Notices. 60-Day Notice of Information Collection Under Review; Application for Permit to Import Controlled Substances for Domestic and/or Scientific Purposes pursuant to 21 U

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BILLING CODE 4410-FY-M DEPARTMENT OF JUSTICE Drug Enforcement Administration [OMB Number 1117-0013] Agency Information Collection Activities: Proposed Collection; Comments Requested ACTION: 60-Day Notice of Information Collection Under Review; Application for Permit to Import Controlled Substances for Domestic and/or Scientific Purposes pursuant to 21 U.S.C. 952 DEA Form 357. The Department of Justice (DOJ), Drug Enforcement Administration (DEA), has submitted the following information collection request to the Office of Management and Budget

(OMB)for review and approval in accordance with the Paperwork Reduction Act of 1995. The proposed information collection is published to obtain comments from the public and affected agencies. Comments are encouraged and will be accepted until June 12, 2007. This process is conducted in accordance with 5 CFR 1320.10. If you have comments, especially on the estimated public burden or associated response time, suggestions, or need a copy of the proposed information collection instrument with instructions or additional information, please contact Mark W. Caverly, Chief, Liaison and Policy Section, Office of Diversion Control, Drug Enforcement Administration, Washington, DC 20537. Written comments and suggestions from the public and affected agencies concerning the proposed collection of information are encouraged. Your comments should address one or more of the following four points: —Evaluate whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility; —Evaluate the accuracy of the agencies estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used; —Enhance the quality, utility, and clarity of the information to be collected; and —Minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., permitting electronic submission of responses. Overview of this Information Collection:

(1)*Type of Information Collection:* Renewal of an existing collection.

(2)*Title of the Form/Collection:* Application for Permit to Import Controlled Substances for Domestic and/or Scientific Purposes pursuant to 21 U.S.C. 952 (DEA Form 357).

(3)*Agency form number, if any, and the applicable component of the Department sponsoring the collection:* *Form number:* DEA Form 357. *Component:* Office of Diversion Control, Drug Enforcement Administration, U.S. Department of Justice.

(4)*Affected public who will be asked or required to respond, as well as a brief abstract:* *Primary:* Business or other for-profit. *Other:* None. *Abstract:* Title 21, CFR, Section 1312.11 requires any registrant who desires to import certain controlled substances into the United States to have an import permit. In order to obtain the permit, an application must be made to the Drug Enforcement Administration on DEA Form 357.

(5)*An estimate of the total number of respondents and the amount of time estimated for an average respondent to respond:* 47 respondents, 406 responses, .25 hour per response. A respondent may submit multiple responses. A respondent will take an estimate of 15 minutes to complete each form.

(6)*An estimate of the total public burden (in hours) associated with the collection:* 101.50 annual burden hours. *If additional information is required contact:* Lynn Bryant, Department Clearance Officer, United States Department of Justice, Justice Management Division, Policy and Planning Staff, Patrick Henry Building, Suite 1600, 601 D Street, NW., Washington, DC 20530. Dated: April 10, 2007. Lynn Bryant, Department Clearance Officer, PRA, Department of Justice. [FR Doc. E7-7080 Filed 4-12-07; 8:45 am] BILLING CODE 4410-09-P DEPARTMENT OF JUSTICE Office of Justice Programs; National Institute of Justice [OMB Number 1121-0310] Agency Information Collection Activities; Proposed Collection; Comment Requested ACTION: 30-day notice of information collection under review: Evaluation of Impacts of Federal Casework Programs. The Department of Justice, Office of Justice Programs, National Institute of Justice

(NIJ)has submitted the following information collection request to the Office of Management and Budget

(OMB)for review and approval in accordance with the Paperwork Reduction Act of 1995. The proposed information collection is published to obtain comments from the public and affected agencies. This proposed information collection was previously published in the **Federal Register** Volume 72, Number 27, pages 6289-6290, on February 9, 2007, allowing for a 60-day comment period. The purpose of this notice is to allow for an additional 30 days for public comment until May 14, 2007. This process is conducted in accordance with 5 CFR 1320.10. Written comments and/or suggestions regarding the items contained in this notice, especially the estimated public burden and associated response time, should be directed to the Office of Management and Budget, Office of Information and Regulatory Affairs, Attention Department of Justice Desk Officer, Washington, DC 20503. Additionally, comments may be submitted to OMB via facsimile to

(202)395-5806. Written comments and suggestions from the public and affected agencies concerning the proposed collection of information are encouraged. Your comments should address one or more of the following four points: —Evaluate whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility; —Evaluate the accuracy of the agencies' estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used; —Enhance the quality, utility, and clarity of the information to be collected; and —Minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, *e.g.* permitting electronic submission of responses. Overview of this information collection:

(1)*Type of Information Collection:* New collection.

(2)*Title of the Form/Collection:* Evaluation of Impact of Federal Casework Programs— Prosecutor Survey; Law Enforcement Survey; *Lab Personnel Survey. *There are three versions of the lab survey, each tailored to the respective type of lab.

(3)Not Applicable.

(4)Affected public who will be asked or required to respond are: Prosecutors, Law Enforcement Officials, and Forensic Laboratory personnel from agencies within the jurisdiction represented by the grantees. The National Institute of Justice uses this information to assess the impacts and cost-effectiveness of the Forensic Casework DNA Backlog Programs over time and to diagnose performance problems in current casework programs. This evaluation will help decision makers be better informed to not only diagnose program performance problems, but also to better understand whether the benefits of DNA collection and testing are in fact an effective public safety and crime control practice.

(5)An estimate of the total number of respondents and the amount of time needed for an average respondent to respond is broken down as follows: Law Enforcement—200 respondents, average burden time 120 minutes— *400 hours total* . Prosecutors—200 respondents, average burden time 90 minutes— *300 hours total* . Lab personnel—135 respondents average burden 120 minutes— *270 hours total* .

(6)An estimate of the total public burden (in hours) associated with the collection: The estimated total public burden associated with this collection is 970 hours. If additional information is required, contact: Lynn Bryant, Department Clearance Officer, United States Department of Justice, Policy and Planning Staff, Justice Management Division, Patrick Henry Building, Suite 1600, 601 D Street, NW., Washington, DC 20530. Dated: April 9, 2007. Lynn Bryant, Department Clearance Officer, PRA Department of Justice. [FR Doc. E7-7058 Filed 4-12-07; 8:45 am] BILLING CODE 4410-18-P DEPARTMENT OF JUSTICE Office of Justice Programs [OMB Number 1121-0166] Agency Information Collection Activities: Extension of a Currently Approved Collection: Comments Requested ACTION: 30-Day Notice of Information Collection Under Review: Extension of a currently approved collection. Bureau of Justice Assistance Application Form: Public Safety Officers Disability Benefits. The Department of Justice (DOJ), Office of Justice Programs

(OJP)has submitted the following information collection request to the Office of Management and Budget

(OMB)for review and approval in accordance with the Paperwork Reduction Act of 1995. The proposed collection information is published to obtain comments from the public and affected agencies. This proposed information collection was previously published in the **Federal Register** Volume 72, Number 32, pages 7677-7678 on February 16, 2007, allowing for a 60 day comment period. The purpose of this notice is to allow for an additional 30 days for public comment until May 14, 2007. This process is conducted in accordance with 5 CFR 1320.10. Written comments and/or suggestions regarding the items contained in this notice, especially the estimated public burden and associated response time, should be directed to the Office of Management and Budget, Office of Information and Regulatory Affairs, Attention Department of Justice Desk Officer, Washington, DC 20503. Additionally, comments may be submitted to OMB via facsimile to

(202)395-5806. Comments may also be submitted to M. Pressley, Bureau of Justice Assistance, Office of Justice Programs, U.S. Department of Justice, 810 7th Street, NW., Washington, DC 20531 via facsimile to

(202)305-1367. Written comments and suggestions from the public and affected agencies concerning the proposed collection of information are encouraged. Your comments should address one or more of the following four points: —Evaluate whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility; —Evaluate the accuracy of the agency's estimate of the burden of the proposed collection of information, including the validity of the methodology and assumptions used; —Enhance the quality, utility, and clarity of the information to be collected; and —Minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, *e.g.* , permitting electronic submission of responses. Overview of this information collection:

(1)*Type of Information Collection:* Extension of a currently approved collection.

(2)*Title of the Form/Collection:* Public Safety Officers Disability Benefits.

(3)*Agency form number, if any, and the applicable component of the Department of Justice sponsoring the collection:* OJP FORM 3650/7 Public Safety Officers Disability Benefits.

(4)*Affected public who will be asked or required to respond, as well as a brief abstract:* *Primary:* Dependents of public safety officers who were killed or permanently and totally disabled in the line of duty. *Abstract:* The Public Safety Officers' Benefits Act of 1976 (PSOB), 42 U.S.C. 3796, authorizes the Bureau of Justice Assistance, Office of Justice Programs to pay a benefit to claimant public safety officers found to have been permanently and totally disabled as the direct result of a catastrophic line of duty injury sustained on or after November 29, 1990. *Others:* None.

(5)*An estimate of the total number of respondents and the amount of time needed for an average respondent to respond is as follows:* It is estimated that no more than 75 respondents will apply a year. Each application takes approximately 120 minutes to complete.

