 21. GIMNASIO BODY AND HEALTH, Calle 80 No. 75-210, Barranquilla, Colombia [SDNT] 22. HOTEL LA CASCADA S.A. (f.k.a. CENTRO RECREACIONAL LA CASCADA LTDA.), Carrera 12 Avenida 25 Esquina, Girardot, Colombia; NIT # 890601336-8 (Colombia) [SDNT] 23. INMOBILIUM INVESTMENT CORP., Avenida Frederico Boyd y Calle 51, Edificio Torre Universal, Piso 3, Panama City, Panama; RUC # 4055231267286 (Panama) [SDNT] 24. INTERNACIONAL DE PROYECTOS INMOBILIARIA IPI S.A. (a.k.a. IPI S.A.), Avenida Pedro Vicente Maldonado 744, Edificio Centro Comercial El Recreo, Local 24I, Pichincha, Quito, Ecuador; RUC # 1791843436001 (Ecuador) [SDNT] 25. INVERSIONES AGROPECUARIA ARIZONA LTDA., Calle 82 No. 43-21 Ofc. 1C, Barranquilla, Colombia; NIT # 802019694 (Colombia) [SDNT] 26. INVERSIONES MPS S.A. (f.k.a. EQUIPOS MPS S.A.), Avenida 13 No. 100-12 Ofc. 302, Bogota, Colombia; NIT # 800231392-5 (Colombia) [SDNT] 27. INVERSIONES Y REPRESENTACIONES S.A. (a.k.a. IRSA S.A.), Carrera 43A No. 16A Sur—38, Barrio El Poblado, Medelín, Colombia; NIT # 811040270-5 (Colombia) [SDNT] 28. KARIAN LTDA., Calle 23 No. 68A-95, Bogota, Colombia; NIT # 800166692-1 (Colombia) [SDNT] 29. LAVADERO EL CASTILLO, Carrera 84 No. 32B-40, Medelln, Colombia [SDNT] 30. LIZZY MUNDO INTERIOR, Justo Sierra 1963, Guadalajara, Jalisco, Mexico [SDNT] 31. MARTIN HODWALKER M. & CIA. S. EN C., Via 40 No. 67-42, Barranquilla, Colombia; NIT # 802007314-9 (Colombia) [SDNT] 32. MAYOR COMERCIALIZADORA LTDA., Carrera 40 No. 169-30 Barrio Toberin, Bogota, Colombia; NIT # 80008288-4 (Colombia) [SDNT] 33. MC OVERSEAS TRADING COMPANY SA DE CV, Justo Sierra 1963, Guadalajara, Jalisco, Mexico [SDNT] 34. MOR ALFOMBRAS ALFOFIQUE S.A. (f.k.a. ALFOFIQUE LTDA.; f.k.a. ALFOFIQUE TRANSPORTES LTDA.), Carrera 40 No. 169-32, Bogota, Colombia; NIT # 830081048-0 (Colombia) [SDNT] 35. MOR GAVIRIA Y CIA. S.C.S. SOCIEDAD DE COMERCIALIZACION INT. C.I. (f.k.a. MOR GAVIRIA Y CIA. S.C.S.), Carrera 63 No. 17-07, Bogota, Colombia; NIT # 860535567-0 (Colombia) [SDNT] 36. ORIMAR LTDA., Carrera 19 No. 57-33, Bogota, Colombia; NIT # 801076804-7 (Colombia) [SDNT] 37. OVERSEAS TRADING COMPANY (a.k.a. “DURATEX GUATEMALA”; a.k.a. “DURATEX S.A.”), 7A Avenida 9-15, Zona 12 Colonia La Reformita, Guatemala City, Guatemala; Barrio del Monte 1 Avenida 2-51, Zona 1 Colonia ViCanales No. 4, Guatemala City, Guatemala; 20 Calle 20-81 Zona 10, Guatemala City, Guatemala; NIT # 2500971-0 (Guatemala) [SDNT] 38. PROMOCIONES E INVERSIONES LAS PALMAS S.A. (a.k.a. PROPALMAS S.A.), Carrera 9 No. 100-97 Ofc. 412, Bogota, Colombia; NIT # 800236023-5 (Colombia) [SDNT] 39. PROYECTOS Y SOLUCIONES INMOBILIARIA LTDA. (f.k.a. PROMOTORA DE PROYECTOS Y SOLUCIONES LTDA.), Avenida 13 No. 100-12 Ofc. 302, Bogota, Colombia; NIT # 800014349-8 (Colombia) [SDNT] 40. PROYECTOS Y SOLUCIONES S.A., Carrera 63 No. 17-07, Bogota, Colombia; NIT # 800231601-1 (Colombia) [SDNT] 41. ROCK FISH IMPORT EXPORT E.U., Avenida Juan XXIII, San Andres, Colombia; NIT # 827000913-1 (Colombia) [SDNT] 42. SUPER BOYS GAMES LTDA., Carrera 40 No. 168-67, Bogota, Colombia; NIT # 830004047-5 (Colombia) [SDNT] 43. TRANSPORTES MICHAEL LTDA. (a.k.a. TRANSMIKE LTDA.), Calle 30 No. 10-50, Barranquilla, Colombia; Sitio Nuevo, Magdalena, Colombia; NIT # 802024118-3 (Colombia) [SDNT] 44. VERANILLO DIVE CENTER LTDA. (a.k.a. CLUB DE PESCA VERANILLO), Via 40 No. 67-42, Barranquilla, Colombia; NIT # 802008393-5 (Colombia) [SDNT] 45. YAMAHA VERANILLO DISTRIBUIDORES, Via 40 No. 67-42, Barranquilla, Colombia [SDNT] Dated: March 28, 2007. Adam J. Szubin, Director, Office of Foreign Assets Control. [FR Doc. E7-6079 Filed 3-30-07; 8:45 am] BILLING CODE 4811-42-P DEPARTMENT OF THE TREASURY Internal Revenue Service Information Reporting Program Advisory Committee; Nominations AGENCY: Internal Revenue Service, Department of Treasury. ACTION: Notice and request for nominations. SUMMARY: The Internal Revenue Service
(IRS)requests nominations of individuals to be considered for selection as Information Reporting Program Advisory Committee (IRPAC) members. Individuals may nominate themselves or be nominated by interested organizations. Nominations will be accepted for current vacancies and should describe and document the applicants qualifications for membership. The IRPAC can be comprised of no more than twenty-three
(23)members. There are eight
(8)positions open for calendar year 2008. It is important that IRPAC continue to represent a diverse taxpayer and stakeholder base. Accordingly, to maintain membership diversity, selection is based on applicant's qualifications in addition to consideration of the segment or group he/she represents. The IRPAC advises the IRS on information reporting issues of mutual concern to the private sector and the federal government. The committee works with the Commissioner and other IRS leadership to provide recommendations on a wide range of information reporting administration issues. Membership is balanced to include representation from the tax professional community, businesses, banking, insurance, state tax administration, colleges and universities, securities, payroll and other industries. DATES: Written nominations must be received on or before May 31, 2007. ADDRESSES: Nominations should be sent to Ms. Caryl Grant, National Public Liaison, CL:NPL:SRM, Room 7559 IR, 1111 Constitution Avenue, NW., Washington, DC 20224, *Attn:* IRPAC Nominations. Applications may be submitted by mail to the address above or faxed to 202-622-8345. Application packages are available on the Tax Professional's Page, which is located on the IRS Internet Web site at *http://www.irs.gov/taxpros/index.html.* Application packages may also be requested by telephone from National Public Liaison, 202-927-3641 (not a toll-free number). FOR FURTHER INFORMATION CONTACT: Ms. Caryl Grant, at 202-927-3641 (not a toll-free number) or **Public_Liaison@irs.gov* . SUPPLEMENTARY INFORMATION: The IRPAC was established in 1991 in response to an administrative recommendation in the final Conference Report of the Omnibus Budget Reconciliation Act of 1989. Since its inception, IRPAC has worked closely with the IRS to provide recommendations on a wide range of issues intended to improve the information reporting program and achieve fairness to taxpayers. Conveying the public's perception of IRS activities to the Commissioner, the IRPAC is comprised of individuals who bring substantial, disparate experience and diverse backgrounds to the Committee's activities. The IRPAC members are appointed by the Commissioner and serve a term of three years with approximately one third of the member's terms expiring each year. Working groups address policies and administration issues specific to information reporting. Members are not paid for their services. However, travel expenses for working sessions, public meetings and orientation sessions, such as airfare, per diem, and transportation to and from airports, train stations, etc., are reimbursed within prescribed federal travel limitations. Receipt of applications will be acknowledged, and all individuals will be notified when selections have been made. In accordance with Department of Treasury Directive 21-03, a clearance process including, pre-appointment and annual tax checks, and a Federal Bureau of Investigation criminal and subversive name check through fingerprinting will be conducted on the final applicants. Equal opportunity practices will be followed for all appointments to the IRPAC in accordance with the Department of Treasury and IRS policies. To ensure that the recommendations of the IRPAC have taken into account the needs of the diverse groups served by the IRS, membership shall include, to the extent practicable, individuals who demonstrate the ability to represent minorities, women, and persons with disabilities. The Secretary of Treasury will review the recommended candidates and approve final selections. Dated: March 20, 2007. Cynthia Vanderpool, Designated Federal Official, National Public Liaison. [FR Doc. E7-5856 Filed 3-30-07; 8:45 am] BILLING CODE 4830-01-P DEPARTMENT OF VETERANS AFFAIRS [OMB Control No. 2900-0300] Proposed Information Collection Activity: Proposed Collection; Comment Request AGENCY: Veterans Benefits Administration, Department of Veterans Affairs. ACTION: Notice. SUMMARY: The Veterans Benefits Administration (VBA), Department of Veterans Affairs (VA), is announcing an opportunity for public comment on the proposed collection of certain information by the agency. Under the Paperwork Reduction Act
(PRA)of 1995, Federal agencies are required to publish notice in the **Federal Register** concerning each proposed collection of information, including each proposed extension of a currently approved collection, and allow 60 days for public comment in response to the notice. This notice solicits comments for information needed to assist disabled veterans in acquiring special housing and/or adaptations to their current resident. DATES: Written comments and recommendations on the proposed collection of information should be received on or before June 1, 2007. ADDRESSES: Submit written comments on the collection of information through *http://www.Regulations.gov* or to Nancy J. Kessinger, Veterans Benefits Administration (20M35), Department of Veterans Affairs, 810 Vermont Avenue, NW., Washington, DC 20420 or e-mail to *nancy.kessinger@va.gov.* Please refer to “OMB Control No. 2900-0300” in any correspondence. During the comment period, comments may be viewed online through the Federal Docket Management System
(FDMS)at *http://www.Regulations.gov.* FOR FURTHER INFORMATION CONTACT: Nancy J. Kessinger at
(202)273-7079 or FAX
(202)275-5947. SUPPLEMENTARY INFORMATION: Under the PRA of 1995 (Pub. L. 104-13; 44 U.S.C. 3501-3521), Federal agencies must obtain approval from the Office of Management and Budget
(OMB)for each collection of information they conduct or sponsor. This request for comment is being made pursuant to Section 3506(c)(2)(A) of the PRA. With respect to the following collection of information, VBA invites comments on:
(1)Whether the proposed collection of information is necessary for the proper performance of VBA's functions, including whether the information will have practical utility;
(2)the accuracy of VBA's estimate of the burden of the proposed collection of information;
(3)ways to enhance the quality, utility, and clarity of the information to be collected; and
(4)ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or the use of other forms of information technology. *Title:* Veterans Application for Assistance in Acquiring Special Housing Adaptations, VA Form 26-4555d. *OMB Control Number:* 2900-0300. *Type of Review:* Extension of a currently approved collection. *Abstract:* Veterans who are disabled complete VA Form 26-4555d to apply for special housing and modification to their current dwellings. Grants are available to assist the veteran in making adaptations to their current residences or one they intend to live in as long as the veteran or a member of the veteran's family owns the home. *Affected Public:* Individuals or households. *Estimated Annual Burden:* 25 hours. *Estimated Average Burden per Respondent:* 20 minutes. *Frequency of Response:* On occasion. *Estimated Number of Respondents:* 75. Dated: March 23, 2007. By direction of the Secretary. Denise McLamb, Program Analyst, Records Management Service. [FR Doc. E7-6017 Filed 3-30-07; 8:45 am] BILLING CODE 8320-01-P DEPARTMENT OF VETERANS AFFAIRS [OMB Control No. 2900-0020] Proposed Information Collection Activity: Proposed Collection; Comment Request AGENCY: Veterans Benefits Administration, Department of Veterans Affairs. ACTION: Notice. SUMMARY: The Veterans Benefits Administration (VBA), Department of Veterans Affairs (VA), is announcing an opportunity for public comment on the proposed collection of certain information by the agency. Under the Paperwork Reduction Act
(PRA)of 1995, Federal agencies are required to publish notice in the **Federal Register** concerning each proposed collection of information, including each proposed extension of a currently approved collection, and allow 60 days for public comment in response to the notice. This notice solicits comments on information needed to determine a claimant's eligibility to receive the proceeds of a veteran's Government Life Insurance. DATES: Written comments and recommendations on the proposed collection of information should be received on or before June 1, 2007. ADDRESSES: Submit written comments on the collection of information through *http://www.Regulations.gov* ; or to Nancy J. Kessinger, Veterans Benefits Administration (20M35), Department of Veterans Affairs, 810 Vermont Avenue, NW., Washington, DC 20420 or e-mail *nancy.kessinger@va.gov* . Please refer to “OMB Control No. 2900-0020” in any correspondence. During the comment period, comments may be viewed online through the Federal Docket Management System
(FDMS)at *http://www.Regulations.gov* . FOR FURTHER INFORMATION CONTACT: Nancy J. Kessinger at
(202)273-7079 or FAX
(202)275-5947. SUPPLEMENTARY INFORMATION: Under the PRA of 1995 (Public Law 104-13; 44 U.S.C. 3501-3521), Federal agencies must obtain approval from the Office of Management and Budget
(OMB)for each collection of information they conduct or sponsor. This request for comment is being made pursuant to Section 3506(c)(2)(A) of the PRA. With respect to the following collection of information, VBA invites comments on:
(1)Whether the proposed collection of information is necessary for the proper performance of VBA's functions, including whether the information will have practical utility;
(2)the accuracy of VBA's estimate of the burden of the proposed collection of information;
(3)ways to enhance the quality, utility, and clarity of the information to be collected; and
(4)ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or the use of other forms of information technology. *Title:* Designation of Beneficiary, Government Life Insurance, VA Form 29-336. *OMB Control Number:* 2900-0020. *Type of Review:* Extension of a currently approved collection. *Abstract:* VA Form 29-336 is completed by the insured to designate a beneficiary and select an optional settlement to be used when the Government Life Insurance matures by death. *Affected Public:* Individuals or households. *Estimated Annual Burden:* 13,917 hours. *Estimated Average Burden per Respondent:* 10 minutes. *Frequency of Response:* On occasion. *Estimated Number of Respondents:* 83,500. Dated: March 23, 2007. By direction of the Secretary. Denise McLamb, Program Analyst, Records Management Service. [FR Doc. E7-6018 Filed 3-30-07; 8:45 am] BILLING CODE 8320-01-P DEPARTMENT OF VETERANS AFFAIRS [OMB Control No. 2900-0162] Proposed Information Collection Activity: Proposed Collection; Comment Request AGENCY: Veterans Benefits Administration, Department of Veterans Affairs. ACTION: Notice. SUMMARY: The Veterans Benefits Administration (VBA), Department of Veterans Affairs (VA), is announcing an opportunity for public comment on the proposed collection of certain information by the agency. Under the Paperwork Reduction Act
(PRA)of 1995, Federal agencies are required to publish notice in the **Federal Register** concerning each proposed collection of information, including each proposed extension of a currently approved collection and allow 60 days for public comment in response to the notice. This notice solicits comments on information needed to ensure that the amount of benefits payable to a student pursuing flight training is correct. DATES: Written comments and recommendations on the proposed collection of information should be received on or before June 1, 2007. ADDRESSES: Submit written comments on the collection of information through *http://www.Regulations.gov;* or to Nancy J. Kessinger, Veterans Benefits Administration (20M35), Department of Veterans Affairs, 810 Vermont Avenue, NW., Washington, DC 20420 or e-mail *nancy.kesisinger@va.gov* . Please refer to “OMB Control No. 2900-0162” in any correspondence. FOR FURTHER INFORMATION CONTACT: Nancy J. Kessinger at
(202)273-7079 or FAX
(202)275-5947. SUPPLEMENTARY INFORMATION: Under the PRA of 1995 (Pub. L. 104-13; 44 U.S.C. 3501-3521), Federal agencies must obtain approval from the Office of Management and Budget