(6)*An estimate of the total public burden (in hours) associated with the collection: Total Annual Reporting Burden:* 75 × 120 minutes per application = 9,000 minutes/by 60 minutes per hour = 150 hours. If additional information is required, please contact, Lynn Bryant, Clearance Officer, United States Department of Justice, Justice Management Division, Policy and Planning Staff, Patrick Henry Building, Suite 1600, 601 D Street, NW., Washington, DC 20530. Dated: April 10, 2007. Lynn Bryant, Department Clearance Officer, PRA, United States Department of Justice. [FR Doc. E7-7083 Filed 4-12-07; 8:45 am] BILLING CODE 4410-18-P DEPARTMENT OF LABOR Veterans' Employment and Training Service Homeless Veterans' Reintegration Program

(HVRP)National Technical Assistance Center Cooperative Agreement(s) for Program Year

(PY)2007 Solicitation for Cooperative Agreement(s) Solicitation #07-08 Period of Performance is PY 2007, July 1, 2007 Through June 30, 2008 AGENCY: Veterans' Employment and Training Service, Department of Labor. ACTION: Notice of funding availability. DATES: Applications are due on May 14, 2007. SUMMARY: (Applicants For a Cooperative Agreement Should Read This Notice In Its Entirety): The U.S. Department of Labor (USDOL), Veterans' Employment and Training Service (VETS), announces a cooperative agreement competition under 38 U.S.C. Section 2021, as added by Section 5 of Public Law 107-95, the Homeless Veterans Comprehensive Assistance Act of 2001 (HVCAA). Section 2021 authorizes programs to expedite the reintegration of homeless veterans into the labor force. In order to assist the USDOL-VETS in carrying out 38 U.S.C. 2021, it is announcing the availability of funds for a cooperative agreement to assist in developing a National Technical Assistance Center

(NTAC)for the Homeless Veterans' Reintegration Program (HVRP). The primary objective of the HVRP NTAC will be to provide general technical assistance on veterans' homelessness programs and issues to existing HVRP grantees (approximately 80 grantees nationwide), potential HVRP applicants, employers, Veterans Service Organizations, Federal, State, and local agency partners, non-profit organizations (including faith-based and community organizations), the general public, and other interested stakeholders. Successful applicant(s) will assist USDOL-VETS by providing general technical assistance and guidance to eligible HVRP entities relating to assistance for homeless veterans under the HVRP and related programs that assist homeless veterans. Applicants will also be responsible for developing, conducting, and documenting extensive outreach efforts to national, state, and local employers to increase their awareness of HVRP and its objectives in order to increase job opportunities for homeless veterans. Applicants will also be responsible for assisting USDOL-VETS by contacting current HVRP grantees in order to extract, document, and share at least 20 best HVRP practices with other HVRP grantees and potential applicants. Finally, applicants will assist USDOL-VETS by conducting general research and studies as determined by USDOL-VETS. Entities that are interested in assisting USDOL-VETS in providing technical assistance are to be aware that historically the HVRP annually receives thousands of nationwide inquiries via telephone, written correspondence, and e-mail concerning homeless veterans and HVRP in general. The awardee(s) will be responsible for answering 100 percent of these technical assistance inquiries. Applicants are to be aware of and assist USDOL-VETS and their grantees in implementing the HVRP objectives:

(1)To provide services to assist in reintegrating homeless veterans into meaningful employment within the labor force, and

(2)to stimulate the development of effective service delivery systems that will address the complex problems facing homeless veterans. Under this solicitation for cooperative agreement(s) covering Program Year

(PY)2007, VETS anticipates that up to $500,000 will be available for a cooperative agreement award(s) up to a maximum total award of $500,000. Depending on the quality and content of the applications received, USDOL-VETS expects to award one

(1)to

(2)cooperative agreements. This notice contains all of the necessary information and forms to apply for funding. The period of performance for this PY 2007 cooperative agreement(s) will be July 1, 2007 through June 30, 2008. Two

(2)optional years of additional funding may be available, depending upon Congressional appropriations, the agency's decision to exercise the optional year(s) of funding, and awardee(s) satisfactory technical and financial performance. I. Funding Opportunity Description The U.S. Department of Labor (USDOL), Veterans' Employment and Training Service (VETS), announces a cooperative agreement competition under 38 U.S.C. Section 2021, as added by Section 5 of Public Law 107-95, the Homeless Veterans Comprehensive Assistance Act of 2001 (HVCAA). Section 2021 authorizes programs to expedite the reintegration of homeless veterans into the labor force. In order to assist the USDOL-VETS in carrying out 38 U.S.C. 2021, it is announcing the availability of funds for a cooperative agreement to assist in developing a National Technical Assistance Center

(NTAC)for the Homeless Veterans' Reintegration Program (HVRP). The HVRP NTAC primary objective will to provide general technical assistance and guidance to existing HVRP grantees (approximately 80 grantees nationwide), potential HVRP applicants, employers, Veterans Service Organizations, Federal, State, and local agency partners, non-profit organizations (including faith-based and community organizations), the general public, and other interested stakeholders seeking information on veterans' homelessness programs, issues, concerns, and referrals for additional information and assistance. This USDOL-VETS cooperative agreement(s) anticipates substantial involvement between USDOL-VETS and the awardee(s) during the performance of this project. Involvement will include collaboration and participation by USDOL-VETS in the overall direction of the project throughout the period of the award(s). The USDOL-VETS will provide expertise and guidance in decisions involving strategic planning (including development of a proactive plan to deliver technical assistance to existing HVRP grantees), allocation of resources, key personnel decisions, development and revision of public information materials, and analysis and implementation of evaluation findings. 1. Program Concept and Emphasis In order to increase the quality and quantity of HVRP applications received, U.S. DOL-VETS will provide successful applicant(s) with general guidelines on how to gather and electronically disseminate technical assistance and guidance to eligible HVRP entities. In order to assist and increase capacity building of existing HVRP grantees, successful applicant(s) will be responsible for instructing and assisting current HVRP grantees on identifying additional funding resources for similar and/or complimentary homeless veterans programs. Guidance will be provided to successful awardee(s) as they assist USDOL-VETS by developing, conducting, and documenting extensive outreach efforts to national, state, and local employers to increase their awareness of HVRP and its objectives in order to potentially increase job opportunities for homeless veterans. Guidance will be provided to successful awardee(s) as they assist USDOL-VETS by interviewing current HVRP grantees (via face-to-face, telephone, written correspondence, or e-mail communications) in order to extract, document, publish, and share their best practices with other HVRP grantees and potential HVRP grantees. Entities that are interested in assisting USDOL-VETS in providing technical assistance are to be aware that historically the HVRP receives several thousand nationwide inquiries yearly via telephone, written correspondence, and e-mail concerning homeless veterans and HVRP in general. The awardee(s) will be responsible for answering 100 percent of these technical assistance inquiries. In order to provide timely information and updates, it is recommended that successful applicant(s) have an Internet-based Web site (or develop a website within 30 calendar days of receiving an award) with clearly stated information relative to homelessness, veterans, and homeless veterans' issues, concerns. Successful applicant(s) will plan to gather and electronically disseminate technical assistance information through this Web site and identify additional resources for assistance that can be readily assessed by current HVRP grantees, potential applicants, Veterans Service Organizations, non-profit organizations (including faith-based and community organizations), Federal, State, and local agency partners, the general public, and other interested stakeholders. USDOL-VETS will provide suggestions and guidance to the awardee(s) the structure and content of the website and will seek authorization to link to the successful awardee(s) webpage directly from the USDOL-VETS Web page at *http://www.dol.gov/vets* as a resource for HVRP technical assistance purposes. Applicants are to assist USDOL-VETS in implementing the HVRP objectives:

(1)To provide services to assist in reintegrating homeless veterans into meaningful employment within the labor force, and

(2)to stimulate the development of effective service delivery systems addressing the complex problems facing homeless veterans. 2. Scope and Program Design Successful applicants will assist U.S. DOL-VETS in improving the awareness of HVRP and increasing the quality of the general technical assistance provided to existing HVRP grantees. Successful applicants will assist U.S. DOL-VETS in providing outreach to national, state, and local employers for the purpose of increasing employer awareness of the HVRP and its objectives in order to increase job opportunities for homeless veterans. Successful applicants will assist USDOL-VETS by interviewing existing HVRP grantees in an effort to extract at least twenty

(20)HVRP best practices and summarize their efforts in Word or WordPerfect format to be accessible at both the applicants and the U.S. DOL-VETS Web sites. Successful applicant(s) must plan to support the travel and associated costs of sending at least one

(1)representative to periodic meetings with USDOL-VETS staff in Washington, DC (at least twice per year). Successful applicant(s) will assist U.S. DOL-VETS by planning to attend and provide general HVRP information at conference(s) sponsored by the USDOL-VETS and other USDOL agency partners such as the Employment and Training Administration, the Office of Disability Employment Policy, Office of Faith-Based and Community Initiatives, and other federal agency partners such as the Department of Veterans' Affairs, Department of Housing and Urban Development, and Department of Health and Human Services, and various other social service provider organizations that target similar grantees that provide services to homeless persons, veterans, and homeless veterans. II. Award Information 1. Type of Funding Instrument Successful applicant(s) will be granted a one

(1)year cooperative agreement award with optional funding for an additional two

(2)years depending on successful performance and the availability of funds. Note: Selection of an organization as an awardee(s) does not constitute final approval of the application and budget as submitted. Before or shortly after the actual cooperative agreement is awarded, USDOL may enter into negotiations about such items as program components, staffing, and funding levels, and administrative systems in place to support the cooperative agreement implementation. If the negotiations do not result in a mutually acceptable submission, the Grant Officer reserves the right to terminate the negotiation and decline to fund the application or terminate the award. 2. *Funding Levels:* The total funding available for this Cooperative Agreement(s) to assist USDOL-VETS in developing a National Technical Assistance Center for HVRP purposes is up to $500,000. Depending on the quality and content of the applications received, it is anticipated that one

(1)or two

(2)awards will be made under this solicitation. Awards are expected to range from $75,000 to a maximum of $500,000. The Department of Labor reserves the right to negotiate the amounts to be awarded under this competition. Please be advised that proposals will be evaluated in part on cost/value and that requests exceeding $500,000 will be considered non-responsive and will not be evaluated. If there are any residual programmatic funds, the Department of Labor reserves the right to select for funding the next highest scoring applicant(s) on the competitive list developed for this solicitation up to one

(1)year after the initial performance period begins or June 30, 2008. 3. *Period of Performance:* The period of performance will be for the twelve

(12)month period of July 1, 2007 to June 30, 2008, unless modified in writing by the Grant Officer. It is expected that successful applicant(s) will begin program operations under this solicitation on July 1, 2007. All program funds must be obligated by June 30, 2008; a limited amount of funds may be obligated and reserved for any follow-up activities and closeout. 4. *Optional Year Funding:* Should Congress appropriate additional funds for HVRP purposes, VETS may consider up to two