(OMB)for each collection of information they conduct or sponsor. This request for comment is being made pursuant to Section 3506(c)(2)(A) of the PRA. With respect to the following collection of information, VBA invites comments on:
(1)Whether the proposed collection of information is necessary for the proper performance of VBA's functions, including whether the information will have practical utility;
(2)the accuracy of VBA's estimate of the burden of the proposed collection of information;
(3)ways to enhance the quality, utility, and clarity of the information to be collected; and
(4)ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or the use of other forms of information technology. *Title:* Monthly Certification of Flight Training, (under Chapters 30 and 32, Title 38 U.S.C.; Chapters 1606 and 1607, Title 10 U.S.C.; and Section 903 of Public Law 96-342, VA Form 22-6553c. *OMB Control Number:* 2900-0162. *Type of Review:* Extension of a currently approved collection. *Abstract:* Veterans, individuals on active duty training and reservist training, may receive benefits for enrolling in or pursuing approved vocational flight training. VA Form 22-6553c serves as a report of flight training pursued and termination of such training. Payments are base on the number of hours of flight training the veterans completed during each month. *Affected Public:* Individuals or households, Business or other for-profit, and Not-for-profit institutions. *Estimated Annual Burden:* 3,714 hours. *Estimated Average Burden per Respondent:* 30 minutes. *Frequency of Response:* On occasion. *Estimated Number of Respondents:* 1,238. *Estimated Total Annual Responses:* 7,428. Dated: March 23, 2007. By direction of the Secretary. Denise McLamb, Program Analyst, Records Management Service. [FR Doc. E7-6019 Filed 3-30-07; 8:45 am] BILLING CODE 8320-01-P DEPARTMENT OF VETERANS AFFAIRS [OMB Control No. 2900-New (VA Form 10-0430)] Proposed Information Collection Activity: Proposed Collection; Comment Request AGENCY: Veterans Health Administration, Department of Veterans Affairs. ACTION: Notice. SUMMARY: The Veterans Health Administration (VHA), Department of Veterans Affairs (VA), is announcing an opportunity for public comment on the proposed collection of certain information by the agency. Under the Paperwork Reduction Act
(PRA)of 1995, Federal agencies are required to publish notice in the **Federal Register** concerning each proposed collection of information, including each proposed new collection, and allow 60 days for public comment in response to the notice. This notice solicits comments for information needed to determine State Veterans' Homes eligibility for funding for programs to recruit and retain nurses at their facility. DATES: Written comments and recommendations on the proposed collection of information should be received on or before June 1, 2007. ADDRESSES: Submit written comments on the collection of information through *http://www.Regulations.gov* ; or to Mary Stout, Veterans Health Administration (193E1), Department of Veterans Affairs, 810 Vermont Avenue, NW., Washington, DC 20420 or e-mail: *mary.stout@va.gov* . Please refer to “OMB Control No. 2900-New (VA Form 10-0430)” in any correspondence. During the comment period, comments may be viewed online through the Federal Docket Management System
(FDMS)at *http://www.Regulations.gov* . FOR FURTHER INFORMATION CONTACT: Mary Stout
(202)273-8664 or FAX
(202)273-9381. SUPPLEMENTARY INFORMATION: Under the PRA of 1995 (Pub. L. 104-13; 44 U.S.C. 3501-3521), Federal agencies must obtain approval from the Office of Management and Budget
(OMB)for each collection of information they conduct or sponsor. This request for comment is being made pursuant to Section 3506(c)(2)(A) of the PRA. With respect to the following collection of information, VHA invites comments on:
(1)Whether the proposed collection of information is necessary for the proper performance of VHA's functions, including whether the information will have practical utility;
(2)the accuracy of VHA's estimate of the burden of the proposed collection of information;
(3)ways to enhance the quality, utility, and clarity of the information to be collected; and
(4)ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or the use of other forms of information technology. *Title:* Regulation on Reduction of Nursing Shortages in State Homes; Application for Assistance for Hiring and Retaining Nurses at State Homes, VA Form 10-0430. *OMB Control Number:* 2900-New (VA Form 10-0430). *Type of Review:* New collection. *Abstract:* State Veterans' Homes complete VA Form 10-0430 to request funding to assist in the hiring and retention of nurses at their facility. VA will use the data collected to determine State homes eligibility and the appropriate amount of funding. *Affected Public:* State, Local or Tribal Government. *Estimated Annual Burden:* 133. *Estimated Average Burden per Respondent:* 2 hours. *Frequency of Response:* One time. *Estimated Number of Respondents:* 67. Dated: March 23, 2007. By direction of the Secretary. Denise McLamb, Program Analyst, Records Management Service. [FR Doc. E7-6021 Filed 3-30-07; 8:45 am] BILLING CODE 8320-01-P DEPARTMENT OF VETERANS AFFAIRS [OMB Control No. 2900-0586] Proposed Information Collection Activity: Proposed Collection; Comment Request AGENCY: Office of Acquisition and Materiel Management, Department of Veterans Affairs. ACTION: Notice. SUMMARY: The Office of Acquisition and Materiel Management (OA&MM), Department of Veterans Affairs (VA), is announcing an opportunity for public comment on the proposed collection of certain information by the agency. Under the Paperwork Reduction Act
(PRA)of 1995, Federal agencies are required to publish notice in the **Federal Register** concerning each proposed collection of information, including each proposed extension of a currently approved collection and allow 60 days for public comment in response to the notice. This notice solicits comments on the information needed to ensure that the items being purchased meet minimum safety standards and to protect VA employees, VA beneficiaries and the public. DATES: Written comments and recommendations on the proposed collection of information should be received on or before June 1, 2007. ADDRESSES: Submit written comments on the collection of information through *http://www.Regulations.gov* ; or to Barbara Latvanas, Office of Acquisition and Materiel Management (049A5A), Department of Veterans Affairs, 810 Vermont Avenue, NW., Washington, DC 20420; or e-mail: *barbara.latvanas@va.gov.* Please refer to “OMB Control No. 2900-0585” in any correspondence. During the comment period, comments may be viewed online through the Federal Docket Management System
(FDMS)at *http://www.Regulations.gov.* FOR FURTHER INFORMATION CONTACT: Barbara Latvanas at
(202)273-7808. SUPPLEMENTARY INFORMATION: Under the PRA of 1995 (Pub. L. 104-13; 44 U.S.C. 3501-3521), Federal agencies must obtain approval from the Office of Management and Budget
(OMB)for each collection of information they conduct or sponsor. This request for comment is being made pursuant to Section 3506(c)(2)(A) of the PRA. With respect to the following collection of information, OA&MM invites comments on:
(1)Whether the proposed collection of information is necessary for the proper performance of OA&MM's functions, including whether the information will have practical utility;
(2)the accuracy of OA&MM's estimate of the burden of the proposed collection of information;
(3)ways to enhance the quality, utility, and clarity of the information to be collected; and
(4)ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or the use of other forms of information technology. *Title:* Veterans Affairs Acquisition Regulation
(VAAR)Provision 852.211-75, Technical Industry Standards. *OMB Control Number:* 2900-0586. *Type of Review:* Extension of a currently approved collection. *Abstract:* VAAR provision 852.211-75, Technical Industry Standards, requires that items offered for sale to VA under the solicitation conform to certain technical industry standards, such as Underwriters Laboratory
(UL)or the National Fire Protection Association, and that the contractor furnish evidence to VA that the items meet that requirement. The evidence is normally in the form of a tag or seal affixed to the item, such as the UL tag on an electrical cord or a tag on a fire-rated door. This requires no additional effort on the part of the contractor, as the items come from the factory with the tags already in place, as part of the manufacturer's standard manufacturing operation. Occasionally, for items not already meeting standards or for items not previously tested, a contractor will have to furnish a certificate from an acceptable laboratory certifying that the items furnished have been tested in accordance with, and conform to, the specified standards. Only firms whose products have not previously been tested to ensure the products meet the industry standards required under the solicitation will be required to submit a separate certificate. The information will be used to ensure that the items being purchased meet minimum safety standards and to protect VA employees, VA beneficiaries, and the public. *Affected Public:* Business or other for-profit; Individuals and households; and Not-for-profit institutions. *Estimated Annual Burden:* 50 hours. *Estimated Average Burden per Respondent:* 30 minutes. *Frequency of Response:* On occasion. *Estimated Number of Respondents:* 100. Dated: March 20, 2007. By direction of the Secretary. Denise McLamb, Program Analyst, Records Management Service. [FR Doc. E7-6023 Filed 3-30-07; 8:45 am] BILLING CODE 8320-01-P DEPARTMENT OF VETERANS AFFAIRS [OMB Control No. 2900-0585] Proposed Information Collection Activity: Proposed Collection; Comment Request AGENCY: Office of Acquisition and Materiel Management, Department of Veterans Affairs. ACTION: Notice. SUMMARY: The Office of Acquisition and Materiel Management (OA&MM), Department of Veterans Affairs (VA), is announcing an opportunity for public comment on the proposed collection of certain information by the agency. Under the Paperwork Reduction Act
(PRA)of 1995, Federal agencies are required to publish notice in the **Federal Register** concerning each proposed collection of information including each proposed extension of a currently approved collection and allow 60 days for public comment in response to the notice. This notice solicits comments on the information needed to allow firms to offer items that are equal to the brand name item stated in the bid. DATES: Written comments and recommendations on the proposed collection of information should be received on or before June 1, 2007. ADDRESSES: Submit written comments on the collection of information through *http://www.Regulations.gov* ; or to Barbara Latvanas, Office of Acquisition and Materiel Management (049A5A), Department of Veterans Affairs, 810 Vermont Avenue, NW., Washington, DC 20420; or e-mail: *barbara.latvanas@va.gov.* Please refer to “OMB Control No. 2900-0585” in any correspondence. During the comment period, comments may be viewed online through the Federal Docket Management System
(FDMS)at *http://www.Regulations.gov.* FOR FURTHER INFORMATION CONTACT: Barbara Latvanas at
(202)273-7808. SUPPLEMENTARY INFORMATION: Under the PRA of 1995 (Pub. L. 104-13; 44 U.S.C. 3501-3521), Federal agencies must obtain approval from the Office of Management and Budget
(OMB)for each collection of information they conduct or sponsor. This request for comment is being made pursuant to Section 3506(c)(2)(A) of the PRA. With respect to the following collection of information, OA&MM invites comments on:
(1)Whether the proposed collection of information is necessary for the proper performance of OA&MM's functions, including whether the information will have practical utility;
(2)the accuracy of OA&MM's estimate of the burden of the proposed collection of information;
(3)ways to enhance the quality, utility, and clarity of the information to be collected; and
(4)ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or the use of other forms of information technology. *Title:* Veterans Affairs Acquisition Regulation
(VAAR)Clause 852.211-77, Brand Name or Equal (was 852.210-77). *OMB Control Number:* 2900-0585. *Type of Review:* Extension of a currently approved collection. *Abstract:* VAAR clause 852.211-77, Brand Name or Equal, advises bidders or offerors who are proposing to offer an item that is alleged to be equal to the brand name item stated in the bid, that it is the bidder's or offeror's responsibility to show that the item offered is in fact, equal to the brand name item. This evidence may be in the form of descriptive literature or material, such as cuts, illustrations, drawings, or other information. While submission of the information is voluntary, failure to provide the information may result in rejection of the firm's bid or offer if the Government cannot otherwise determine that the item offered is equal. The contracting officer will use the information to evaluate whether or not the item offered meets the specification requirements. *Affected Public:* Business or other for-profit; Individuals and households; and Not-for-profit institutions. *Estimated Annual Burden:* 833 hours. *Estimated Average Burden per Respondent:* 5 minutes. *Frequency of Response:* On occasion. *Estimated Number of Respondents:* 10,000. Dated: March 20, 2007. By direction of the Secretary. Denise McLamb, Program Analyst, Records Management Service. [FR Doc. E7-6024 Filed 3-30-07; 8:45 am] BILLING CODE 8320-01-P DEPARTMENT OF VETERANS AFFAIRS [OMB Control No. 2900-0593] Proposed Information Collection Activity: Proposed Collection; Comment Request AGENCY: Office of Acquisition and Materiel Management, Department of Veterans Affairs. ACTION: Notice. SUMMARY: The Office of Acquisition and Materiel Management (OA&MM), Department of Veterans Affairs (VA), is announcing an opportunity for public comment on the proposed collection of certain information by the agency. Under the Paperwork Reduction Act
(PRA)of 1995, Federal agencies are required to publish notice in the **Federal Register** concerning each proposed collection of information, including each proposed extension of a currently approved collection and allow 60 days for public comment in response to the notice. This notice solicits comments on the information needed to identify bid envelopes from other mail parcels. DATES: Written comments and recommendations on the proposed collection of information should be received on or before June 1, 2007. ADDRESSES: Submit written comments on the collection of information through *http://www.Regulations.gov* ; or to Barbara Latvanas, Office of Acquisition and Materiel Management (049A5A), Department of Veterans Affairs, 810 Vermont Avenue, NW., Washington, DC 20420; or e-mail: *barbara.latvanas@va.gov.* Please refer to “OMB Control No. 2900-0585” in any correspondence. During the comment period, comments may be viewed online through the Federal Docket Management System
(FDMS)at *http://www.Regulations.gov.* FOR FURTHER INFORMATION CONTACT: Barbara Latvanas at
(202)273-7808. SUPPLEMENTARY INFORMATION: Under the PRA of 1995 (Pub. L. 104-13; 44 U.S.C. 3501-3521), Federal agencies must obtain approval from the Office of Management and Budget
(OMB)for each collection of information they conduct or sponsor. This request for comment is being made pursuant to Section 3506(c)(2)(A) of the PRA. With respect to the following collection of information, OA&MM invites comments on:
(1)Whether the proposed collection of information is necessary for the proper performance of OA&MM's functions, including whether the information will have practical utility;
(2)the accuracy of OA&MM's estimate of the burden of the proposed collection of information;
(3)ways to enhance the quality, utility, and clarity of the information to be collected; and
(4)ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or the use of other forms of information technology. *Title:* Veterans Affairs Acquisition Regulation