(2)additional years of optional funding. The Government does *not* , however, guarantee optional year funding for any awardee(s). In deciding whether to exercise any optional year(s) of funding, VETS will consider awardee(s) performance during the previous period of operations as follows: A. The awardee(s) will be responsible for providing timely responses (within 5 working days) to at least 85% of all the technical assistance inquiries received and within 10 working days for the remaining 15% of inquiries received. B. The awardee(s) must have complied with all terms identified in the Solicitation for Cooperative Agreement(s), award document, and General and Special Provisions; and C. All program and fiscal reports must have been submitted to the Grant Officer Technical Representative by the established due dates and the awardee(s) must verify these reports for accuracy purposes. III. Eligibility Information 1. *Eligible Applicants:* Applications for funds will be accepted from non-profit organizations, including faith-based and community organizations. • If claiming 501(c)(3) status, the Internal Revenue Service statement indicating 501(c)(3) status approval must be submitted. • However, entities organized under Section 501(c)(4) of the Internal Revenue Code are not eligible to receive funds under this announcement. Section 18 of the Lobbying Disclosure Act of 1995, Public Law 104-65, 109 Stat. 691 (2 U.S.C. 1611) prohibits instituting an award, grant, or loan of federal funds to 501(c)(4) entities that engage in lobbying. 2. *Cost Sharing:* Cost sharing and matching funds are not required. 3. Other Eligibility Criteria Legal rules pertaining to inherently religious activities by organization that receive Federal Financial Assistance. Neutral, non-religious criteria that neither favor nor disfavor religion will be employed in the selection of award recipient(s) and must be employed by awardee(s). The government is generally prohibited from providing direct financial assistance for inherently religious activities. These award funds may not be used for religious instruction, worship, prayer, proselytizing or their inherently religious activities. In this context, the term direct financial assistance means financial assistance that is provided directly by a government entity or an intermediate organization, as opposed to financial assistance that an organization receives as the result of the genuine and independent private choice of a beneficiary. In other contexts, the term “direct” financial assistance may be used to refer to financial assistance that an organization receives directly from the Federal government (also known as “discretionary” assistance), as opposed to assistance that it receives from a State or local government (also known as “indirect” or “block” grant assistance). The term “direct” has the former meaning throughout this paragraph. IV. Application and Submission Information 1. *Address to Request an Application and Amendments:* This Solicitation for Cooperative Agreement(s), together with its attachments, includes all the information needed to apply. Additional application packages and amendments to this solicitation may be obtained from the VETS Web site address at *http://www.dol.gov/vets* , the Federal Grant Opportunities Web site address at *http://www.grants.gov* , and from the **Federal Register** Web site address at *http://www.gpoaccess.gov/fr/index.html* . The **Federal Register** may also be obtained from your nearest government office or library. Additional copies of the standard forms can be downloaded from: *http://www.whitehouse.gov/omb/grants/grants_forms.html* . *All applications must be addressed to:* Department of Labor, Procurement Services Center, Attention: Cassandra Mitchell, Reference Solicitation #07-08, 200 Constitution Avenue, NW., Room S-4307, Washington, DC 20210, Phone Number:

(202)693-4570 (this is not a toll-free number). • Applicants are encouraged to apply online at *www.grants.gov.* Applicants submitting proposals online are requested to refrain from mailing a hard copy application as well. It is strongly recommended that applicants using *www.grants.gov* immediately initiate and complete the “Get Started” registration steps at *http://www.grants.gov/GetStarted.* These steps may take multiple days to complete, and this time should be factored into plans for electronic submission in order to avoid facing unexpected delays that could result in the rejection of an application. If submitting electronically through *www.grants.gov* it would be appreciated if the application submitted is saved as .doc, .pdf, or .txt files. • Except as provided in Section IV.3., any application received after the deadline will be considered as non-responsive and will not be evaluated. 2. *Content and Form of Application:* The application must include the name, address, telephone number, fax number, and e-mail address (if applicable) of a key contact person at the applicant's organization in case questions should arise. To be considered *responsive* to this solicitation the application must consist of three

(3)separate and distinct sections: the Executive Summary, the Technical Proposal, and the Cost Proposal. The information provided in these three

(3)sections is essential to demonstrate an understanding of the programmatic and fiscal contents of the cooperative agreement proposal(s). A complete application packages must not exceed 50 single-sided pages (8 1/2 ″ × 11″), double-spaced, 12-point font, typed pages (all attachments are included in the 50 page maximum). Any pages over the 50-page limit will not be read or evaluated. Major sections and sub-sections of the application must be divided and clearly identified (e.g. with tab dividers), and all pages must be numbered. To be considered responsive, cooperative agreement applications must include: • An original, blue ink-signed, and two

(2)copies of the cover letter. • An original and two

(2)copies of the Executive Summary (see below). • An original and two

(2)copies of the Technical Proposal [see below] • An original and two

(20)HVRP grantee best practices; in assisting USDOL-VETS by developing and implementing a nation-wide employer outreach component to inform employers about HVRP in order to increase employment opportunities for homeless veterans. Applicants will indicate their availability and capability to assisting USDOL-VETS by conducting general research and studies as determined by USDOL-VETS. *The applicant(s) must describe:* Organizational capability to provide required program activities including: key staff skills, experience, biographies, history, knowledge, qualifications, and capabilities; office locations, and organizational chart providing similar information. It is preferred that the awardee(s) be a well-established social service provider to veterans, homeless individuals, homeless veterans, or other similar type participants and not in the initial start-up phase or process. The applicant's relevant current and prior experience (within the last three-year period) in operating technical assistance grants, cooperative agreements, and/or contracts is to be clearly described, if applicable. *Measures of Success* —Applicants must describe the measures of success for the proposed plan. Applicants must describe their proposed outcomes, goals, number served, result-oriented model, feedback mechanism, performance accountability, evaluation and improvement, and the proposed system to monitor the implementation of program activities and achievement of stated project objectives. C. *Section 3—The Cost Proposal must contain the following:* Applicants can expect that the cost proposal will be reviewed to ensure that the costs proposed are allocable, allowable, and reasonable. The cost proposal must contain:

(1)Standard Form SF-424, “Application for Federal Assistance” (with the original signed in blue-ink) (Appendix A) must be completed; The Catalog of Federal Domestic Assistance number for this program is 17.805 and it must be entered on the SF-424, in Block 11. The organizational unit section of Block 8 of the SF-424 must contain the Dun and Bradstreet Number

(DUNS)of the applicant. Beginning October 1, 2003, all applicants for Federal funding opportunities are required to include a DUNS number with their application. *See* OMB Notice of Final Policy Issuance, 68 FR 38402 (June 27, 2003). Applicants' DUNS number is to be entered into Block 8 of SF-424. The DUNS number is a nine-digit identification number that uniquely identifies business entities. There is no charge for obtaining a DUNS number. To obtain a DUNS number call 1-866-705-5711 or access the following Web site: *http://www.dunandbradstreet.com/.* Requests for exemption from the DUNS number requirement must be made to the Office of Management and Budget. If no DUNS number is provided then the application will be considered non-responsive.

(2)Standard Form SF-424A “Budget Information Sheet” (Appendix B) must be included;

(3)As an attachment to SF-424A, the applicant must provide a detailed cost breakout of each line item on the Budget Information Sheet. Please label this page or pages the “Budget Narrative” and ensure that costs reported on the SF-424A correspond accurately with the Budget Narrative; *The Budget Narrative must include, at a minimum:* • *Personnel Costs* —Applicants must provide a breakout of all personnel costs by position, title, annual salary rates, and percent of time of each position to be devoted to the proposed project by completing the “Direct Cost Descriptions for Applicants and Sub-Applicants” form (Appendix E); • *Fringe Benefits* —Applicants must provide an explanation and breakout of fringe benefit rates and associated charges that exceed 35% of salaries and wages; • *Explanation of Costs and Methodologies* —Applicants must provide an explanation of the purpose and composition of, and methodology used to derive the costs of each of the following: Personnel costs, fringe benefits, travel, equipment, supplies, contracts, and any other costs. The applicant must include costs of any required travel described in this Solicitation. Planned travel expenditures may not exceed 20% of the total HVRP funds requested. Mileage charges may not exceed 48.5 cents per mile or the current Federal rate; • *Equipment Purchases* —Applicants must provide a description/specification of, and justification for, equipment purchases, if any. Tangible, non-expendable, personal property having a useful life of more than one year and a unit acquisition cost of $5,000 or more per unit must be specifically identified. • *Other Funds* —Applicants must describe other funding sources to include matching funds, leveraged funds, and in-kind services. Matching funds are not required for this HVRP-NTAC cooperative agreement(s). When resources such as matching funds, leveraged funds, and/or the value of in-kind contributions are made available, please describe in Section B of the Budget Information Sheet.

(4)A completed Assurance and Certification signature page (Appendix C) (signed in blue ink) must be submitted;

(5)A completed Direct Cost Descriptions for Applicants and Sub-Applicants (Appendix D) must be submitted;

(6)All applicants must submit evidence of satisfactory financial management capability, which must include recent (within the last 18 months) program-specific financial and/or audit statements (does *not* count towards the 50 page limitation). All successful awardee(s) are required to utilize Generally Accepted Accounting Practices (GAAP), maintain a separate accounting for these cooperative agreement funds, and have a checking account;

(7)All applicants must include, as a separate appendix, a list of all employment and training related government grants, cooperative agreements, and contracts that they have had in the past three

(3)years, including grant/contract officer contact information. VETS reserves the right to have a USDOL representative review and verify this data;

(8)A completed Survey on Ensuring Equal Opportunity for Applicants (Appendix F) must be provided. 3. *Submission Dates and Times* (Acceptable Methods of Submission): Application packages must be received at the designated place by the date and time specified or it will not be considered. Any application received at the Office of Procurement Services after 5 p.m. ET, May 14, 2007, will not be considered unless it is received before the award is made and: • It is determined by the Government that the late receipt was due solely to mishandling by the Government after receipt at the U.S. Department of Labor at the address indicated; or • It was sent by registered or certified mail not later than the fifth calendar day before May 14, 2007; or • It was sent by U.S. Postal Service Express Mail Next Day Service—Post Office to Addressee, not later than 5 p.m. at the place of mailing two

(2)working days, excluding weekends and Federal holidays, prior to May 14, 2007. The only acceptable evidence to establish the date of mailing of a late application sent by registered or certified mail is the U.S. Postal Service postmark on the envelope or wrapper and on the original receipt from the U.S. Postal Service. If the postmark is not legible, an application received after the above closing time and date will be processed as if mailed late. “Postmark” means a printed, stamped or otherwise placed impression ( *not* a postage meter machine impression) that is readily identifiable without further action as having been applied and affixed by an employee of the U.S. Postal Service on the date of mailing. Therefore applicants should request that the postal clerk place a legible hand cancellation “bull's-eye” postmark on both the receipt and the envelope or wrapper. Applications cannot be accepted by e-mail or facsimile machine. The only acceptable evidence to establish the date of mailing of a late application sent by U.S. Postal Service Express Mail Next Day Service—Post Office to Addressee is the date entered by the Post Office clerk on the “Express Mail Next Day Service—Post Office to Addressee” label and the postmark on the envelope or wrapper and on the original receipt from the U.S. Postal Service. “Postmark” has the same meaning as defined above. Therefore, applicants should request that the postal clerk place a legible hand cancellation “bull's-eye” postmark on both the receipt and the envelope or wrapper. The only acceptable evidence to establish the time of receipt at the U.S. Department of Labor is the date/time stamp of the Procurement Services Center on the application wrapper or other documentary evidence or receipt maintained by that office. Applications sent by other delivery services, such as Federal Express, UPS, etc., will also be accepted. All applicants are advised that U.S. mail delivery in the Washington, DC area has been erratic due to security concerns. All applicants must take this into consideration when preparing to meet the application deadline, as you assume the risk for ensuring a timely submission, that is, if, because of these mail problems, the Department does not receive an application or receives it too late to give proper consideration, even if it was timely mailed, the Department is not required to consider the application. 4. *Intergovernmental Review:* Not Applicable. 5. *Funding Restrictions:* A. Proposals exceeding $500,000 will be considered non-responsive and will not be evaluated. B. Pre-award costs will not be reimbursed unless specifically agreed upon in writing by the Department of Labor. C. Entities described in Section 501(c)(4) of the Internal Revenue Code that engage in lobbying activities are not eligible to receive funds under this announcement because Section 18 of the Lobbying Disclosure Act of 1995, Public Law No. 104-65, 109 Stat. 691, prohibits the award of Federal funds to these entities. D. Limitations on Administrative and Indirect Costs • Administrative costs, which consist of all direct and indirect costs associated with the supervision and management of the program, are limited to and may not exceed 20% of the total cooperative agreement award. Indirect costs claimed by the applicant must be based on a federally approved rate. A copy of the current negotiated approved and signed indirect cost negotiation agreement must be submitted with the application. Furthermore, indirect costs are considered a part of administrative costs for HVRP purposes and, therefore, may not exceed 20% of the total cooperative agreement award. If the applicant does not presently have an approved indirect cost rate, a proposed rate with justification may be submitted. Successful applicants will be required to negotiate an acceptable and allowable rate within 90 days of cooperative agreement award with the appropriate USDOL Regional Office of Cost Determination or with the applicant's cognizant agency for indirect cost rates ( *See* Office of Management and Budget Web site at: *http://www.whitehouse.gov/omb/grants/attach.html* . V. Application Review Information Cooperative Agreement applications will be evaluated on the applicant's capability to perform the work, technical approach, individual staff experience and qualifications, and applicant's past performance as described below in Section V.1. Based on these evaluations, a Competitive Range consisting of the most highly rated proposals will be established. Applicants are advised that the Grant Officer will make the selection of award(s) for a cooperative agreement after a careful evaluation of the proposals by a panel of evaluators chosen by USDOL-VETS and the Grant Officer. Each panelist will evaluate the proposals for technical acceptability using a range of scores assigned to each factor as described below in Section V.1. The scores for each area in Section V.I. below will then be added and ranked in numerical order. The grant review panel will score each applicant's proposal based on the grant applicant's responses to the overall requirements as outlined in this Solicitation for Cooperative Agreement(s) and the selection criteria in Section V.I., and recommend a proposal(s) based on the highest score. 1. *Application Evaluation Criteria:* Applications may receive up to 100 total points based on the following criteria: A. Applicant's Overall Plan and Capability to assist USDOL-VETS by developing and maintaining a HVRP National Technical Assistance Center under a Cooperative Agreement (30 points) The Government will evaluate each applicant's overall plan and capability to assist USDOL-VETS by developing and maintaining a HVRP National Technical Assistance Center on the basis of its proposed strategy for providing technical assistance on a nation-wide or similar basis. In making this evaluation, the government will consider an applicant's:

(1)Knowledge of the content of the work in terms of constituent activities, their inputs and outputs, and their interrelationships and interdependencies;

(2)recognition of the appropriate sequence and realistic duration of the work activities;

(3)knowledge of the appropriate types of resources required to perform the work activities;

(4)familiarity with the difficulties, uncertainties, and risks associated with the work; and

(5)knowledge of the personnel qualifications necessary to the performance of the work. B. Technical Approach (25 points). The applicant's technical approach should reflect a clear understanding of the HVRP program and innovative approaches in assisting the USDOL-VETS in successful accomplishment of all phases of this Solicitation for Cooperative Agreement(s), specifically, operational plan, design, implementation, project management and monitoring, and reporting. The applicant should demonstrate a clear understanding of each phase, task, and subtask. The Government will evaluate the applicant's knowledge and ability, based upon a clear understanding and articulation of the components of the HVRP, to assist U.S. DOL-VETS in promoting awareness of the HVRP in a positive, knowledgeable manner to other social service providers, local, state, and national employers, as well as to the general public. Applicants must provide a description of approaches (with examples) that the applicant would use in assisting U.S. DOL-VETS in developing and implementing a National Technical Assistance Center for HVRP purposes. The applicant must demonstrate active communications and strong relationships with other organizations providing services to veterans and homeless veterans or other similar type group of persons. The Government will review the following factors: • The applicant's proposed work plan addresses all of the tasks and subtasks listed in this Solicitation for Cooperative Agreement(s). • The applicant's proposed sequencing, scheduling, and timely completion of tasks/subtasks by phases demonstrates an understanding of the objectives and the applicant's critical role in assisting the government in implementation of the HVRP objectives. • The applicants' understanding of its role in assisting USDOL-VETS in providing general technical assistance and guidance to HVRP grantees, potential applicants, Veterans Service Organizations, non-profit organizations (including faith-based and community organizations), other federal agencies, the general public, and other interested stakeholders. • The applicant's understanding of its role in relation to parties other than USDOL-VETS federal and contractor staff, i.e., employers, organizations that support veterans, State Workforce Agencies, the Disabled Veterans' Outreach Program and Local Veterans' Employment Representative staff, Workforce Development programs, and other USDOL-VETS contractors and consultants. C. Individual Staff Experience and Qualifications (25 points). This section of the proposal must provide sufficient information to judge the quality and competence of staff proposed to assist USDOL-VETS in developing and maintaining the National Technical Assistance Center for HVRP purposes and to assure that it meets the required qualifications. Successful applicants will have staff that already possess (or are capable of acquiring within a short time period) knowledge of homeless veterans, the HVRP program, and other related programs for veterans and homeless veterans (such as: The Department of Veterans Affairs Grants and Per Diem Programs, Department of Housing and Urban Development grant programs and their Continuums of Care, Stand Down Events, etc.). The proposal must include the current employment status of personnel proposed to work under this cooperative agreement, i.e., whether these personnel are currently employed by the applicant or whether their employment is dependent upon award and planned recruitment. The Government, in its evaluation of the applicant's proposal, will place considerable emphasis on the applicant's commitment of personnel qualified for the work involved in accomplishing the assigned tasks. Accordingly, the following information must be furnished: 1. The names of the proposed Project Director and other staff to be assigned under this Cooperative Agreement; 2. A resume for all professional personnel which must include the individual's current employment status and previous work experience, including position title, dates in position, duties performed, employing organization, education, and training. D. Applicant's Past Performance (20 Points). Successful applicants must describe their past experience in providing technical assistance on a nation-wide basis (or similar basis) concerning the homeless veteran population, the HVRP program, Stand Down Events, and/or other similar type programs for veterans and homeless veterans or other similar type persons. Applicants must describe their role, duties, and responsibilities and to what extent they were involved in providing technical assistance on a nation-wide (or similar basis) on programs for veterans, homeless veterans, or other similar type persons. The application review panel and the Grant Officer will determine the relevance and extent of past performance information provided by each applicant. 2. Review and Selection Process Applications will be reviewed by a Department of Labor application review panel using the point scoring system specified above in Section V(1). The application review panel will assign a score after objectively and carefully evaluating each responsive application and all responsive applications will be ranked based on this score. The ranking will be the primary means of identifying applicants as potential awardee(s). The application review panel will establish a competitive range, based upon the proposal evaluation, for the purpose of selecting qualified applicants. For this solicitation, the minimum acceptable score for consideration is 70, but the competitive range may be set higher. The Grant Officer will make a final selection based on the application review panel findings and application scores. The application review panel's findings and recommendations are solely advisory in nature and not binding on the Grant Officer. A cost realism analysis will be performed by the application review panel. The purpose of this analysis is to screen all applicant cost proposals to ensure expenses are allocable, allowable, and reasonable. Determinations of allowable costs will be made in accordance with the applicable Federal cost principles, e.g., Non-Profit Organizations—OMB Circular A-122. Unallowable costs are those charges to an award that a grantor agency or its representatives determine are not to be allowed in accordance with the applicable Federal Cost Principles or other conditions contained in the cooperative agreement award. If the application review panel concludes that the cost proposal contains an expense(s) that is not allocable, allowable, and/or reasonable, they will inform the Grant Officer and he/she may request a revision to the application. The Government reserves the right to ask the applicant for clarification on any aspect of the cooperative agreement application. The Grant Officer may consult with Department of Labor staff on any potential awardee(s) concerns. The Grant Officer's determination for award under this solicitation is the final agency action. Anticipated Announcement and Award Dates Announcement of this award is expected to occur by June 20, 2007. The cooperative agreement(s) will be awarded by no later than July 1, 2007. VI. Award Administration Information 1. Award Notices A. The Notice of Award signed by the Grant Officer is the authorizing document and will be provided through postal mail and/or by electronic means to the authorized representative listed on the SF-424 Application for Federal Assistance. Notice that an organization has been selected as an award recipient does not constitute final approval of the application and budget as submitted. Before the actual cooperative agreement award, the Grant Officer and/or the Grant Officer's Technical Representative may enter into negotiations concerning such items as program components, funding levels, and administrative systems. If the negotiations do not result in an acceptable submittal, the Grant Officer reserves the right to terminate the negotiation and decline to fund the proposal. B. A post-award conference will be held within forty-five

(45)days of the cooperative agreement award(s) in Washington, DC with the USDOL-VETS Grant Officer Technical Representative. The associated travel costs for this one

(1)day meeting is to be included as a part of the applicant's budget proposal. Both program and administrative matters will be reviewed and discussed. Successful cooperative agreement awardee(s) are required to budget and plan to attend the post-award conference for all grantees awarded PY 2007 HVRP funds through another competition under SGA #07-07 and for those HVRP grantees awarded second and third optional year funding. The applicant(s) awarded a cooperative agreement to assist the USDOL-VETS in developing and maintaining the National Technical Assistance Center for HVRP purposes must attend and participate in the National HVRP Post-Award Training Conference that is expected to be held in August 2007. The site of the National HVRP Post-Award Training Conference has not yet been determined, however, for planning and budgeting purposes, applicants should allot four

(4)days and use Denver, CO as the potential conference site. The successful awardee(s) are to propose a plan to develop and deliver specific training, with prior USDOL-VETS approval, at the National HVRP Post-Award Training Conference. Costs associated with attending this conference for up to three