(VAAR)Provision 852.214-70, Caution to Bidders—Bid Envelopes. *OMB Control Number:* 2900-0593. *Type of Review:* Extension of a currently approved collection. *Abstract:* VAAR provision 852.214-70, Caution to Bidders—Bid Envelopes, advises bidders that it is their responsibility to ensure that their bid price cannot be ascertained by anyone prior to bid opening. It also advises bidders to identify their bids by showing the invitation number and bid opening date on the outside of the bid envelope. The Government often furnishes a blank bid envelope or a label for use by bidders/offers to identify their bids. The bidder is advised to fill in the required information. This information requested from bidders is needed by the Government to identify bid envelopes from other mail or packages received without having to open the envelopes or packages and possibly exposing bid prices before bid opening. The information will be used to identify which parcels or envelopes are bids and which are other routine mail. The information is also needed to help ensure that bids are delivered to the proper bid opening room on time and prior to bid opening. *Affected Public:* Business or other for-profit; Individuals and households; and Not-for-profit institutions. *Estimated Annual Burden:* 960 hours. *Estimated Average Burden per Respondent:* 10 seconds. *Frequency of Response:* On occasion. *Estimated Number of Respondents:* 346,000. Dated: March 20, 2007. By direction of the Secretary. Denise McLamb, Program Analyst, Records Management Service. [FR Doc. E7-6025 Filed 3-30-07; 8:45 am] BILLING CODE 8320-01-P DEPARTMENT OF VETERANS AFFAIRS [OMB Control No. 2900-0589] Proposed Information Collection Activity: Proposed Collection; Comment Request AGENCY: Office of Acquisition and Materiel Management, Department of Veterans Affairs. ACTION: Notice. SUMMARY: The Office of Acquisition and Materiel Management (OA&MM), Department of Veterans Affairs (VA), is announcing an opportunity for public comment on the proposed collection of certain information by the agency. Under the Paperwork Reduction Act
(PRA)of 1995, Federal agencies are required to publish notice in the **Federal Register** concerning each proposed collection of information, including each proposed extension of a currently approved collection, and allow 60 days for public comment in response to the notice. This notice solicits comments on the information needed to ensure that shellfish purchased by VA comes from a State-and Federal-approved and inspected source. DATES: Written comments and recommendations on the proposed collection of information should be received on or before June 1, 2007. ADDRESSES: Submit written comments on the collection of information through *http://www.Regulations.gov* ; or to Barbara Latvanas, Office of Acquisition and Materiel Management (049A5A), Department of Veterans Affairs, 810 Vermont Avenue, NW., Washington, DC 20420; or e-mail: *barbara.latvanas@va.gov.* Please refer to “OMB Control No. 2900-0585” in any correspondence. During the comment period, comments may be viewed online through the Federal Docket Management System
(FDMS)at *http://www.Regulations.gov.* FOR FURTHER INFORMATION CONTACT: Barbara Latvanas at
(202)273-7808. SUPPLEMENTARY INFORMATION: Under the PRA of 1995 (Pub. L. 104-13; 44 U.S.C. 3501-3521), Federal agencies must obtain approval from the Office of Management and Budget
(OMB)for each collection of information they conduct or sponsor. This request for comment is being made pursuant to Section 3506(c)(2)(A) of the PRA. With respect to the following collection of information, OA&MM invites comments on:
(1)Whether the proposed collection of information is necessary for the proper performance of OA&MM's functions, including whether the information will have practical utility;
(2)the accuracy of OA&MM's estimate of the burden of the proposed collection of information;
(3)ways to enhance the quality, utility, and clarity of the information to be collected; and
(4)ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or the use of other forms of information technology. *Title:* Veterans Affairs Acquisition Regulation
(VAAR)Provision 852.270-3, Shellfish. *OMB Control Number:* 2900-0589. *Type of Review:* Extension of a currently approved collection. *Abstract:* VAAR clause 852.270-3, Shellfish, requires that a firm furnishing shellfish to VA must ensure that the shellfish is packaged in a container that is marked with the packer's State certificate number and State abbreviation. In addition, the firm must ensure that the container is tagged or labeled to show the name and address of the approved producer or shipper, the name of the State of origin, and the certificate number of the approved producer or shipper. This information normally accompanies the shellfish from the packer and is not information that must be separately obtained by the seller. The information is needed to ensure that shellfish purchased by VA comes from a State- and Federal-approved and inspected source. The information is used to help ensure that VA purchases healthful shellfish. *Affected Public:* Business or other for-profit; Individuals and households; and Not-for-profit institutions. *Estimated Annual Burden:* 17 hours. *Estimated Average Burden per Respondent:* 1 minute. *Frequency of Response:* On occasion. *Estimated Number of Respondents:* 1,000. Dated: March 20, 2007. By direction of the Secretary. Denise McLamb, Program Analyst, Records Management Service. [FR Doc. E7-6026 Filed 3-30-07; 8:45 am] BILLING CODE 8320-01-P DEPARTMENT OF VETERANS AFFAIRS [OMB Control No. 2900-0588] Proposed Information Collection Activity: Proposed Collection; Comment Request AGENCY: Office of Acquisition and Materiel Management, Department of Veterans Affairs. ACTION: Notice. SUMMARY: The Office of Acquisition and Materiel Management (OA&MM), Department of Veterans Affairs (VA), is announcing an opportunity for public comment on the proposed collection of certain information by the agency. Under the Paperwork Reduction Act
(PRA)of 1995, Federal agencies are required to publish notice in the **Federal Register** concerning each proposed extension of a currently approved collection and allow 60 days for public comment in response to the notice. This notice solicits comments on the information needed to ensure that equipment proposed by the contractor meets specification requirements. DATES: Written comments and recommendations on the proposed collection of information should be received on or before June 1, 2007. ADDRESSES: Submit written comments on the collection of information through *http://www.Regulations.gov;* or to Barbara Latvanas, Office of Acquisition and Materiel Management (049A5A), Department of Veterans Affairs, 810 Vermont Avenue, NW., Washington, DC 20420; or e-mail: *barbara.latvanas@va.gov.* Please refer to “OMB Control No. 2900-0585” in any correspondence. During the comment period, comments may be viewed online through the Federal Docket Management System
(FDMS)at www.Regulations.gov. FOR FURTHER INFORMATION CONTACT: Barbara Latvanas at
(202)273-7808. SUPPLEMENTARY INFORMATION: Under the PRA of 1995 (Pub. L. 104-13; 44 U.S.C. 3501-3521), Federal agencies must obtain approval from the Office of Management and Budget
(OMB)for each collection of information they conduct or sponsor. This request for comment is being made pursuant to Section 3506(c)(2)(A) of the PRA. With respect to the following collection of information, OA&MM invites comments on:
(1)Whether the proposed collection of information is necessary for the proper performance of OA&MM's functions, including whether the information will have practical utility;
(2)the accuracy of OA&MM's estimate of the burden of the proposed collection of information;
(3)ways to enhance the quality, utility, and clarity of the information to be collected; and
(4)ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or the use of other forms of information technology. *Title:* Veterans Affairs Acquisition Regulation
(VAAR)Provision 852.211-74, Special Notice (previously 852.210-74). *OMB Control Number:* 2900-0588. *Type of Review:* Extension of a currently approved collection. *Abstract:* VAAR provision 852.211-74, Special Notice, is used only in VA's telephone system acquisition solicitations and requires the contractor, after award of the contract, to submit descriptive literature on the equipment the contractor intends to furnish to show how that equipment meets specification requirements of the solicitation. The information is needed to ensure that equipment proposed by the contractor meets specification requirements. Failure to require the information could result in the installation of equipment that does not meet contract requirements, with significant loss to the contractor if the contractor subsequently had to remove the equipment and furnish equipment that did meet the specification requirements. *Affected Public:* Business or other for-profit; Individuals and households; and Not-for-profit institutions. *Estimated Annual Burden:* 150 hours. *Estimated Average Burden per Respondent:* 5 hours. *Frequency of Response:* On occasion. *Estimated Number of Respondents:* 30 Dated: March 20, 2007. By direction of the Secretary. Denise McLamb, Program Analyst, Records Management Service. [FR Doc. E7-6027 Filed 3-30-07; 8:45 am] BILLING CODE 8320-01-P DEPARTMENT OF VETERANS AFFAIRS [OMB Control No. 2900-0587] Proposed Information Collection Activity: Proposed Collection; Comment Request AGENCY: Office of Acquisition and Materiel Management, Department of Veterans Affairs. ACTION: Notice. SUMMARY: The Office of Acquisition and Materiel Management (OA&MM), Department of Veterans Affairs (VA), is announcing an opportunity for public comment on the proposed collection of certain information by the agency. Under the Paperwork Reduction Act
(PRA)of 1995, Federal agencies are required to publish notice in the **Federal Register** concerning each proposed collection of information, including each proposed extension of a currently approved collection and allow 60 days for public comment in response to the notice. This notice solicits comments on the information needed to repair technical medical equipment and devices or mechanical equipment. DATES: Written comments and recommendations on the proposed collection of information should be received on or before June 1, 2007. ADDRESSES: Submit written comments on the collection of information through *http://www.Regulations.gov;* or to Barbara Latvanas, Office of Acquisition and Materiel Management (049A5A), Department of Veterans Affairs, 810 Vermont Avenue, NW., Washington, DC 20420; or e-mail: *barbara.latvanas@va.gov.* Please refer to “OMB Control No. 2900-0585” in any correspondence. During the comment period, comments may be viewed online through the Federal Docket Management System
(FDMS)at www.Regulations.gov. FOR FURTHER INFORMATION CONTACT: Barbara Latvanas at
(202)273-7808. SUPPLEMENTARY INFORMATION: Under the PRA of 1995 (Pub. L. 104-13; 44 U.S.C. 3501-3521), Federal agencies must obtain approval from the Office of Management and Budget
(OMB)for each collection of information they conduct or sponsor. This request for comment is being made pursuant to Section 3506(c)(2)(A) of the PRA. With respect to the following collection of information, OA&MM invites comments on:
(1)Whether the proposed collection of information is necessary for the proper performance of OA&MM's functions, including whether the information will have practical utility;
(2)the accuracy of OA&MM's estimate of the burden of the proposed collection of information;
(3)ways to enhance the quality, utility, and clarity of the information to be collected; and
(4)ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or the use of other forms of information technology. *Title:* Veterans Affairs Acquisition Regulation
(VAAR)Clause 852.211-70, Service Data Manual (previously 852.210-70). *OMB Control Number:* 2900-0587. *Type of Review:* Extension of a currently approved collection. *Abstract:* VAAR clause 852.211-70, Service Data Manual, is used when VA purchases technical medical equipment and devices, or mechanical equipment. The clause requires the contractor to furnish both operator's manuals and maintenance/repair manuals with the equipment provided to the Government. This clause sets forth those requirements and sets forth the minimum standards those manuals must meet to be acceptable. Generally, this is the same operator's manual furnished with each piece of equipment sold to the general public and the same repair manual used by company technicians in repairing the company's equipment. The cost of the manuals is included in the contract price or listed as separately priced line items on the purchase order. The operator's manual will be used by the individual actually operating the equipment to ensure proper operation and cleaning. The repair manual will be used by VA equipment repair staff to repair equipment. *Affected Public:* Business or other for-profit; Individuals and households; and Not-for-profit institutions. *Estimated Annual Burden:* 2,500 hours. *Estimated Average Burden per Respondent:* 10 minutes. *Frequency of Response:* On occasion. *Estimated Number of Respondents:* 15,000. Dated: March 20, 2007. By direction of the Secretary. Denise McLamb, Program Analyst, Records Management Service. [FR Doc. E7-6029 Filed 3-30-07; 8:45 am] BILLING CODE 8320-01-P DEPARTMENT OF VETERANS AFFAIRS [OMB Control No. 2900-0099] Proposed Information Collection Activity: Proposed Collection; Comment Request AGENCY: Veterans Benefits Administration, Department of Veterans Affairs. ACTION: Notice. SUMMARY: The Veterans Benefits Administration (VBA), Department of Veterans Affairs (VA), is announcing an opportunity for public comment on the proposed collection of certain information by the agency. Under the Paperwork Reduction Act
(PRA)of 1995, Federal agencies are required to publish notice in the **Federal Register** concerning each proposed collection of information, including each proposed extension of a currently approved collection, and allow 60 days for public comment in response to the notice. This notice solicits comments on the information needed to request a change of education program or place of training. DATES: Written comments and recommendations on the proposed collection of information should be received on or before June 1, 2007. ADDRESSES: Submit written comments on the collection of information through *http://www.Regulations.gov* or to Nancy J. Kessinger, Veterans Benefits Administration (20M35), Department of Veterans Affairs, 810 Vermont Avenue, NW., Washington, DC 20420 or e-mail to *nancy.kessinger@va.gov.* Please refer to “OMB Control No. 2900-0099” in any correspondence. During the comment period, comments may be viewed online through the Federal Docket Management System
(FDMS)at *www.Regulations.gov* . FOR FURTHER INFORMATION CONTACT: Nancy J. Kessinger at
(202)273-7079 or FAX
(202)275-5947. SUPPLEMENTARY INFORMATION: Under the PRA of 1995 (Public Law 104-13; 44 U.S.C. 3501-3521), Federal agencies must obtain approval from the Office of Management and Budget
(OMB)for each collection of information they conduct or sponsor. This request for comment is being made pursuant to Section 3506(c)(2)(A) of the PRA. With respect to the following collection of information, VBA invites comments on:
(1)Whether the proposed collection of information is necessary for the proper performance of VBA's functions, including whether the information will have practical utility;
(2)the accuracy of VBA's estimate of the burden of the proposed collection of information;
(3)ways to enhance the quality, utility, and clarity of the information to be collected; and
(4)ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or the use of other forms of information technology. *Title:* Request for Change of Program or Place of Training—Survivors' and Dependents' Educational Assistance, (Under Provisions of Chapter 35, Title 38, U.S.C., VA Form 22-5495). *OMB Control Number:* 2900-0099. *Type of Review:* Extension of a currently approved collection. *Abstract:* Spouses, surviving spouses, or children of veterans who are eligible for Dependent's Educational Assistance, complete VA Form 22-5495 to change their program of education and/or place of training. VA uses the information collected to determine if the new program selected is suitable to their abilities, aptitudes, and interests and to verify that the new place of training is approved for benefits. *Affected Public:* Individuals or households. *Estimated Annual Burden:* 12,646 hours. *Estimated Average Burden per Respondent:* 20 minutes. *Frequency of Response:* On occasion. *Estimated Number of Respondents:* 38,418. Dated: March 23, 2007. By direction of the Secretary. Denise McLamb, Program Analyst, Records Management Service. [FR Doc. E7-6030 Filed 3-30-07; 8:45 am] BILLING CODE 8320-01-P DEPARTMENT OF VETERANS AFFAIRS [OMB Control No. 2900-0021] Proposed Information Collection Activity: Proposed Collection; Comment Request AGENCY: Veterans Benefits Administration, Department of Veterans Affairs. ACTION: Notice. SUMMARY: The Veterans Benefits Administration (VBA), Department of Veterans Affairs (VA), is announcing an opportunity for public comment on the proposed collection of certain information by the agency. Under the Paperwork Reduction Act