(3)awardee representatives will be allowed as long as they are incurred in accordance with Federal travel regulations. 2. Administrative and National Policy Requirements All awardee(s) must comply with the provisions of Title 38 U.S.C. and its regulations, as applicable. A. Administrative Program Requirements All awardee(s), including faith-based organizations, will be subject to applicable Federal laws (including provisions of appropriations law), regulations, and the applicable Office of Management and Budget

(OMB)Circulars. The successful awardee(s) under this Solicitation for a Cooperative Agreement will be subject to the following administrative standards and provisions, if applicable: • 29 CFR part 2—General Participation in Department of Labor Programs by Faith-Based and Community Organizations; Equal Treatment of All Department of Labor Program Participants and Beneficiaries. • 29 CFR part 30—Equal Employment Opportunity in Apprenticeship and Training. • 29 CFR part 31—Nondiscrimination in Federally Assisted Programs of the Department of Labor—Effectuation of Title VI of the Civil Rights Act of 1964. • 29 CFR part 32—Nondiscrimination on the Basis of Handicap in Programs or Activities Receiving Federal Financial Assistance. • 29 CFR part 33—Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the Department of Labor. • 29 CFR part 35—Nondiscrimination on the Basis of Age in Programs and Activities Receiving Federal Financial Assistance from the Department of Labor. • 29 CFR part 36—Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Assistance. • 29 CFR part 37—Implementation of the Nondiscrimination and Equal Opportunity Provisions of the Workforce Investment Act of 1998. • 29 CFR part 93—New Restrictions on Lobbying. • 29 CFR part 94—Government-wide Requirements for Drug-Free Workplace (Financial Assistance). • 29 CFR part 95—Grants and Agreements with Institutions of Higher Education, Hospitals, and other Non-Profit Organizations, and with Commercial Organizations. • 29 CFR part 96—Audit Requirements for Grants, Contracts and Other Agreements. • 29 CFR part 98—Government-wide Debarment and Suspension (Non procurement). • 29 CFR part 99_Audit of States, Local Governments, and Non-Profit Organizations. • Applicable cost principles and audit requirements under OMB Circulars A-21, A-87, A-110, A-122, A-133, and 48 CFR part 31. • In accordance with Section 18 of the Lobbying Disclosure Act of 1995, Public Law 104-65 (2 U.S.C. 1611), non-profit entities incorporated under 501(c)(4) that engage in lobbying activities are not eligible to received Federal funds and grants. • 38 U.S.C. 4215—Requirements for priority of service for veterans in all Department of Labor training programs. 3. *Reporting and Monitoring* —USDOL-VETS is responsible for ensuring the effective implementation of this Cooperative Agreement, in accordance with the provisions of this announcement and the terms of the Cooperative Agreement award document. The awardee(s) must fully cooperate with USDOL-VETS staff while they conduct periodic on-site project reviews. Reviews will focus on timely project implementation, performance in meeting the Cooperative Agreement's objectives, tasks and responsibilities, expenditure of funds on allowable activities, and overall administration of project activities. The awardee(s) must agree to fully cooperate with monitoring personnel and make available performance and financial records on all parts of project activity, including participant employment and wage data, and to provide access to personnel, as specified by the Grant Officer Technical Representative. The awardee(s) will be required to submit periodic financial and programmatic accomplishment reports to their respective Grant Officer Technical Representative

(GOTR)as described below: A. Quarterly Financial Reports No later than 30 days after the end of each Federal fiscal quarter (October 30th, January 30th, April 30th, and July 30th) the awardee(s) must report outlays, program income, and other financial information on a Federal fiscal quarterly basis using SF-269, Financial Status Report, and submit a copy of the HHS/PMS 272 draw down report to their GOTR. These required quarterly financial reports must cite the assigned grant number and be electronically submitted to the Department of Labor's E-Grants Reporting System. B. Quarterly Program Reports No later than 30 days after the end of each Federal fiscal quarter (October 30th, January 30th, April 30th, and July 30th) awardee(s) must submit a Quarterly Technical Narrative Performance Report to the GOTR that contains the following:

(1)A comprehensive description of actual technical assistance and employer outreach activities conducted and the status of progress on identifying and drafting twenty

(20)HVRP grantee best practices as compared to the planned goals for the reporting period;

(2)An explanation for variances of plus or minus 15% of planned program and/or expenditure goals, to include: Identification of corrective action that will be taken to meet the planned goals, if required; and a timetable for accomplishment of the corrective action. These quarterly technical performance reports must cite the assigned grant number and may be submitted to the GOTR electronically via e-mail. C. 90-Day Final Report An outline of the final report is due to the GOTR forty-five

(45)days prior to the expiration of the cooperative agreement (May 15th) before the expiration of the

(each)period of performance. No later than 120 days after the

(each)period of performance (October 30th), the awardee(s) must submit a final narrative technical performance report to their Grant Officer Technical Representative showing results and performance as of the 90th day after the award period, and containing the following:

(1)Final Financial Status Report SF-269 data entered into the Department of Labor's E-grants reporting system (that zeros out all unliquidated obligations); and

(2)Final Technical Performance Report that describes the outcomes, technical assistance provided, employer outreach activities conducted as compared to the planned activities, the final twenty

(20)HVRP grantee best practices document in Word or .pdf format (if not provided earlier), and a narrative description of the overall activities performed, lessons learned, and recommendations for programmatic improvement(s). The final financial and technical performance reports must cite the assigned grant number and may be submitted to the Grant Officer Technical Representative electronically via e-mail. *Agency Contact:* All questions regarding this solicitation should be directed to Cassandra Mitchell, e-mail address: *mitchell.cassandra_dol.gov* , at telephone number:

(202)693-4570 (note this is not a toll-free number). To obtain further information on the Homeless Veterans' Reintegration Program of the U.S. Department of Labor, visit the USDOL-VETS Web site at *http://www.dol.gov/vets* . Individuals with hearing impairments may call 1-800-670-7008 (TTY/TDD). VII. Other Information A. Acknowledgement of USDOL Funding 1. *Printed Materials:* In all circumstances, the following must be displayed on printed materials prepared by the awardee(s) while in receipt of USDOL funding: “Preparation of this item was funded by the United States Department of Labor under Grant No. [insert the appropriate grant number].” • All printed materials must also include the following notice: “This document does not necessarily reflect the views or policies of the U.S. Department of Labor, nor does mention of trade names, commercial products, or organizations imply endorsement by the U.S. Government.” 2. *Public references to cooperative agreement award(s):* 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 awardees receiving Federal funds must clearly state: • The percentage of the total costs of the program or project, which will be financed with Federal money; • The dollar amount of Federal financial assistance for the project or program; and • The percentage and dollar amount of the total costs of the project or program that will be financed by non-governmental sources. B. Use of USDOL Logo: In consultation with USDOL, VETS, the awardee(s) must acknowledge USDOL's role as described below: • The USDOL logo may be applied to USDOL-funded material prepared for distribution, including posters, videos, pamphlets, research documents, national survey results, impact evaluations, best practice reports, and other publications of global interest. The awardee(s) must consult with USDOL on whether the logo may be used on any such items prior to final draft or final preparation for distribution. In no event will the USDOL logo be placed on any item until USDOL has given the awardee(s) permission to use the logo on the item. • All documents must include the following notice: ``This documentation does not necessarily reflect the views or policies of the U.S. Department of Labor, nor does mention of trade names, commercial products, or organizations imply endorsement by the U.S. Government.'' C. OMB Information Collection No. 1205-0458, Expires September 30, 2009. According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. Public reporting burden for this collection of information is estimated to average 20 hours per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimated or any other aspect of this collection of information, including suggestions for reducing this burden, to the U.S. Department of Labor, to the attention of Cassandra Mitchell, 200 Constitution Avenue, NW., Room S-4307, Washington, DC 20210. This information is being collected for the purpose of awarding a grant. The information collected through this “Solicitation for Grant Applications” will be used by the Department of Labor to ensure that grants are awarded to the applicant best suited to perform the functions of the grant. Submission of this information is required in order for the applicant to be considered for award of this grant. Unless otherwise specifically noted in this announcement, information submitted in the respondent's application is not considered to be confidential. *Resources for the Applicant:* The Department of Labor maintains a number of Web-based resources that may be of assistance to applicants. The Web page for the USDOL-VETS at *http://www.dol.gov/vets/programs/main.htm* is a valuable source of information including the program highlights and brochures, glossary of terms, frequently used acronyms, general and special provisions, power point presentations on how to apply for HVRP funding, On-Site Monitoring Visits, etc. The Interagency Council on Homeless at Web page *http://www.ich.gov* has information from various departments that assist homeless persons including updated information on local community ten

(10)year plans to end homelessness and continuum of care plans. Applicants may also review “VETS' Guide to Competitive and Discretionary Grants” located at Web page *http://www.dol.gov/vets/grants/Final_VETS_Guide-linked.pdf* . For a basic understanding of the application process and basic responsibilities of receiving Federal funds, please see “Guidance for Faith-Based and Community Organizations on Partnering with the Federal Government” at Web pages *http://www.whitehouse.gov/government/fbci* and *http://www.dol.gov/cfbci.* *Appendices:* (Located on U.S. Department of Labor, Veterans' Employment and Training Service Web page *http://www.dol.gov/vets* follow link for the applicable solicitation listed under announcements). Appendix A: Application for Federal Assistance SF-424. Appendix B: Budget Information Sheet SF-424A. Appendix C: Assurances and Certifications Signature Page. Appendix D: Direct Cost Descriptions for Applicants and Sub-Applicants. Appendix E: Survey on Ensuring Equal Opportunity for Applicants. Lisa Harvey, Grant Officer. [FR Doc. E7-7027 Filed 4-12-07; 8:45 am] BILLING CODE 4510-79-P DEPARTMENT OF LABOR Veterans' Employment and Training Service Urban and Non-Urban Homeless Veterans' Reintegration Program

(HVRP)Grants for Program Year

(PY)2007 Solicitation for Grant Applications #07-07, Period of Performance Is PY 2007, July 1, 2007 Through June 30, 2008; Catalog of Federal Domestic Assistance #17.805 AGENCY: Veterans' Employment and Training Service, Labor. ACTION: Notice of funding availability. DATES: Applications are due on May 14, 2007. SUMMARY: (Applicants For Grant Funds Should Read This Notice In Its Entirety): The U.S. Department of Labor (USDOL), Veterans' Employment and Training Service (VETS), announces a grant competition under 38 U.S.C. Section 2021, as added by Section 5 of Public Law 107-95, the Homeless Veterans Comprehensive Assistance Act of 2001 (HVCAA). Section 2021 requires the Secretary of Labor to conduct, directly or through grant or contract, such programs as the Secretary determines appropriate to expedite the reintegration of homeless veterans into the labor force. Both Urban and Non-Urban areas serving homeless veterans will be considered for funding under this HVRP solicitation. Urban areas are those that serve a high concentration of homeless veterans in the metropolitan areas of the 75 U.S. cities largest in population and the metropolitan area of San Juan, Puerto Rico, and are listed in Appendix G. Non-Urban areas are those areas that serve homeless veterans that are not listed on Appendix G. Applicants must indicate whether they are applying for an Urban or Non-Urban grant award on their grant application. HVRP grants are intended to address two objectives:

(1)To provide services to assist in reintegrating homeless veterans into meaningful employment within the labor force, and

(2)to stimulate the development of effective service delivery systems that will address the complex problems facing homeless veterans. Successful applicants will design programs that assist eligible veterans by providing job placement services, job training, counseling, supportive services, and other assistance to expedite the reintegration of homeless veterans into the labor force. Successful programs will also be designed to be flexible in addressing the universal as well as the local or regional problems that have had a negative impact on homeless veterans reentering the workforce. Under this solicitation covering PY 2007, VETS anticipates that up to $8,200,000 will be available, with a maximum award of $300,000 for grants that serve Urban areas and $200,000 for grants that serve Non-Urban areas. VETS expects to award grants in both the Urban and Non-Urban categories. The number of grants to be awarded in each category will be announced after selections are made as the grants are awarded based on merit of the application and the applicants. Awards are expected to range from $75,000 to a maximum of $200,000 for grants that serve Non-Urban areas and from $75,000 to a maximum of $300,000 for grants that serve Urban areas. This notice contains all of the necessary information and forms to apply for grant funding. The period of performance for these PY 2007 grants will be July 1, 2007 through June 30, 2008. Two

(2)optional years of additional funding may be available, subject to the availability funding, to the agency's decision to exercise the option year(s) of funding, and to satisfactory grantee and sub-awardee(s) performance. I. Funding Opportunity Description The U.S. Department of Labor (USDOL), Veterans' Employment and Training Service (VETS), announces a grant competition under 38 U.S.C. Section 2021, as added by Section 5 of Public Law 107-95, the Homeless Veterans Comprehensive Assistance Act of 2001 (HVCAA) . Section 2021 requires the Secretary of Labor (the Secretary) to conduct, directly or through grant or contract, such programs as the Secretary determines appropriate to provide job training, counseling, and placement services (including job readiness, literacy training, and skills training) to expedite the reintegration of homeless veterans into the labor force. 1. Program Concept and Emphasis HVRP grants are intended to address two objectives:

(a)to provide services to assist in reintegrating homeless veterans into meaningful employment within the labor force, and

(b)to stimulate the development of effective service delivery systems that will address the complex problems facing homeless veterans. For this Program Year

(PY)2007 grant solicitation, VETS seeks applicants that will provide services through a client-centered case management approach that will network with Federal, State, and local resources for veteran support programs. Successful applicants will have clear strategies and obtainable goals for employment and retention of employment for homeless veterans. Successful applicants will design programs that assist eligible veterans by providing job placement services, job training, counseling, mentoring, supportive services, and other assistance to expedite the reintegration of homeless veterans into the labor force. Successful applicants will also design programs that are flexible in addressing the universal as well as the local or regional problems that have had a negative impact on homeless veterans reentering the workforce. The HVRP in PY 2007 will seek to continue to strengthen development of effective service delivery systems, to provide comprehensive services “through a client-centered case management approach” that addresses complex problems facing eligible veterans trying to transition into gainful employment, and to improve strategies for employment and retention in employment. 2. Project Awareness Program Information and Orientation Activities In order to promote networking between the HVRP-funded program and local service providers (and thereby eliminate gaps or duplication in services and enhance the provision of assistance to participants), the grantee and sub-awardee(s) must provide project orientation workshops and program awareness activities that it determines are the most feasible for the types of providers listed below. Grantees and sub-awardee(s) are encouraged to propose strategies for incorporating small faith-based and community organizations (defined as organizations with social services budgets of $500,000 or less and ten

(10)or fewer full-time employees) into their outreach plans. Project orientation workshops conducted by grantees and sub-awardee(s) have been an effective means of sharing information and informing the community of the availability of other services; they are encouraged but it is not mandatory. Grantees and sub-awardee(s) will have the flexibility to attend service provider meetings, seminars, and conferences, to outstation staff, and to develop individual service contracts as well as to involve other agencies in program planning. *The grantee and sub-awardee(s) will be responsible for providing project awareness, program information, and orientation activities to the following:* A. Direct providers of services to homeless veterans, including shelter and soup kitchen operators, to make them aware of the services available to homeless veterans to make them job-ready and to aid their placement into jobs; B. Federal, State, and local agencies such as the Housing and Urban Development (HUD), Social Security Administration (SSA), Department of Veterans Affairs (DVA), State Workforce Agencies

(SWAs)and local One-Stop Career Centers (which integrate Workforce Investment Act

(WIA)and other employment and training services), mental health services, and healthcare detoxification facilities; to familiarize them with the nature and needs of homeless veterans; and C. Civic and private sector groups, in particular veterans' service organizations, support groups, job training and employment services, and community-based organizations (including faith-based organizations), to provide information on homeless veterans and their needs. The grantee and sub-awardee(s) will also be responsible for participating in “Stand Down” events. A “Stand Down” is an event held in a locality, usually for one

(1)to three

(3)days, where services are provided to homeless veterans along with shelter, meals, clothing, employment services, and medical attention. This type of event is mostly a volunteer effort, which is organized within a community and brings service providers together such as the Department of Veterans Affairs, Disabled Veterans' Outreach Program Specialists

(DVOP)and Local Veterans' Employment Representatives

(LVER)staff from the State Workforce Agencies (SWAs), Veteran Service Organizations, military personnel, civic leaders, and a variety of other interested persons, groups, and organizations. Many services are provided on-site with referrals also made for continued assistance after the Stand Down event. These events can often be the catalyst that enables homeless veterans to get back into mainstream society. The Department of Labor has supported replication of these events and many have been held throughout the nation. *In areas where an HVRP is operating, grantees and sub-awardee(s) are expected and encouraged to participate fully and offer their services for all locally planned Stand Down event(s).* Toward this end, up to $8,000 of the requested HVRP grant funds may be used to supplement the Stand Down efforts, where funds are not otherwise available, and may be requested and explained in the budget narrative. 3. Scope of Program Design *In addition to the activities described above, the project design must include the following services:* A. Outreach, intake, assessment, peer counseling or mentoring to the degree practical, employment services, and follow-up support services to enhance retention in employment. Program staff providing outreach services should have experience in dealing with, and an understanding of the needs of, homeless veterans. Outreach activities must include and coordinate with the DVOP and LVER staff in the SWAs or in the workforce investment systems' One-Stop Career Centers, Veterans' Workforce Investment Program (VWIP), the Department of Veterans Affairs (DVA), and Department of Housing and Urban Development

(HUD)and their local Continuum of Care. B. Provision of or referral to employment services such as: Job search workshops; job counseling; assessment of skills; resume writing techniques; interviewing skills; subsidized trial employment (work experience); job development services; job placement into unsubsidized employment; and job placement follow-up services to enhance retention in employment. C. Provision of or referral to training services such as: Basic skills instruction; remedial education activities; life skills and money management training; on-the-job training; classroom training; vocational training; specialized and/or licensing training programs; and other formal training programs as deemed appropriate to benefit the participant. At least 80% of the enrolled HVRP participants must participate in training activities. D. Grantees and sub-awardee(s) must perform preliminary assessment of each participant's eligibility for DVA service-connected disability, compensation, and/or pension benefits. As appropriate, grantees and sub-awardee(s) will work with the veterans' service organizations or refer the participants to DVA in order to file a claim for compensation or pension. Grantees and sub-awardee(s) will track the progress of claims and report outcomes in individual participant case management records. E. Coordination with veterans' services programs, including: DVOPs and LVERs in the workforce investment system's One-Stop Career Centers as well as VWIP grantees; DVA services, including its Health Care for Homeless Veterans, Domiciliary Care, Regional Benefits Assistance Program, and Transitional Housing under Homeless Provider Grant and Per Diem programs; and HUD and their local Continuum of Care. F. Networking, collaborating, and coordinating efforts with veterans' service organizations such as: The American Legion; Disabled American Veterans; Veterans of Foreign Wars; Vietnam Veterans of America; The American Veterans (AMVETS); etc. to ensure participants apply for and/or receive other veterans' benefits that they may be eligible for. G. Referral as necessary to health care, counseling, and rehabilitative services including, but not limited to: Alcohol and drug rehabilitation, therapeutic services; Post Traumatic Stress Disorder

(PTSD)services; and mental health services as well as coordination with McKinney-Vento Homeless Assistance Act (MVHAA) programs for health care for the homeless; and health care programs under the Homeless Veterans Comprehensive Assistance Act (HVCAA) of 2001. H. Referral to housing assistance, as appropriate, provided by: HUD and their local Continuum of Care; local shelters; Federal Emergency Management Administration

(FEMA)food and shelter programs; transitional housing programs and single room occupancy housing programs funded under MVHAA and HVCAA, and permanent housing programs for disabled homeless persons funded under MVHAA and HVCAA. 4. Performance Measures For purposes of assessing performance of grantees selected under this SGA, VETS will focus on two performance measures described below. However, grantees also will be required to report additional performance information, as required in the provided DOL guidance on Common Measures and as described below. All performance outcomes will be reported quarterly using an Internet-based reporting system for HVRP, with access provided to successful grantees after the award process has been completed. There are two

(2)outcome measures with established performance targets for HVRP grants. The first outcome measure is the placement rate with a performance target for grantees and sub-awardee(s) to meet a minimum placement (now referred to as entered employment under Common Measures definitions) rate of 66%. This is determined by dividing the number of participants who entered employment (or employed after their Exit Quarter) by the number of participants exited. Under Common Measures, a person is considered to have exited the program if they have secured a job and/or not received job search or employment service (other than follow-up and retention services) for at least one

(1)quarter or over 90 days. Job retention and counseling services do not count as a “service” that would prevent a person from being exited from the program. See further definitions below. While the percentage of HVRP participants who enter employment is an important outcome, it is also necessary to evaluate and measure the program's longer-term results, through the 90-day, 180-day, and 270-day employment retention follow-up periods after a HVRP participant enters employment. The second outcome measure is retention following placement with a performance target for grantees and sub-awardee(s) to meet a minimum rate of retention of 59%. This is determined by dividing the number of participants retained in employment for 180-days divided by the total number of participants who entered employment two