(PRA)of 1995, Federal agencies are required to publish notice in the **Federal Register** concerning each proposed collection of information, including each proposed extension of a currently approved collection, and allow 60 days for public comment in response to the notice. This notice solicits comments for information needed to justify the extension of forbearance to the veteran-borrower as opposed to foreclosure. DATES: Written comments and recommendations on the proposed collection of information should be received on or before June 1, 2007. ADDRESSES: Submit written comments on the collection of information through *http://www.Regulations.gov* or to Nancy J. Kessinger, Veterans Benefits Administration (20M35), Department of Veterans Affairs, 810 Vermont Avenue, NW., Washington, DC 20420 or e-mail to *nancy.kessinger@va.gov.* Please refer to “OMB Control No. 2900-0021” in any correspondence. During the comment period, comments may be viewed online through the Federal Docket Management System
(FDMS)at *www.Regulations.gov* . FOR FURTHER INFORMATION CONTACT: Nancy J. Kessinger at
(202)273-7079 or FAX
(202)275-5947. SUPPLEMENTARY INFORMATION: Under the PRA of 1995 (Pub. L. 104-13; 44 U.S.C. 3501-3521), Federal agencies must obtain approval from the Office of Management and Budget
(OMB)for each collection of information they conduct or sponsor. This request for comment is being made pursuant to Section 3506(c)(2)(A) of the PRA. With respect to the following collection of information, VBA invites comments on:
(1)Whether the proposed collection of information is necessary for the proper performance of VBA's functions, including whether the information will have practical utility;
(2)the accuracy of VBA's estimate of the burden of the proposed collection of information;
(3)ways to enhance the quality, utility, and clarity of the information to be collected; and
(4)ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or the use of other forms of information technology. *Titles:* a. Notice of Default, VA Form 26-6850. b. Notice of Default and Intention to Foreclose, VA Form 26-6850a. c. Notice of Intention to Foreclose, VA Form 26-6851. *OMB Control Number:* 2900-0021. *Type of Review:* Extension of a currently approved collection. *Abstract:* Holders of guaranteed loans are required to notify VA within 45 days of a loan default due to nonpayment of any installment for a period of 60 days from the date of the first uncured default. Holders are also required to notify VA of their intention to foreclose. After delivery of such notice to VA and 30 days has passed, the holder can begin court proceedings, give notice of sale under power of sale, or otherwise take steps to terminate the debtor's rights in the security. VA Forms 26-6850 and 26-6851 require that servicing efforts are fully explained so that VA can determine whether supplemental servicing could develop further information to justify the extension of forbearance to the veterans-borrower as opposed to foreclosure. The information provided is used to coordinate the actions of VA and the holder to ensure that all legal requirements regarding foreclosure and claim payment are met. VA Form 26-6850a is filed by holders when defaults are determined insoluble by holders at the time the notice of default is filed with VA This form provides both notice of default and intent to foreclosure together on one form. *Affected Public:* Business or other for profit, and Individuals or households. *Estimated Annual Burden:* 66,166. a. VA Form 26-6850—20,166 hours. b. VA Form 26-6850a—26,000 hours. c. VA Form 26-6851—20,000 hours. *Estimated Average Burden Per Respondent:* a. VA Form 26-6850—10 minutes. b. VA Form 26-6850a—20 minutes. c. VA Form 26-6851—15 minutes. *Frequency of Response:* On occasion. *Estimated Number of Respondents:* 279,000 hours. a. VA Form 26-6850—121,000 hours. b. VA Form 26-6850a—78,000 hours. c. VA Form 26-6851—80,000 hours. Dated: March 23, 2007. By direction of the Acting Secretary. Denise McLamb, Program Analyst, Records Management Service. [FR Doc. E7-6031 Filed 3-30-07; 8:45 am] BILLING CODE 8320-01-P DEPARTMENT OF VETERANS AFFAIRS [OMB Control No. 2900-0251] Proposed Information Collection Activity: Proposed Collection; Comment Request AGENCY: Veterans Benefits Administration, Department of Veterans Affairs. ACTION: Notice. SUMMARY: The Veterans Benefits Administration
(VBA)is announcing an opportunity for public comment on the proposed collection of certain information by the agency. Under the Paperwork Reduction Act
(PRA)of 1995, Federal agencies are required to publish notice in the **Federal Register** concerning each proposed collection of information, including each proposed extension of a currently approved collection, and allow 60 days for public comment in response to the notice. This notice solicits comments for information needed to determine the status of a defaulted loan account. DATES: Written comments and recommendations on the proposed collection of information should be received on or before June 1, 2007. ADDRESSES: Submit written comments on the collection of information through *http://www.Regulations.gov* or to Nancy J. Kessinger, Veterans Benefits Administration (20M35), Department of Veterans Affairs, 810 Vermont Avenue, NW., Washington, DC 20420 or e-mail to *nancy.kessinger@va.gov.* Please refer to “OMB Control No. 2900-0251” in any correspondence. During the comment period, comments may be viewed online through the Federal Docket Management System
(FDMS)at *www.Regulations.gov.* FOR FURTHER INFORMATION CONTACT: Nancy J. Kessinger at
(202)273-7079 or FAX
(202)275-5947. SUPPLEMENTARY INFORMATION: Under the PRA of 1995 (Pub. L. 104-13; 44 U.S.C. 3501-3521), Federal agencies must obtain approval from the Office of Management and Budget
(OMB)for each collection of information they conduct or sponsor. This request for comment is being made pursuant to Section 3506(c)(2)(A) of the PRA. With respect to the following collection of information, VBA invites comments on:
(1)Whether the proposed collection of information is necessary for the proper performance of VBA's functions, including whether the information will have practical utility;
(2)the accuracy of VBA's estimate of the burden of the proposed collection of information;
(3)ways to enhance the quality, utility, and clarity of the information to be collected; and
(4)ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or the use of other forms of information technology. *Title:* Present Status of Loan, VA Form 26-8778. *OMB Control Number:* 2900-0251. *Type of Review:* Extension of a currently approved collection. *Abstract:* VA Form 26-8778 is used to obtain information from servicers regarding the status of defaulted loans. VA will use the data collected to properly service the defaulted loan. *Affected Public:* Business or other for-profit. *Estimated Annual Burden:* 29,167 hours. *Estimated Average Burden per Respondent:* 10 minutes. *Frequency of Response:* On occasion. *Estimated Number of Respondents:* 175,000. Dated: March 23, 2007. By direction of the Secretary. Denise McLamb, Program Analyst, Records Management Service. [FR Doc. E7-6032 Filed 3-30-07; 8:45 am] BILLING CODE 8320-01-P DEPARTMENT OF VETERANS AFFAIRS [OMB Control No. 2900-0379] Agency Information Collection Activities Under OMB Review AGENCY: Veterans Benefits Administration, Department of Veterans Affairs. ACTION: Notice. SUMMARY: In compliance with the Paperwork Reduction Act
(PRA)of 1995 (44 U.S.C. 3501-21), this notice announces that the Veterans Benefits Administration (VBA), Department of Veterans Affairs, has submitted the collection of information abstracted below to the Office of Management and Budget
(OMB)for review and comment. The PRA submission describes the nature of the information collection and its expected cost and burden; it includes the actual data collection instrument. DATES: Comments must be submitted on or before May 2, 2007. ADDRESSES: Submit written comments on the collection of information through *http://www.Regulations.gov;* or to VA's OMB Desk Officer, OMB Human Resources and Housing Branch, New Executive Office Building, Room 10235, Washington, DC 20503
(202)395-7316. Please refer to “OMB Control No. 2900-0379” in any correspondence. FOR FURTHER INFORMATION CONTACT: Denise McLamb, Records Management Service (005G2), Department of Veterans Affairs, 810 Vermont Avenue, NW., Washington, DC 20420,
(202)565-8374, fax
(202)565-7870 or e-mail *denise.mclamb@mail.va.gov.* Please refer to “OMB Control No. 2900-0379.” SUPPLEMENTARY INFORMATION: *Title:* Time Record (Work-Study Program), VA Form 22-8690. *OMB Control Number:* 2900-0379. *Type of Review:* Extension of a currently approved collection. *Abstract:* Training establishments complete VA Form 22-8690 to report the number of work-study hours a claimant has completed. When a claimant elects to receive an advance payment, VA will advance payment for 50 hours, but will withhold benefits (to recoup the advance payment) until the claimant completes 50 hours of service. If the claimant elects not to receive an advance payment, benefits are payable when the claimant completes 50 hours of service. VA uses the data collected to ensure that the amount of benefits payable to a claimant who is pursuing work-study is correct. 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 OMB control number. The **Federal Register** Notice with a 60-day comment period soliciting comments on this collection of information was published on January 24, 2007 at pages 3195-3196. *Affected Public:* State, Local or Tribal Governments, Individuals or households, Business or other for-profit, Not-for-profit institutions, and Federal Government. *Estimated Annual Burden:* 9,168 hours. *Estimated Average Burden per Respondent:* 5 minutes. *Frequency of Response:* On occasion. *Estimated Annual Responses:* 110,010. *Estimated Number of Respondents:* 31,612. Dated: March 26, 2007. By direction of the Secretary. Denise McLamb, Program Analyst, Records Management Service. [FR Doc. E7-6033 Filed 4-2-07; 8:45 am] BILLING CODE 8320-01-P DEPARTMENT OF VETERANS AFFAIRS [OMB Control No. 2900-0262] Agency Information Collection Activities Under OMB Review AGENCY: Veterans Benefits Administration, Department of Veterans Affairs. ACTION: Notice. SUMMARY: In compliance with the Paperwork Reduction Act
(PRA)of 1995 (44 U.S.C. 3501-21), this notice announces that the Veterans Benefits Administration (VBA), Department of Veterans Affairs, has submitted the collection of information abstracted below to the Office of Management and Budget
(OMB)for review and comment. The PRA submission describes the nature of the information collection and its expected cost and burden; it includes the actual data collection instrument. DATES: Comments must be submitted on or before May 2, 2007. ADDRESSES: Submit written comments on the collection of information through *http://www.Regulations.gov;* or to VA's OMB Desk Officer, OMB Human Resources and Housing Branch, New Executive Office Building, Room 10235, Washington, DC 20503
(202)395-7316. Please refer to “OMB Control No. 2900-0262” in any correspondence. FOR FURTHER INFORMATION CONTACT: Denise McLamb, Records Management Service (005G2), Department of Veterans Affairs, 810 Vermont Avenue, NW., Washington, DC 20420,
(202)565-8374, fax
(202)565-7870 or e-mail *denise.mclamb@mail.va.gov.* Please refer to “OMB Control No. 2900-0262.” SUPPLEMENTARY INFORMATION: *Title:* Designation of Certifying Official(s), VA Form 22-8794. *OMB Control Number:* 2900-0262. *Type of Review:* Extension of a currently approved collection. *Abstract:* Educational institutions and job training establishments complete VA Form 22-8794 to provide the name of individuals authorized to certify reports on student enrollment and hours worked on behalf of the school or training facility. VA will use the data collected to ensure that education benefits are not awarded based on reports from someone other than the designated certifying official. 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 OMB control number. The **Federal Register** Notice with a 60-day comment period soliciting comments on this collection of information was published on January 24, 2007 at pages 3195-3196. *Affected Public:* State, Local or Tribal Government, Business or other for-profit, and Not for-profit institutions. *Estimated Annual Burden:* 533 hours. *Estimated Average Burden per Respondent:* 10 minutes. *Frequency of Response:* On occasion. *Estimated Number of Respondents:* 3,200. Dated: March 26, 2007. By direction of the Secretary: Denise McLamb, Program Analyst, Records Management Service. [FR Doc. E7-6034 Filed 3-30-07; 8:45 am] BILLING CODE 8320-01-P 72 62 Monday, April 2, 2007 Notices Part II Department of Health and Human Services Announcement of Availability of Funds for Adolescent Family Life
(AFL)Demonstration Projects; Notice DEPARTMENT OF HEALTH AND HUMAN SERVICES Announcement of Availability of Funds for Adolescent Family Life
(AFL)Demonstration Projects AGENCY: Department of Health and Human Services, Office of the Secretary. *Funding Opportunity Title:* Announcement of Availability of Funds for Adolescent Family Life
(AFL)Demonstration Projects. *CFDA Number:* 93.995. *Announcement Type:* Initial Competitive Grant. DATES: To receive consideration, applications must be received by the Office of Grants Management, Office of Public Health and Science (OPHS), Department of Health and Human Services
(DHHS)c/o WilDon Solutions, Office of Grants Management Operations Center, 1515 Wilson Blvd., Third Floor Suite 310, Arlington, VA 22209, Attention Office Population Affairs/Office of Adolescent Pregnancy Programs no later than 5 p.m. eastern time on June 1, 2007. The application due date requirement in this announcement supercedes the instructions in the OPHS-1 form. *Overview:* The Office of Population Affairs (OPA), Office of Adolescent Pregnancy Programs (OAPP), requests applications for evaluation-intensive Adolescent Family Life
(AFL)prevention demonstration grants, as authorized by Title XX of the Public Health Service
(PHS)Act, 42 U.S.C. 300z. *et seq.* These grants are for prevention demonstration projects to provide and evaluate innovative abstinence education activities and services targeting youth ages 9-18 and their parents. Under this announcement, the OAPP is expecting intensive evaluations of the demonstration projects it supports. To this end, the OAPP is requesting applications from projects that have dedicated 20-25% of the proposed budget to evaluation activities. Applicants that do not propose an intensive evaluation and/or 20-25% of their budget for evaluations activities will receive a low score on the evaluation criterium when reviewed by the external review panel (see “Application Review Information” section). In addition, successful applicants will plan on tracking program participants for at least two years, subject to the availability of funds. An appropriate randomized control design or rigorous quasi-experimental design should be proposed. All AFL prevention demonstration projects must provide “abstinence education” as defined in section 510(b)(2)(A)-(H) of the Title V of the Social Security Act (“the A-H criteria”). Therefore, prevention demonstration projects must clearly and consistently promote premarital abstinence as the only 100% effective way of preventing adolescent pregnancy and sexually transmitted infections (STIs), including HIV/AIDS. Funds will be available for approximately 20 projects, which may be located in any State, the District of Columbia, and United States territories, commonwealths and possessions. Faith-based and community-based organizations are encouraged to apply. These grants are for community-based demonstration projects to find effective means, within the context of the family, to promote premarital abstinence. Abstinence education, delivered through a combination of curricula that conform to the A-H criteria, and supportive activities and services that are proven to motivate youth in healthy decision making, can be an effective way to deliver a clear message that abstinence is the best choice. Supporting parents in their role as the primary educators of their children on issues involving sexuality, particularly the health and social benefits of abstinence, is also an important component of AFL prevention demonstration projects. See headings “Prevention Services” and “Supportive Activities and Services” for additional information. When explaining the rationale for the proposed demonstration model, successful applicants will describe their experience with other youth prevention programs, including experience with state, local or Federal abstinence education grant programs. In particular, successful program models will base their proposed AFL prevention demonstration project on experiences and “lessons learned” from previous youth oriented activities and services. In this funding announcement, the OAPP is placing strong emphasis on the evaluation of the demonstration projects it supports. Applications under this announcement are expected to include a clear and fully developed evaluation plan. The proposed evaluation team's experience, specifically related to conducting program evaluation using randomized experimental or quasi-experimental design, should be stated. A strong evaluation plan should include a commitment and description of capacity to track program participants for at least two years; address both capacity and intent to use the AFL prevention core evaluation instrument; and address both capacity and intent to participate in the cross-site evaluation of the AFL program scheduled to begin in August 2008. Capacity to participate in the cross-site evaluation will entail a rigorous evaluation design, high quality data collection procedures, and the ability to deliver data to OAPP for inclusion in cross-site analyses. Please note, successful applicants will also ensure that program staff are prepared to address issues of sexual coercion and exploitation of young teens. In addition, areas of the country with high incidences of adolescent pregnancy, sexually transmitted infections, poverty rates, as well as existing gaps in services for youth, will receive special consideration. Populations and areas of the country not currently receiving Title XX funding for prevention programs will receive special consideration. If there are multiple applicants from one State, agency collaboration is encouraged. Please note, the Deputy Assistant Secretary for Population Affairs (DASPA) may elect to award one grant per State. Under this announcement, former AFL grantees and AFL prevention grantees currently in their fourth and fifth year of funding are eligible to apply; all other current AFL grantees are considered ineligible. See headings “Prevention Services” and “Supportive Activities and Services” for additional information. I. Funding Opportunity Description Prevention Services Under the Title XX statute, the primary purpose of AFL prevention demonstration programs is to find effective means, within the context of the family, of reaching pre-adolescent and adolescent children before they become sexually active to encourage them to abstain from premarital sexual activity. (The OAPP also encourages reaching out to those adolescents who may have already become sexually active to encourage them to return to abstinence and support them in doing so.) Early initiation of sexual activity brings not only the risk of adolescent pregnancy, but also substantial health risks, primarily STIs, including HIV/AIDS. Adolescent sexual activity is also associated with a host of other problems, such as poor school performance, delinquency, substance use and depression. Prevention demonstration program activities and services must be consistent with the definition of “abstinence education,” as set out in section 510(b)(2)(A)-(H) of Title V of the Social Security Act, as amended. Proposed program activities and services, whether educational or supportive, should address at least one component of this definition. In addition, the program as a whole must adequately address all 8 of the A-H criteria. Please note, acceptable individual activities and services may address one or more of the A-H criteria. (See “A-H Compliance Strategies” chart in the application kit). Under this announcement, “abstinence education” means an educational or motivational program which:
(A)Has as its exclusive purpose, teaching the social, psychological, and health gains to be realized by abstaining from sexual activity;
(B)Teaches abstinence from sexual activity outside marriage as the expected standard for all school age children;
(C)Teaches that abstinence from sexual activity is the only certain way to avoid out-of-wedlock pregnancy, sexually transmitted diseases, and other associated health problems;
(D)Teaches that a mutually faithful monogamous relationship in context of marriage is the expected standard of human sexual activity;
(E)Teaches that sexual activity outside of the context of marriage is likely to have harmful psychological and physical effects;
(F)Teaches that bearing children out-of-wedlock is likely to have harmful consequences for the child, the child's parents, and society;
(G)Teaches young people how to reject sexual advances and how alcohol and drug use increases vulnerability to sexual advances; and
(H)Teaches the importance of attaining self-sufficiency before engaging in sexual activity. Projects must provide services that help pre-adolescents and adolescents acquire knowledge and skills that will instill healthy attitudes, as well as provide services that encourage and support abstinence from premarital sexual activity. Under the statutory requirements of Title XX, applicants for prevention programs are not required to provide any specific array of services. However, OAPP encourages the submission of applications which focus on educational services relating to family life and which teach the social, psychological, and health gains to be realized by abstaining from sexual activity. The legislation also permits a proposal to include any one or more of the following services as appropriate:
(1)Educational services relating to family life and problems associated with adolescent premarital sexual relations including:
(a)Information about adoption,
(b)Education on the responsibilities of sexuality and parenting,
(c)The development of material to support the role of parents as the providers of sex education, and
(d)Assistance to parents, schools, youth agencies and health providers to educate adolescents and pre-adolescents concerning self-discipline and responsibility in human sexuality;
(2)Appropriate educational and vocational services;
(3)Counseling for the immediate and extended family members of the eligible person;
(4)Transportation;
(5)Outreach services to families of adolescents to discourage sexual relations among unemancipated minors; and
(6)Nutrition information and counseling. Supportive Activities and Services In order to remain abstinent until marriage, pre-adolescents and adolescents need to acquire capacity building, coping, and self-sufficiency skills that enable them to remain abstinent in the present and to continue making healthy decisions as they transition into adulthood. Therefore, effective programs take into account how youth physically and emotionally develop and how this translates into appropriate educational and supportive services. In addition to abstinence education, research shows that building upon positive factors (or assets) in the lives of young people protects youth from many risky behaviors, including sexual activity. Strengthening these factors will help motivate youth to remain abstinent from sexual activity. Therefore, successful applicants will propose approaches that will strengthen youth assets and implement activities and services that address the developmental needs of the target population. Such approaches place considerable emphasis on helping youth to develop their assets and to focus on where youth are going, helping them to develop belief in a positive future and belief in their ability to take actions that will achieve that future—and also to avoid actions that will jeopardize it. Some program components typically employed in this approach include mentoring, tutoring, sports, cultural activities, and community service. All aspects of the proposed prevention demonstration project must motivate youth to remain abstinent until marriage, must support and be consistent with the definition of “abstinence education” as set out in the A-H criteria, and must be within the scope of Title XX prevention services. Sexual Exploitation Among young people ages 15 to 24 in 2002, 13 percent of females and 5 percent of males reported that their first sexual experience occurred at age 15 or younger with an individual who was three or more years older. More than one in four children born to mothers between the ages of 15 and 17 were fathered by someone five or more years older. Successful AFL prevention demonstration applicants should thoroughly describe current and proposed efforts to prevent sexual coercion and exploitation of teens by older partners, as well as management and reporting that comply with State reporting laws regarding child sexual abuse, sexual assault (including statutory rape), incest, or family violence. These efforts should include staff training on how to handle abuse/coercion disclosures appropriately, the responsibilities as a mandatory reporter, as well as overall sensitivity to the issue (of nonconsensual sexual activity among youth who otherwise would be abstinent) in program activities, services and curricula. For more information, applicants may access the Child Welfare Information Gateway formerly the National Clearinghouse on Child Abuse and Neglect Information at *http://www.childwelfare.gov.* Parental Involvement Supporting parents in their role as the primary educators of their children on issues involving sexuality, particularly the importance of premarital abstinence, can be an effective way to strengthen a prevention intervention. Research has shown the importance of parental involvement and open communication between parent and child in the prevention of adolescent sexual activity. Parental involvement and communication include monitoring and boundary setting, as well as clearly transmitting values and beliefs. Targeted services and resources that strengthen parental capacity to help their child avoid sexual activity and other risk behaviors can take many forms: Parent workshops or training sessions; education newsletters; home based videos; or homework assignments for parents and children to complete together. Program content should reflect specific needs of the population to be served and might include information on parenting practices, communication skills, family life and problem solving strategies, or adolescent development. It is essential that programs effectively communicate to parents the benefits of abstinence to the health and well-being of their children. All programming for parents must be consistent with the A-H criteria. Helping young people successfully negotiate adolescence and avoid premarital sexual activity, as well as other health risk behaviors, requires not only educating and motivating them—it also requires ensuring that they have adequate support systems to put what they learn into practice. Stronger families, enhanced competencies and meaningful ties to the community can provide considerable assistance in achieving this. To that end, the OAPP strongly encourages applicants to incorporate activities and services that foster youth assets and motivate youth to remain abstinent, and to include components that emphasize strong and viable parental involvement. Curricula Review The grantee shall submit all curricula and educational materials for use in the AFL project, whether currently available or to be developed by the grantee, to the OAPP for review and approval prior to use in the project. The review shall ensure that all the information provided to the program participants is medically accurate; consistent with Title XX policies on religion; in compliance with the statutory prohibitions against advocating, promoting, encouraging, or providing abortions; and consistent with the definition of “abstinence education,” as set out in section 510(b)(2) of Title V of the Social Security Act, as amended. Note: Curricula and educational materials should be identified for this application. Review and approval of curricula and other educational materials are not done until an application is approved for funding. Successful approval of a grant application does not indicate approval of curricula and educational materials for use in a funded project. Goals and Objectives The Office of Adolescent Pregnancy Programs
(OAPP)has two cross-site performance measures for AFL prevention demonstration programs:
(1)Increase the involvement of parents in the lives of their children; and
(2)Increase adolescents' understanding of the positive health and emotional benefits of abstaining from premarital sexual activity. All grantees will be responsible for reporting on these two performance measures by using the required AFL prevention core instrument. The applicant should include two program outcome objectives addressing these two performance measures. Please note, up to four additional programmatic outcome objectives can be proposed using additional data collection instruments. Applications that include measures of program effects at 2-year follow-up on sexual activity are preferred. All programmatic outcome objectives should be encompassed by an overarching program goal. A goal is a general statement of what the project hopes to accomplish. It should reflect the long-term desired impact of the project on the target group(s) as well as reflect the program goals contained in this program announcement. An outcome objective is a statement which defines a measurable result that the project expects to accomplish (e.g., decrease in sexual activity among the treatment group, increase in intent to remain abstinent among the treatment group). All outcome objectives, including the two outcome objectives addressing the above cross-site performance measures, should be described in terms that are specific, measurable, achievable, realistic, and time-framed (S.M.A.R.T.). *S* pecific: An objective should specify one major result directly related to the program goal, state who is going to be doing what, to whom, by how much, and in what time-frame. It should specify what will be accomplished and how the accomplishment will be measured. *M* easurable: An objective should be able to describe in realistic terms the expected results and specify how such results will be measured. *A* chievable: The accomplishment specified in the objective should be achievable within the proposed time line and as a direct result of program activities and services. *R* ealistic: The objective should be reasonable in nature. The specified outcomes, expected results, should be described in realistic terms. *T* ime-framed: An outcome objective should specify a target date or time for its accomplishments. It should state who is going to be doing what, by when, etc. The Public Management Institute, *How to Get Grants* (1981). Intensive Evaluation Effort Section 2006(b)(1) of Title XX requires each grantee to expend at least one percent, but not more than five percent, of the Federal funds received under Title XX on evaluation of the project. In cases in which a more rigorous or comprehensive evaluation effort is proposed, waivers of the five percent limit on evaluation may be granted by OAPP (see sec. 2006(b)(1)). This is the fourth funding cycle in which the OAPP is placing strong emphasis on the evaluation of the demonstration projects it supports. To that end, it is continuing to request applications for evaluation-intensive projects, and *will waive* the five percent limit on grant funds for those projects. Under this announcement, the OAPP is requesting applications for evaluation-intensive projects that have a strong evaluation design and evaluation plan utilizing 20-25% of total grant funds. In addition, OAPP strongly encourages applicants to be able to track program participants for at least two years and to propose a randomized control design in evaluating project outcomes. Commensurate with this increased funding for evaluation, the OAPP expects applications to include a clear and fully developed evaluation plan. Evaluation plans that are not evaluation-intensive, according to the following criteria, will be scored accordingly during the grant review process. 