(2)quarters previously. Note: For example, awardees should not have a reported retention rate before the third quarter, since it requires at least 180-days by the definition after a person enters employment and 90-days to be considered exited from the program for the awardee to be able to post job retention. While there is no performance target established for retention at 90-days following entered employment, grantees are required to collect and report the rate of retention in employment at that point. The Common Measures Technical Assistance Guide for Competitive Grantees (Appendix H) describes in detail the specific data grantees will be required to collect and report on utilizing the Common Measures definitions, methodologies, and reporting requirements. Appendix H and the Recommended Format for Common Measures Planned Quarterly Technical Performance Goals (Appendix D) are provided to assist applicants in determining their planned goals. 5. Results-Oriented Model No specific model is mandatory, but successful applicants will design a program that is responsive to the needs of the local community and achieves the HVRP objectives. The HVRP objectives are to successfully reintegrate homeless veterans into the workforce and to stimulate the development of effective service delivery systems that will address the complex problems facing homeless veterans. Under the Government Performance and Results Act (GPRA), Congress and the public are looking for program results. The applicant's program should be based on a results-oriented model. The first phase of activity should consist of the level of outreach necessary to introduce the program to eligible homeless veterans. Outreach also includes establishing contact with other agencies that encounter homeless veterans. Once the eligible homeless veterans have been identified, an assessment must be made of each individual's abilities, interests, needs, and barriers to employment. In some cases, participants may require referrals to services such as rehabilitation, drug or alcohol treatment, or a temporary shelter before they can be enrolled into the HVRP program. Once the eligible homeless veteran is stabilized, the assessment must concentrate on the employability of the individual and whether the individual is to be enrolled into the HVRP program. A determination should be made as to whether the HVRP participant would benefit from pre-employment preparation such as resume writing, job search workshops, related employment counseling, and case management, or possibly an initial entry into the job market through temporary jobs. Additionally, sheltered work environments such as the Department of Veterans Affairs Compensated Work Therapy Program, classroom training, and/or on-the-job training must be evaluated. Such services should be noted in an Individual Employment Plan

(IEP)to facilitate the staff's successful monitoring of the participant's progress. Entry into full-time employment or a specific job-training program should follow, in keeping with the overall objective of HVRP, to bring the participant closer to self-sufficiency. The grantee should provide or arrange for these supportive services that will enable the HVRP participant to successfully perform all the activities specified in the IEP. Job development, a crucial part of the employability process, usually occurs when there are no competitive job openings that the HVRP participant is qualified to apply for; therefore, a job opportunity with an employer is created, developed, and customized specifically for that HVRP participant. HVRP participants who are ready to enter employment and are in need of intensive case management services for employment purposes are to be referred to the DVOP and LVER staff at a One-Stop Career Center. DVOP and LVER staff are able to provide HVRP participants the following services: job development, employment services, case management for employment purposes, and career counseling. Most DVOP and LVER staff received training in case management for employment purposes at the National Veterans' Training Institute. All DVOP and LVER staff provides employment-related services to veterans who are most at a disadvantage in the labor market. VETS recommends all HVRP grantees work hand-in-hand with DVOP/LVER and other One-Stop Career Center staff to achieve economies of resources and to avoid duplication of services. DVOP/LVER staff may also be able to provide grantees and sub-awardee(s) valuable assistance in tracking participants within their State wage record management information system for follow-up purposes at 90-, 180-, and 270-days after a participant enters employment. The applicant's program must include tracking of program participants. Participant tracking should begin with the referral to supportive services and training activities and continue at placement into employment and through the 90-day, 180-day, and 270-day follow-up periods after the participant enters employment. It is important that the grantee and sub-awardee(s) maintain contact with veterans after placement to ensure that employment-related problems are addressed. The 90-day, 180-day, and 270-day follow-ups are fundamental to assessing program results. Grantees and sub-awardee(s) need to budget for 90-day, 180-day, and 270-day follow-up activity so that it can be performed for those participants who enter employment at or near the end of the grant performance period. All grantees and sub-awardee(s), prior to the end of the grant performance period, must obligate sufficient funds to ensure that follow-up activities are completed. Such results will be reported in the final technical performance report. II. Award Information 1. Type of Funding Instrument One-year grants with optional funding for an additional two years will be awarded. Note: Selection of an organization as a grantee does not constitute final approval of the grant application and budget as submitted. Before or shortly after the actual grant is awarded, USDOL may enter into negotiations about such items as program components, staffing, and funding levels, and administrative systems in place to support grant implementation. If the negotiations do not result in a mutually acceptable submission, the Grant Officer reserves the right to terminate the negotiation and decline to fund the application or terminate the award. 2. Funding Levels Under this solicitation covering Program Year

(PY)2007, VETS anticipates that up to $8,200,000 will be available, with a maximum award of $300,000 for grants that serve Urban areas and $200,000 for grants that serve Non-Urban areas. VETS expects to award grants in both the Urban and Non-Urban categories. The number of grants to be awarded in each category will be announced after selections are made as the grants are awarded based on merit of the application and the applicants. Awards are expected to range from $75,000 to a maximum of $200,000 for grants that serve Non-Urban areas and from $75,000 to a maximum of $300,000 for grants that serve Urban areas. Applicants must indicate in writing whether they are applying for an Urban or Non-Urban grant award on their grant application. The Department of Labor reserves the right to negotiate the amounts to be awarded under this competition. Please be advised that requests exceeding $200,000 that plan to serve Non-Urban areas and $300,000 that plan to serve Urban areas will be considered non-responsive and will not be evaluated. If there are any residual programmatic funds, the Department of Labor reserves the right to select for funding the next highest scoring applicant(s) on the competitive list developed for this SGA up to June 30, 2008. 3. Period of Performance The period of performance will be for the twelve

(12)month period of July 1, 2007 through June 30, 2008, unless modified by the Grant Officer. It is expected that successful applicants will begin program operations under this solicitation on July 1, 2007. All program funds must be obligated by the grantee by June 30, 2008; a limited amount of funds may be obligated and reserved for follow-up activities and closeout. 4. Optional Year Funding Should Congress appropriate additional funds for this purpose, VETS may consider up to two

(2)additional years of optional funding. The Government does *not,* however, guarantee optional year funding for any grantee or sub-awardee(s). In deciding whether to exercise any optional year(s) of funding, VETS will consider grantee and sub-awardee(s) performance during the previous period of operations as follows: A. The grantee and sub-awardee(s) must meet, at minimum, 90% of planned cumulative goals for Federal expenditures, enrollments, placements into employment, and training by the end of the third quarter; and B. The grantee and sub-awardee(s) must have complied with all terms identified in the Solicitation for Grant Application (SGA), grant award document, and General and Special Grant Provisions; and C. All program and fiscal reports must have been submitted by the established due dates and the grantee and sub-awardee(s) must verify these reports for accuracy purposes. III. Eligibility Information 1. Eligible Applicants Applications for funds will be accepted from State and local Workforce Investment Boards, local public agencies, for-profit/commercial entities, and non-profit organizations, including faith-based and community organizations. Applicants must have a familiarity with the area and population to be served and the ability to administer an effective and timely program. *Eligible applicants will generally fall into one of the following categories:* • State and local Workforce Investment Boards (WIBs), established under Sections 111 and 117 of the Workforce Investment Act. • Public agencies, meaning any public agency of a State or of a general purpose political subdivision of a State that has the power to levy taxes and spend funds, as well as general corporate and police powers. (This typically refers to cities and counties.) A State agency may propose in its application to serve one or more of the jurisdictions located in its State. This does not preclude a city or county agency from submitting an application to serve its own jurisdiction. • For-profit/commercial entities. • Non-profit organizations (including faith-based and community organizations). If claiming 501(c)(3) status, the Internal Revenue Service statement indicating 501(c)(3) status approval must be submitted. Note that entities organized under Section 501(c)(4) of the Internal Revenue Code are not eligible to receive funds under this announcement. Section 18 of the Lobbying Disclosure Act of 1995, Public Law 104-65, 109 Stat. 691 (2 U.S.C. 1611) prohibits instituting an award, grant, or loan of federal funds to 501(c)(4) entities that engage in lobbying. 2. Cost Sharing Cost sharing and matching funds are *not* required. However, we do encourage grantees and sub-awardee(s) to maximize the resources available to the HVRP program and its participants. 3. Other Eligibility Criteria A. Both Urban and Non-Urban areas serving homeless veterans will be considered for funding under this HVRP solicitation. Urban areas are those that serve a high concentration of homeless veterans in the metropolitan areas of the 75 U.S. cities largest in population and the metropolitan area of San Juan, Puerto Rico, and are listed in Appendix G. Non-Urban areas are those areas that serve homeless veterans that are not listed on Appendix G. B. The proposal must include a participant outreach component that uses DVOP/LVER staff and/or trained outreach staff. Programs must be “employment-focused.” An “employment-focused” program is a program directed toward:

(1)Increasing the employability of homeless veterans through training or arranging for the provision of services that will enable them to reintegrate into the labor force and