1. Evaluations will be directly tied to program objectives and displayed in a logic model. Research hypotheses will be clearly stated and reflect the outcomes the program intends to achieve. 2. Evaluations will include a process or implementation evaluation. Evaluations in their first year will focus on determining that the intervention is in place, that it is adequately and appropriately staffed and that it is reaching its intended population. 3. Evaluations will have a viable comparison strategy. Ideally, a true experimental design with random assignment will be proposed. For programs targeting schools, applicants are encouraged to select a pool of schools as potential program sites and include data, in the application, describing the characteristics of each school. Applicants are also encouraged to submit letters from each school principal committing to participate in the evaluation if their school is randomly assigned to either the treatment or control group. In cases where an experimental design is not possible, a rigorous quasi-experimental design with matched comparison group(s) would be acceptable. 4. Evaluations will have sufficient sample size to ensure that any observed differences between groups are statistically significant. Inclusion of power analysis to support the sample size is recommended. 5. Evaluations will measure dosage. Youth participation and use of various service components must be carefully tracked so that any differences can be corrected for, or at least taken into account in discussion of evaluation results. Treatment and comparison group respondents who complete baseline data collection should be re- surveyed in order to allow for 2 or more years of follow-up (wherever possible). 6. Evaluations will include evaluation training activities for program staff and specific data collection procedures for the research assistant. It is expected that a research assistant will be budgeted as part of the program staff to handle data collection procedures. 7. Evaluations will employ adequate data collection procedures. They will include the assurance of confidentiality, obtaining active parental consent and client assent to participate in the survey, and planning for survey administration that minimizes bias. 8. Evaluations will employ appropriate analytic methods. 9. Evaluations will include a follow-up assessment of program participants at least six months after the intervention being tested ends. Including follow-up at 12 months and 24 months after baseline data collection will greatly strengthen an application. This follow-up assessment should be in the same format as the pre- and post-testing instrumentation. 10. Evaluations will include a plan to disseminate and publish the evaluation findings by the end of the fifth year of funding. Section 2006(b)(2) of Title XX requires that evaluations of AFL demonstration projects be conducted by an organization or entity independent of the grantee providing services. To accomplish this, applicants should collaborate with an evaluator affiliated with a college or university located in their State. The OAPP expects each AFL demonstration project to establish a strong relationship with its evaluator and that this relationship be clearly established prior to funding. The successful applicant will work with the evaluator as the application is being prepared to ensure that the evaluation plan addresses the proposed project's goals and objectives and meets the evaluation criteria specified above. A letter of commitment from the evaluator along with his or her curriculum vitae should be included in the appendix of the application. Successful applicants will select an evaluator with experience in tracking participants long-term and conducting random assignment. The AFL Prevention Core evaluation instruments have been developed for use in AFL prevention demonstration project evaluations. The prevention instruments were designed to reflect requirements in the Title XX statute, the A-H criteria for abstinence education, and the two OAPP cross-site performance measures. The Office of Management and Budget has approved these instruments and all AFL demonstration projects funded in fiscal year 2004 and beyond are required to include them in their evaluation design. Prevention demonstration projects funded under this announcement will be included in this requirement. The OAPP recognizes that additional instruments are necessary to measure additional outcome objectives proposed and encourages their use to supplement the core instrument. Copies of the AFL Prevention core instruments required for use in these projects can be found at: *http://opa.osophs.dhhs.gov/titlexx/coreinstruments/* . Please note that these instruments may be revised by OAPP to incorporate future improvements. Another important component of OAPP's focus on evaluation is the planning and preparation for a formal cross-site evaluation of AFL demonstration projects. It is anticipated that data collection for the cross-site evaluation, employing the core evaluation instruments discussed above, will begin in August 2008. Projects funded under this announcement will be part of the pool to be included in the cross-site evaluation. Successful applicants will address both capacity and intent to participate in this cross-site evaluation. All proposed prevention demonstration applicants should provide information regarding the evaluation outcomes of previous programs and should discuss how these findings relate to the currently proposed demonstration model. Previous applicant experience with youth services and “lessons learned” from these programs should be included. II. Award Information This notice announces the availability of $7.5 million to support an estimated 20 new prevention demonstration grants, funded at $300,000 to $400,000 per budget year (maximum five budget years per grant cycle). Any application that proposes funding over the maximum of $400,000 will not be considered. The OAPP expects that 20-25% of the budget be allotted for evaluation activities. Funding for all approved budget periods beyond the first year of the grant is contingent upon the availability of funds, satisfactory progress of the project, and adequate stewardship of Federal funds. Please note, in fiscal year
(FY)2004, OAPP issued a similar Request for Applications
(RFA)announcing approximately $3.5 million for new abstinence education prevention demonstration projects. In response to that RFA, OAPP received 161 grant applications and was able to fund only 14 new projects. III. Eligibility Information 1. Eligible Applicants Any public or private nonprofit organization or agency is eligible to apply for a grant. However, only those organizations or agencies that demonstrate the capability of providing and thoroughly evaluating the proposed services and which meet the statutory requirements will be considered for grant awards. Faith-based and community-based organizations are encouraged to apply for AFL grants. Please note, however, that AFL funds may not be used for inherently religious activities, such as worship, religious instruction, and proselytization. If an organization engages in such activities, they must be offered separately in time or location from the program funded under the AFL program and participation must be voluntary for program beneficiaries. An AFL program, in providing services and outreach related to program services, cannot discriminate against current or prospective program beneficiaries on the basis of religion, a religious belief, a refusal to hold a religious belief, or a refusal to actively participate in a religious practice. Please also note that all adolescents, regardless of race or religion, shall be eligible to participate in an AFL program. Applications will be accepted from organizations which are currently operating AFL prevention demonstration programs that are completing their funding cycle as of September 2007, or June 2008, if modifications are made to enhance services for a new demonstration project according to the guidelines specified in this announcement. Current AFL prevention demonstration grantees that are not ending their grant cycles by these dates are not eligible to apply for these funds. 2. Cost Sharing Applicants funded under this announcement will be required to match Federal funding provided by the OAPP. Section 2005(c)(2) of Title XX states that an AFL grant award may not exceed 70% of the total costs of the project for the first and second years, 60% of the total costs for the third year, 50% for the fourth year and 40% for the fifth year. The AFL non-Federal share of the project costs may be provided in cash expenditures or fairly evaluated in-kind contributions, including facilities, equipment and services. Note that the HHS Grants Policy Statement provides that: “Recipient contributions may be derived from any non-Federal source; from Federal sources if received as fees, payments, or reimbursements for the provision of a specific service, such as patient care reimbursements received under Medicare or Medicaid; or from other program income, if authorized by [HHS]. Otherwise, unless there is specific statutory authority, Federal funds may not be used to match HHS grant funds.” IV. Application and Submission Information 1. Address To Request Application Package Application kits may be obtained by accessing Grants.gov at *http://www.grants.gov* or the Grant Solutions system at *http://www.GrantSolutions.gov.* To obtain a hard copy of the application kit, contact WilDon Solutions at 1-888-203-6161. Applicants may fax a written request to WilDon Solutions at
(240)453-8823 or e-mail the request to *OPHSgrantinfo@teamwildon.com* . Applications must be prepared using Form OPHS-1, which can be obtained at the Web sites noted above. 2. Content and Form of Application Submission In preparing the application, it is important to follow ALL instructions and public policy requirements provided in the application kit. Applications must be submitted on the forms supplied (OPHS-1, Revised 03/2006) and in the manner prescribed in the application kits provided by the OAPP. Applicants are required to submit an application signed by an individual authorized to act for the applicant agency or organization and to assume for the organization the obligations imposed by the terms and conditions of the grant award. The program narrative must be printed on 8 1/2 by 11 inch white paper, with one-inch margins, double-spaced with an easily readable 12-point font. All pages must be numbered sequentially not including appendices and required forms. The program narrative should not exceed 50 double-spaced pages, not including appendices and required forms. All pages, figures and tables must be numbered sequentially. Do not staple or bind the application package. Use rubber bands or clips. The narrative description of the project must contain the following using the specified page limits: *One-page Summary:* Briefly provide a statement of the proposed demonstration project indicating that it is a prevention demonstration project and whether it is for a local or statewide project; type of organization applying (school, state agency, voluntary agency, etc.); geographic area to be served (urban, rural, suburban); description of target population to be served; brief description of the proposed prevention demonstration project; and brief description of the evaluation-intensive design. *Description of Applicant Organization (1-2 pages):* Describe the decision-making authority and structure (e.g. relationship to the Board of Directors and organizational chart), its resources, experience, existing program units and/or those to be established if funding is obtained. This description should cover personnel, time and facilities and contain evidence of the organization's capacity to provide the rapid and effective use of resources needed to conduct the project, collect necessary data and evaluate it. It is recommended that applicants place an organizational chart in the Appendices. *Need Statement (3 pages):* Describe the need for prevention services in the proposed target area by describing the geographic area to be served. Document the incidence of adolescent pregnancy, sexually transmitted infections, a description of socio-economic conditions including income levels, existing services and unmet needs in the proposed service area. If the proposed population has unique challenges and barriers, these should be addressed as well. *Rationale (2-4 pages):* Describe the rationale for use of the proposed approach based upon previous practice and review of the literature and/or evaluation findings. This section should include discussion of previous youth service experience and how lessons learned from this experience helped develop the rationale for the proposed demonstration model. All previous AFL grantees should clearly describe their program and evaluation experience as it relates to past AFL funding. *Program Outcome Objectives (4 pages):* Provide a goal and 4-6 outcome objectives that clearly state expected results or benefits of the demonstration project. Two of the outcome objectives must address the required OAPP cross-site performance measures. Objectives should be specific, measurable, achievable, realistic, and time-framed. Please see “Evaluation” section for more information. *Prevention Services Demonstration Model (8-10 pages):* Thoroughly describe proposed program intervention activities and services as they relate to the outcome objectives by describing the project logic model. This section should include a description of all proposed curricula, types of supportive asset building and youth development activities and services proposed as part of the model, and a description of the parental involvement component. It should also include a clear plan for recruitment and retention of program participants, including parents. This description should clearly relate to program objectives and should address intensity of services (dosage). All components of the intervention must be consistent with the A-H definition of abstinence education. How the project will address the issue of sexual exploitation and coercion should also be included. *Workplan and Timetable (1 page):* Provide a year long detailed work plan and timetable for the first year. Within this plan include each program activity associated with the project and the proposed time frame for the start and completion of each activity. A separate and more generalized work plan should be included in the appendices for the 2nd and 3rd year of program implementation. *Numbers and Types of Participants (2 pages):* Provide estimates of who the project will serve and how many will be participating in the proposed demonstration project. Please describe how many participants are expected to participate during the first year and break out the types of participants into categories (e.g. pre-adolescents, adolescents and parents), including the race and ethnicity of participants to be served. *Documentation of Community Support and Commitment (1-2 pages):* Provide documentation of the support from other community agencies. If a community agency is partnering with the applicant to implement the proposed prevention demonstration project, a letter of commitment detailing the level of effort and commitment to this effort must be included. *Continuation Funding (1 page):* Describe the plan regarding continuation of services at the termination of this Federal funding opportunity. The OAPP cannot guarantee that funding will be available annually or at the end of the five-year grant cycle. *Evaluation Plan (15-20 pages):* Provide a clear and fully developed evaluation plan in accordance with the criteria laid out under the “Evaluation” section of this announcement. Include a letter of commitment and curriculum vitae from the independent evaluator in the appendices, how the AFL prevention core instruments will be included in the evaluation plan, and the understanding of the proposed project, if funded by OAPP, will participate in a formal cross site evaluation of the AFL program. Applicants are encouraged to identify anticipated problems with the evaluation and recommended solutions. Inclusion of a proposed 2-year follow-up based on randomized assignment will greatly strengthen an applicant's evaluation plan. *Appendices:* Include:
(1)Articles of incorporation and mission statement for private nonprofit organizations;
(2)Resumes of key staff and detailed position descriptions;
(3)A program logic model that ties project objectives and intervention activities and services to expected results;
(4)A description of how the A-H criteria are addressed in the project curricula and supportive activities and services in chart format (see “A-H Compliance Strategies” chart in the application kit for a suggested format);
(5)A description of how the project will obtain parental consent including a copy of the proposed parental consent form, if developed;
(6)Letters of commitment from partnering agencies;
(7)Letters of support from other community agencies;
(8)A letter of commitment and/or a memorandum of understanding with the independent evaluator affiliated with a college or university located in the applicant's State that includes willingness to participate and their role(s) described;
(9)A copy of the curriculum vitae of the independent evaluator;
(10)Copies of the table of contents of the proposed curricula, plus a list of any other instructional materials that will be an integral part of the proposed project; and
(11)the workplan and timetable for years 2 and 3 of the proposed project. Please note, applicants must be familiar with Title XX in its entirety to ensure that they have complied with all applicable requirements. In addition, applicants must incorporate the definition of “abstinence education,” as set out in section 510(b)(2) of Title V of the Social Security Act, as amended, and ensure program activities and services are consistent and supportive of this language. A copy of both sets of legislation is included in the application kit. A Dun and Bradstreet Universal Numbering System
(DUNS)number is required for all applications for Federal assistance. Organizations should verify that they have a DUNS number or take the steps necessary to obtain one. Instructions for obtaining a DUNS number are included in the application package, and may be downloaded from the OPA Web site ( *opa.osophs.dhhs.gov/duns.html* ). 3. Submission Dates and Times To be considered for review, applications must be received by the Office of Public Health and Science, Office of Grants Management, c/o WilDon Solutions, by 5 p.m. Eastern Time on June 1, 2007. Applications will be considered as meeting the deadline if they are received on or before the deadline date. The application due date requirement in this announcement supercedes the instructions in the OPHS-1 form. Submission Mechanisms The Office of Public Health and Science
(OPHS)provides multiple mechanisms for the submission of applications, as described in the following sections. Applicants will receive notification via mail from the OPHS Office of Grants Management confirming the receipt of applications submitted using any of these mechanisms. Applications submitted to the OPHS Office of Grants Management after the deadlines described below will not be accepted for review. Applications which do not conform to the requirements of the grant announcement will not be accepted for review and will be returned to the applicant. While applications are accepted in hard copy, the use of the electronic application submission capabilities provided by the Grants.gov and GrantSolutions.gov systems is encouraged. Applications may only be submitted electronically via the electronic submission mechanisms specified below. Any applications submitted via any other means of electronic communication, including facsimile or electronic mail, will not be accepted for review. In order to apply for new funding opportunities which are open to the public for competition, you may access the Grants.gov Web site portal. All OPHS funding opportunities and application kits are made available on Grants.gov. If your organization has/had a grantee business relationship with a grant program serviced by the OPHS Office of Grants Management, and you are applying as part of ongoing grantee related activities, please access GrantSolutions.gov. Electronic grant application submissions must be submitted no later than 5 p.m. Eastern Time on the deadline date specified in the DATES section of the announcement using one of the electronic submission mechanisms specified below. All required hardcopy original signatures and mail-in items must be received by the OPHS Office of Grants Management, c/o WilDon Solutions (1101 Wootton Parkway, Suite 550, Rockville, MD 20852) no later than 5 p.m. Eastern Time on the next business day after the deadline date specified in the DATES section of the announcement. Applications will not be considered valid until all electronic application components, hardcopy original signatures, and mail-in items are received by the OPHS Office of Grants Management according to the deadlines specified above. Application submissions that do not adhere to the due date requirements will be considered late and will be deemed ineligible. Applicants are encouraged to initiate electronic applications early in the application development process, and to submit early on the due date or before. This will aid in addressing any problems with submissions prior to the application deadline. Electronic Submissions via the Grants.gov Web Site Portal The Grants.gov Web site Portal provides organizations with the ability to submit applications for OPHS grant opportunities. Organizations must successfully complete the necessary registration processes in order to submit an application. Information about this system is available on the Grants.gov Web site, *http://www.grants.gov* . In addition to electronically submitted materials, applicants may be required to submit hard copy signatures for certain Program related forms, or original materials as required by the announcement. It is imperative that the applicant review both the grant announcement, as well as the application guidance provided within the Grants.gov application package, to determine such requirements. Any required hard copy materials, or documents that require a signature, must be submitted separately via mail to the OPHS Office of Grants Management, c/o WilDon Solutions, and if required, must contain the original signature of an individual authorized to act for the applicant agency and the obligations imposed by the terms and conditions of the grant award. When submitting the required forms, do not send the entire application. Complete hard copy applications submitted after the electronic submission will not be considered for review. Electronic applications submitted via the Grants.gov Web site Portal must contain all completed online forms required by the application kit, the Program Narrative, Budget Narrative and any appendices or exhibits. All required mail-in items must received by the due date requirements specified above. Mail-in items may only include publications, resumes, or organizational documentation. When submitting the required forms, do not send the entire application. Complete hard copy applications submitted after the electronic submission will not be considered for review. Upon completion of a successful electronic application submission via the Grants.gov Web site Portal, the applicant will be provided with a confirmation page from Grants.gov indicating the date and time (Eastern Time) of the electronic application submission, as well as the Grants.gov Receipt Number. It is critical that the applicant print and retain this confirmation for their records, as well as a copy of the entire application package. All applications submitted via the Grants.gov Web site Portal will be validated by Grants.gov. Any applications deemed “Invalid” by the Grants.gov Web site Portal will not be transferred to the GrantSolutions system, and OPHS has no responsibility for any application that is not validated and transferred to OPHS from the Grants.gov Web site Portal. Grants.gov will notify the applicant regarding the application validation status. Once the application is successfully validated by the Grants.gov Web site Portal, applicants should immediately mail all required hard copy materials to the OPHS Office of Grants Management, c/o WilDon Solutions, to be received by the deadlines specified above. It is critical that the applicant clearly identify the Organization name and Grants.gov Application Receipt Number on all hard copy materials. Once the application is validated by Grants.gov, it will be electronically transferred to the GrantSolutions system for processing. Upon receipt of both the electronic application from the Grants.gov Web site Portal, and the required hardcopy mail-in items, applicants will receive notification via mail from the OPHS Office of Grants Management confirming the receipt of the application submitted using the Grants.gov Web site Portal. Applicants should contact Grants.gov regarding any questions or concerns regarding the electronic application process conducted through the Grants.gov Web site Portal. Electronic Submissions via the GrantSolutions System OPHS is a managing partner of the GrantSolutions.gov system. GrantSolutions is a full life-cycle grants management system managed by the Administration for Children and Families, Department of Health and Human Services (HHS), and is designated by the Office of Management and Budget
(OMB)as one of the three Government-wide grants management systems under the Grants Management Line of Business initiative (GMLoB). OPHS uses GrantSolutions for the electronic processing of all grant applications, as well as the electronic management of its entire Grant portfolio. When submitting applications via the GrantSolutions system, applicants are required to submit a hard copy of the application face page (Standard Form 424) with the original signature of an individual authorized to act for the applicant agency and assume the obligations imposed by the terms and conditions of the grant award. If required, applicants will also need to submit a hard copy of the Standard Form LLL and/or certain Program related forms (e.g., Program Certifications) with the original signature of an individual authorized to act for the applicant agency. When submitting the required forms, do not send the entire application. Complete hard copy applications submitted after the electronic submission will not be considered for review. Electronic applications submitted via the GrantSolutions system must contain all completed online forms required by the application kit, the Program Narrative, Budget Narrative and any appendices or exhibits. The applicant may identify specific mail-in items to be sent to the Office of Grants Management separate from the electronic submission; however these mail-in items must be entered on the GrantSolutions Application Checklist at the time of electronic submission, and must be received by the due date requirements specified above. Mail-in items may only include publications, resumes, or organizational documentation. When submitting the required forms, do not send the entire application. Complete hard copy applications submitted after the electronic submission will not be considered for review. Upon completion of a successful electronic application submission, the GrantSolutions system will provide the applicant with a confirmation page indicating the date and time (Eastern Time) of the electronic application submission. This confirmation page will also provide a listing of all items that constitute the final application submission including all electronic application components, required hardcopy original signatures, and mail-in items, as well as the mailing address of the OPHS Office of Grants Management where all required hard copy materials must be submitted. As items are received by the OPHS Office of Grants Management, the electronic application status will be updated to reflect the receipt of mail-in items. It is recommended that the applicant monitor the status of their application in the GrantSolutions system to ensure that all signatures and mail-in items are received. Mailed or Hand-Delivered Hard Copy Applications Applicants who submit applications in hard copy (via mail or hand-delivered) are required to submit an original and two copies of the application. The original application must be signed by an individual authorized to act for the applicant agency or organization and to assume for the organization the obligations imposed by the terms and conditions of the grant award. Mailed or hand-delivered applications will be considered as meeting the deadline if they are received by the OPHS Office of Grant Management, c/o WilDon Solutions, on or before 5 p.m. Eastern Time on the deadline date specified in the DATES section of the announcement. The application deadline date requirement specified in this announcement supersedes the instructions in the OPHS-1. Applications that do not meet the deadline will be returned to the applicant unread. 4. Intergovernmental Review Applications for AFL grants must meet both of the following requirements (each year): *(1) Requirements for Review of an Application by the Governor.* Section 2006(e) of Title XX requires that each applicant shall provide the Governor of the State in which the applicant is located a copy of each application submitted to OAPP for a grant for a demonstration project for services under this Title. The Governor has 60 days from the receipt date in which to provide comments to the applicant. An applicant may comply with this requirement by submitting a copy of the application to the Governor of the State in which the applicant is located at the same time the application is submitted to OAPP. To inform the Governor's office of the reason for the submission, a copy of this notice should be attached to the application. *(2) Requirements for Review of an Application Pursuant to Executive Order 12372 (SPOC Requirements).* Applications under this announcement are subject to the review requirements of E.O. 12372, “Intergovernmental Review of Federal Programs,” as implemented by 45 CFR part 100, “Intergovernmental Review of Department of Health and Human Services Programs and Activities.” E.O. 12372 sets up a system for state and local government review of proposed Federal assistance applications. As soon as possible, the applicant (other than federally-recognized Indian tribal governments) should contact the State Single Point of Contact
(SPOC)for each state in the area to be served. The application kit contains the currently available listing of the SPOCs which have elected to be informed of the submission of applications. For those states not represented on the listing, further inquiries should be made by the applicant regarding submission to the relevant SPOC. Information about the SPOC is located on the OMB Web site *http://www.whitehouse.gov/omb/grants/spoc/html.* The SPOC's comment(s) should be forwarded to the OPHS Office of Grants Management, 1101 Wootton Parkway, Suite 550, Rockville, MD 20852. The SPOC has 60 days from the closing date of this announcement to submit any comments. 5. Funding Restrictions *Budget Request:* If the total federal amount requested exceeds $400,000 then the application will be considered non-responsive and will not be entered into the review process. The application will be returned with notification that it did not meet the submission requirements. Grant funds may be used to cover costs of: Personnel, consultants, equipment, supplies, grant-related travel, and other grant-related costs. Grant funds may not be used for: building alterations or renovations, construction, fund raising activities, and political education and lobbying. Guidance for completing the application can be found in the Program Guidelines, which are included with the complete application kits. Applicants for discretionary grants are expected to anticipate and justify their funding needs and the activities to be carried out with those funds in preparing the budget and accompanying narrative portions of their applications. The basis for determining the allowability and allocability of costs charged to Public Health Service
(PHS)grants is set forth in 45 CFR parts 74 and 92. If applicants are uncertain whether a particular cost is allowable, they should contact the OPHS Office of Grants Management at
(240)453-8822 for further information. 6. Other Submission Requirements Organizations applying for funds under the AFL Demonstration Projects Program must submit documentation of nonprofit status with their applications. If documentation is not provided, the applicant will be considered non-responsive and will not be entered into the review process. The organization will be notified that the application did not meet the submission requirements. Any of the following serves as acceptable proof of nonprofit status: • A reference to the applicant organization's listing in the Internal Revenue Service
(IRS)most recent listing of tax-exempt organizations described in section 501(c)(3) of the IRS Code. • A copy of a currently valid IRS tax exemption certificate. • A statement from a State taking body, State Attorney General, or other appropriate State official certifying that the applicant organization has a nonprofit status and that none of the net earnings accrue to any private shareholders or individuals. • A certified copy of the organization's certificate of incorporation or similar document that clearly establishes nonprofit status. • Any of the above proof for a State or national organization and a statement signed by the parent organization that the applicant organization is a local nonprofit affiliate. V. Application Review Information 1. Criteria Eligible competing grant applications will be externally reviewed by a multi-disciplinary panel of independent reviewers and subsequently reviewed by Federal staff. All competing grant applications will be assessed according to the following criteria:
(1)*Evaluation Plan.* The applicant's presentation of a detailed evaluation plan, as described in the “Evaluation” section of this announcement, that is directly tied to program objectives and includes: A process or implementation evaluation; a viable comparison strategy; sufficient sample size; measurement of dosage; appropriate data collection procedures; appropriate multivariate analytic methods; a plan to ensure adequate response rates among both treatment and comparison group respondents at all waves of data collection; and a plan for disseminating findings by the fifth year of funding, including submission to peer-reviewed journals. Additionally, discuss how the AFL core evaluation instruments will be included in the evaluation plan, and the applicant's commitment to participate in a formal cross-site evaluation of the AFL program. Demonstrate the evaluator's capacity to conduct the evaluation and disseminate the findings. (35 points)
(2)*Program Model.* The applicant's presentation of a theory-based rational for the proposed approach that includes current literature on how youth remain abstinent from sexual activity and are supported in this decision. Based on this rationale, the thorough description of the proposed program model (or approach) should include the applicant's clear statement of mission, goals, measurable outcome objectives, and a thorough description of the reasonable methods for achieving the objectives (program activities), including a reasonable workplan and timetable. The program model should also include a clear description of the parent component, as well as how the program will address the issue of potential sexual exploitation of youth through insuring appropriate staff training and pertinent program materials. All educational and supportive activities and services proposed in this project should address and support the A-H abstinence education definition, and be consistent with the Title XX statute. A description in the narrative as well as a complete chart in the appendices (example included in application kit) of how the program model will incorporate A-H in the educational and supportive activities and services should be included. (25 points)
(3)*Need for Project.* The applicant's presentation of the need for the project, including incidence of adolescent pregnancy, sexually transmitted infections, a description of socio-economic conditions, existing services and unmet needs in the proposed service area. If the proposed population has unique challenges and barriers, the applicant's description of these challenges and barriers should be addressed here. (10 points)
(4)*Target Population.* The applicant's clear description of the target population to be served, including estimated number and types of participants to be served in the first year. In addition, the applicant must demonstrate the program staff's responsiveness in effectively serving the target population, including staff training. The recruitment and retention plan of the target population should be detailed and realistic. Incentive strategies and tracking mechanisms for participants who may drop out of the project should also be adequately addressed. (10 points)
(5)*Program Capacity and Past Experience.* The applicant's clear description of the capacity to implement the program, including personnel and other resources. The applicant's presentation of experience and expertise in providing programs for youth as related to capacity and how it is linked to the rationale behind the proposed demonstration model. (10 points)
(6)*Community Support.* The applicant's clear description of the community commitment to, and involvement in, planning and implementation of the project, as demonstrated by letters of commitment and willingness to participate in the project's implementation, acceptance of referrals, etc. The applicant should clearly present commitment and/or memorandums of agreement from proposed project partners in the appendices. (10 points) Please note, the order of the above criteria is based on the score weight of each criteria and is not indicative of how the program narrative should be arranged. Please see the application kit for instructions on how to arrange the narrative. 2. Review and Selection Process Final grant award decisions will be made by the Deputy Assistant Secretary for Population Affairs (DASPA). In making these decisions, the DASPA will take into account the extent to which applications recommended for approval will provide appropriate geographic distribution of resources, the priorities in sec. 2005(a), and other factors including:
(1)Recommendations and scores submitted by the external review panel;
(2)Internal review of application by Federal staff;
(3)The geographic area to be served including the reasonableness of the estimated cost of the project based on factors such as the incidence of adolescent pregnancy and Sexually Transmitted Diseases
(STDs)in the geographic area to be served and the availability of services for adolescents in this geographic area; and
(4)The adequacy of the evaluation plan as detailed in the evaluation criteria listed in the “Evaluation” section of this announcement and the demonstrated ability to participate successfully in the AFL cross-site evaluation. Special consideration may be granted to areas of the country with high need and lack of resources, as well as populations not currently receiving Title XX funding for prevention programs. The DASPA has the discretion not to fund applicants in States or areas of the country that are already funded under the Title XX program. If there are multiple applicants in one State, agency collaboration is encouraged. Please note, the DASPA may elect to award one grant per State. 3. Anticipated Announcement and Award The OAPP anticipates announcing and awarding grantees under this announcement by September 1, 2007. VI. Award Administration Information 1. Award Notices The OAPP does not release information about individual applications during the review process until final funding decisions have been made. When these decisions have been made, the applicant's authorized representative will be notified of the outcome of their application by postal mail. The official document notifying an applicant that the application has been approved for funding is the Notice of Grant Award, signed by the Grants Management Officer, which specifies to the grantee the amount of money awarded, the purposes of the grant, the length of the project period, terms and conditions of the grant award, and the amount of funding to be contributed by the grantee to project costs. 2. Administrative and National Policy Requirements The regulations set out at 45 CFR parts 74 and 92 are the Department of Health and Human Services
(HHS)rules and requirements that govern the administration of grants. Part 74 is applicable to all recipients except those covered by Part 92, which governs awards to State and local governments. Applicants funded under this announcement must be aware of and comply with these regulations. The CFR volume that includes parts 74 and 92 may be downloaded from *http://www.access.gpo.gov/nara/cfr/waisidx_03/45cfrv1_03.html.* When issuing statements, press releases, requests for proposals, bid solicitations, and other documents describing projects or programs funded in whole or in part with Federal money, all grantees shall clearly state the percentage and dollar amount of the total costs of the program or project which will be financed with Federal money and the percentage and dollar amount of the total costs of the project or program that will be financed by non-governmental sources. 3. Reporting Requirements Applicants funded under this grant announcement will be required to electronically submit an End-of-Year Program, Evaluation and Financial report 90 days after the grant budget period ends. Grantees will report annually on program and evaluation progress using the AFL Prevention Demonstration Project End-of-Year Report template approved by the Office of Management and Budget (OMB 0990-300), available at *http://opa.osophs.dhhs.gov/titlexx/eoy/eoy-prevention-report-template.pdf.* Grantees are required to submit a continuation application to renew funding for the next budget period before the project period ends. VII. Agency Contacts Administrative and Budgetary Contacts Requirements For application kits, submission of applications, and information on budget and business aspects of the application, please contact: WilDon Solutions, Office of Grants Management Operations Center, 1515 Wilson Blvd., Third Floor Suite 310, Arlington, VA 22209 at 1-888-203-6161, e-mail *OPHSgrantinfo@teamwildon.com* , or fax 703-351-1138. Program Contacts Requirements For information related to the OAPP program requirements, the OAPP staff are available at 240-453-2828 to answer questions and provide technical assistance on the preparation of grant applications. Questions may also be directed to OAPP staff via e-mail at *oapp@hhs.gov.* If contacting OAPP by e-mail, please include the phrase “AFL Prevention Question” in the subject heading. VIII. Other Information Protection of Human Subjects Regulations The applicant must comply with the HHS Protection of Human Subjects regulations (which require obtaining Institutional Review Board approval), set out at 45 CFR part 46, if applicable. General information about Human Subjects regulations can be obtained through the Office for Human Research Protections
(OHRP)at *http://www.hhs.gov/ohrp, ohrp@osophs.dhhs.gov* , or toll free at 866-447-4777. Technical Assistance The OAPP is committed to providing technical assistance to assist prospective applicants at no cost. The OAPP anticipates offering in-person technical assistance workshops at several locations across the country and two interactive on-line/teleconference workshops to provide such assistance. These one-day workshops will assist the public in learning more about the purposes and requirements of the Title XX program, the application process, budgeting information, and considerations that might help to improve the quality of grant applications. The OAPP encourages applicants to have appropriate agency staff members and a financial representative participate in one of the workshops. In order to participate in the online/teleconferencing workshops, participants must have a computer with internet access and a telephone. Participants will be able to ask questions and receive pertinent feedback during one of these workshops via the computer. With respect to both the in-person and interactive online workshops, applicants should check the OPA Web site at *http://opa.osophs.dhhs.gov.* All participants must pre-register for the workshops using the form at *http://opa/osophs.dhhs.gov.* Participants that do not have access to the Internet may call the OAPP at 240-453-2828 to request a registration form. Written requests for registration forms may be faxed to 240-453-2829. Completed registration forms should be faxed to ATTN: OAPP RFA Workshop at 240-453-2829, or you may insert OAPP RFA Workshop into the subject line and e-mail the form to *oapp@hhs.gov.* Upon receipt of the applicant's request, the specific workshop information and logistical information will be faxed or emailed for the workshop specified by the participant. The OAPP anticipates conducting four in-person technical workshops as well as two live interactive online workshops in April, 2007. If a prospective applicant cannot attend the live or interactive online workshops, the transcripts of the online workshops will be available online at *http://opa.osophs.dhhs.gov* until the closing of this announcement. Applicants should visit the OPA Web site *http://opa.osophs.dhhs.gov* for further information on location, dates, and times or call 240-453-2828. Annual Conference and Regional Technical Assistance Training Each year, the OAPP hosts an annual grantee conference for prevention demonstration grantees. The Terms and Conditions of the Notice of Grant Award specifies that the Project Director and Evaluator are expected to attend the annual conference. In addition, the OAPP offers technical assistance and training to improve the caliber of professionalism of front-line staff. The Project Director, Evaluator and front-line staff are expected to participate in OAPP sponsored technical assistance workshops. Evaluation Dissemination and Publishing The OAPP anticipates that all Prevention demonstration grantees will disseminate and publish information about their projects, including in peer-reviewed journals, by or shortly after the 5th year. When selecting an evaluator, he/she should have experience publishing and presenting at professional conferences. The evaluator should also have the college/university support to disseminate such findings to the field. Dated: March 26, 2007. Evelyn M. Kappeler, Acting Deputy Director, Office of Population Affairs. [FR Doc. 07-1585 Filed 3-30-07; 8:45 am]
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U.S. Code
- Records and reports§ 78q
- Registration, responsibilities, and oversight of self-regulatory organizations§ 78s
- National securities exchanges§ 78f
- Public information; agency rules, opinions, orders, records, and proceedings§ 552
- Definitions and application§ 78c
- Short title§ 78a
- Purposes§ 3501
- Authority to exempt rail carrier transportation§ 10502
- Findings and purposes§ 300z
CFR
29 references not yet in our index
- 17 CFR 240.17
- 17 CFR 240
- 17 CFR 240.19
- 15 USC 78
- 17 CFR 30.1-30
- 17 CFR 19
- Pub. L. 92-463
- Pub. L. 109-59
- 119 Stat. 1144
- Pub. L. 104-13
- 14 CFR 250
- 49 CFR 1152
- 49 CFR 1152.50(d)(2)
- 49 CFR 1105.7
- 49 CFR 1105.8
- 49 CFR 1105.11
- 49 CFR 1105.12
- 49 CFR 1152.50(d)(1)
- 49 CFR 1152.27(c)(2)
- 49 CFR 1152.29
- 49 CFR 1152.28
- 49 CFR 1002.2(f)(25)
- 49 CFR 1152.29(e)(2)
- 50 USC 1701-1706
- 44 USC 3501-3521
- Pub. L. 96-342
- 44 USC 3501-21
- 45 CFR 100
- 45 CFR 46
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Cite17 CFR 240
Cite17 CFR 240.19
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