(2)matching homeless veterans with potential employers and/or entrepreneurial opportunities. C. Applicants are encouraged to utilize, through partnerships or sub-awards, experienced public agencies, private non-profit organizations, private businesses, faith-based and community organizations, and colleges and universities (especially those with traditionally high enrollments of minorities) that have an understanding of unemployment and the barriers to employment unique to homeless veterans, a familiarity with the area to be served, linkages with the One-Stop Career Center(s), and the capability to effectively provide the necessary services. D. *Legal Rules Pertaining to Inherently Religious Activities by Organizations that Receive Federal Financial Assistance:* Neutral, non-religious criteria that neither favor nor disfavor religion will be used in the selection of grant recipients and must be employed by Grantees or in the selection of sub-awardee(s). The U.S. Government is generally prohibited from providing “direct” financial assistance for inherently religious activities. The Grantee may be a faith-based organization or work with a partner with religious institutions; however, “direct” Federal financial assistance provided under this grant may not be used for religious instruction, worship, prayer, proselytizing or other inherently religious activities. In this context, the term “direct financial assistance” means financial assistance that is provided directly by a government entity or an intermediate organization, as opposed to financial assistance that an organization receives as the result of the genuine, independent, private choice of a beneficiary. 29 CFR part 2, Subpart D governs the treatment in government programs of religious organizations and religious activities. The Grantee and sub-awardee(s) are expected to be aware of and observe the regulations of this subpart. E. To be eligible for enrollment as a participant under this HVRP grant an individual must be homeless *and* a veteran defined as follows: • The term “homeless or homeless *individual* ” includes persons who lack a fixed, regular, and adequate nighttime residence. It also includes persons whose primary nighttime residence is a supervised public or privately operated shelter designed to provide temporary living accommodations; an institution that provides a temporary residence for individuals intended to be institutionalized; or a public or private place not designed for, or ordinarily used as, a regular sleeping accommodation for human beings. [42 U.S.C. 11302(a)]. Inadequate nighttime residence examples include: sleeping in the streets, in the woods, in public parks, in cars, on outside benches, under bridges, in tents, in caves, under a lean-to, etc. Inadequate nighttime residence does *not* include living with relatives or friends. • The term “ *veteran* ” means a person who served in the active military, naval, or air service, and who was discharged or released under conditions other than dishonorable. [38 U.S.C. 101(2)]. IV. Application and Submission Information 1. Address To Request an Application and Amendments This SGA, together with its attachments, includes all the information needed to apply. Additional application packages and amendments to this SGA may be obtained from the VETS Web site address at *www.dol.gov/vets* , the Federal Grant Opportunities Web site address at *http://www.grants.gov* , and from the Federal Register Web site address at *http://www.gpoaccess.gov/fr/index.html.* The **Federal Register** may also be obtained from your nearest government office or library. Additional copies of the standard forms can be downloaded from: *http://www.whitehouse.gov/omb/grants/grants_forms.html.* All mailed applications must be addressed to: Department of Labor, Procurement Services Center, Attention: Cassandra Mitchell, Reference SGA #07-07, 200 Constitution Avenue, NW., Room S-4307, Washington, DC 20210, Phone Number:

(202)693-4570 (this is not a toll-free number). • Applicants are encouraged to apply online at *www.grants.gov.* Applicants submitting proposals online are requested to refrain from mailing a hard copy application as well. It is strongly recommended that applicants using *www.grants.gov* immediately initiate and complete the “Get Started” registration steps at *http://www.grants.gov/GetStarted.* These steps may take multiple days to complete, and this time should be factored into plans for electronic submission in order to avoid facing unexpected delays that could result in the rejection of an application. If submitting electronically through *www.grants.gov* it would be appreciated if the application submitted is saved as .doc, .pdf, or .txt files. • Except as provided in Section IV.3., any application received after the deadline (hard copy or electronic) will be considered as non-responsive and will not be evaluated. 2. Content and Form of Application The application must include the name, address, telephone number, fax number, and e-mail address (if applicable) of a key contact person (program and fiscal) at the applicant's organization in case questions should arise. To be considered *responsive* to this solicitation the application must consist of three

(3)separate and distinct sections: The Executive Summary, the Technical Proposal, and the Cost Proposal. The information provided in these three

(3)sections is essential to demonstrate an understanding of the programmatic and fiscal contents of the grant proposal. A complete grant application package must not exceed 75 single-sided pages (8 1/2 ″ x 11″), double-spaced, 12-point font, typed pages (all attachments are included in the 75 page maximum). Any pages over the 75-page limit will not be reviewed. Major sections and sub-sections of the application should be divided and clearly identified (e.g. with tab dividers), and all pages must be numbered. To be considered responsive grant applications are to include (electronic submissions thru *www.grants.gov* will not require copies): • An original, blue ink-signed, and two

(2)copies of the cover letter. • An original and two

(2)copies of the Executive Summary (see below). • An original and two

(2)copies of the Technical Proposal (see below) that includes a completed Recommended Format for Common Measures Planned Technical Performance Goals Form (Appendix D). Also include all attachments with the technical proposal, such as the applicant's information showing outcomes of employment and training programs that it has had in the past three

(3)years in terms of enrollments and participants who have entered into employment. If Appendix D or a similar form with all the required performance goals data is not included, the application will be considered non-responsive and will not be evaluated. • An original and two

(2)copies of the Cost Proposal (see below) that includes an original, blue ink-signed, Application for Federal Assistance, SF-424 (Appendix A), a Budget Narrative, Budget Information Sheet SF-424A (Appendix B), an original, blue ink-signed, Assurances and Certifications Signature Page (Appendix C), a Direct Cost Description for Applicants and Sub-applicants (Appendix E), a completed Survey on Ensuring Equal Opportunity for Applicants (Appendix F), and the applicant's grant specific financial and/or audit statement dated within the last 18 months (audit and financial statements do not count towards the 75 page limitation). A. *Section 1—Executive Summary:* A one to two page “Executive Summary” reflecting the grantee's and sub-awardee(s) proposed overall strategy, timeline, and outcomes to be achieved in their grant proposal is required. The Executive Summary is to include: • The proposed area to be served (Urban or Non-Urban) through the activities of this grant application. • The grantee's experience in serving the residents in the proposed service area. • The proposed strategy, program design, process, method, projects, and/or statement of work with schedule or timeline that will expedite the reintegration of homeless veterans into the workforce. • Describe the measures of success for the plan. A summary of anticipated outcomes, goals, number of participants served, number hired, increase in wages, educational degrees, cost effectiveness, results-oriented model, benefits, and value added by the project. B. *Section 2—Technical Proposal* that is not to exceed 15 single-sided pages of double-spaced 12-pitch font and one inch left, right, top, and bottom margins and does count towards the 75 page maximum. The technical proposal consists of a narrative proposal that demonstrates the need for this particular grant program, the services and activities proposed to obtain successful outcomes for the homeless veterans to be served; and the applicant's ability to accomplish the expected outcomes of the proposed project design. All applications must respond to the requirements for the program concept, required activities, and results oriented model set forth in Section I of the SGA. *Required Content:* There are program activities that all applications must contain to be found technically acceptable under this SGA. Programs must be “employment-focused” and must be responsive to the rating criteria in Section V (1). *The required program activities are:* Participant outreach and project awareness activities, pre-enrollment assessments, individual employment plans for each participant, case management, job placement, job retention follow-up (at 90, 180, and 270 days) after individual enters employment, utilization and coordination of employment services through the One-Stop Career Center System, including the DVOP and LVER staff, and with community linkages with other programs that provide support to homeless veterans. All applicants must respond to the requirements for the program concept, required activities and results-oriented model described in Section I. of the SGA. *The following format for the technical proposal is recommended:* *Need for the program:* The applicant must identify the geographical area to be served and provide an estimate of the number of homeless veterans in the designated geographical area. Include poverty and unemployment rates in the area and identify the disparities in the local community infrastructure that exacerbate the employment barriers faced by the targeted veterans. Include labor market information and job opportunities in the employment fields and industries that are in demand in the geographical area to be served. Applicants are to clearly describe the proposed program awareness and participant outreach strategies. *Approach or strategy to increase employment and job retention:* Applicants must be responsive to the Rating Criteria contained in Section V

(1)and address all of the rating factors as thoroughly as possible in the narrative. The applicant must: • Describe the specific employment and training services to be provided under this grant; the applicant's local employer network that will be used to place homeless veterans into employment; and the sequence or flow of such services; • Indicate the type(s) of training that will be provided under the grant and how it relates to the jobs that are in demand, length of training, training curriculum, and how the training will improve the eligible veterans' employment opportunities within that geographical area; • Provide a follow-up plan that addresses employment retention after 90-, 180-, and 270-days for participants who have entered employment; • Include the completed Recommended Format for Common Measures Planned Quarterly Technical Performance Goals (and planned expenditures) form listed in Appendix D. If the Common Measures Planned Quarterly Technical Performance Goals form listed in Appendix D is not submitted, the grant application package will be considered as non-responsive and not evaluated. *Linkages with facilities that serve homeless veterans:* Describe program and resource linkages with other facilities that will be involved in identifying potential clients for this program. Applicants are encouraged to submit a list of their local area network of service providers that offer and provide services to benefit HVRP participants. Describe any networks with other related resources and/or other programs that serve homeless veterans. Indicate how the program will be coordinated with any efforts that are conducted by public and private agencies in the community. Indicate how the applicant will coordinate with any local continuum of care efforts for the homeless among agencies in the community. If a Memorandum of Understanding

(MOU)or other service agreement with service providers exists, copies should be provided. *Linkages with other providers of employment and training services to homeless veterans:* Describe the linkages, networks, and relationships the proposed program will have with employers, educational providers, and other providers of services to homeless veterans; include a description of the relationship with other employment and training programs in the One-Stop Career Centers such as Disabled Veterans' Outreach Program (DVOP), the Local Veterans' Employment Representative

(LVER)program, and programs under the Workforce Investment Act such as the Veterans' Workforce Investment Program (VWIP); list the type of services that will be provided by each. Note the type of agreement in place, if applicable. Linkages with the workforce investment system and educational providers are required. Describe any networks with any other resources and/or other programs for homeless veterans. If an MOU or other service agreement with other service providers exists, copies should be provided. *Linkages with other Federal agencies:* Describe program and resource linkages with the Department of Housing and Urban Development (HUD), Department of Health and Human Services (HHS), and Department of Veterans Affairs (DVA), to include the Compensated Work Therapy

(CWT)and Grant and Per Diem programs. If an MOU or other service agreement with other service providers exists, copies should be provided. *Proposed supportive service strategy for veterans:* Describe how supportive service resources for veterans will be obtained and used. If resources are provided by other sources or linkages, such as Federal, State, local, or faith-based and community programs, the applicant must fully explain the use of these resources and how they will be applied. If a MOU or other service agreement with other service providers exists, copies should be provided. *Organizational capability to provide required program activities:* The applicant must describe key staff skills, experience, biographies, history, knowledge, qualifications, capabilities, office locations, and/or organizational chart. It is preferred that the grantee and sub-awardee(s) be a well established service provider and not in the initial start-up phase or process. The applicant's relevant current and prior experience (within the last three year period) in operating employment and training programs is to be clearly described, if applicable. A summary narrative of program experience and employment and training performance outcomes is required. The applicant must provide information showing outcomes of employment and training programs that it has had in the past three

(3)years in terms of enrollments and participants who have entered into employment. An applicant that has operated a HVRP, other homeless employment and training program, or Veterans' Workforce Investment Program must also include the final or most recent cumulative quarterly technical performance report. Please note that the Department of Labor grant review panel members, who will be reviewing all grant applications submitted as a result of this SGA, do *not* have access to any reporting information systems during the review process, therefore, if final or most recent cumulative quarterly technical performance reports are not submitted, the grant application may be considered non-responsive. *Measures of Success* —Applicants are to describe the measures of success for the proposed plan. Applicants are to describe the proposed outcomes, goals, number served, number hired, increased wages, educational degrees, cost effectiveness, result-oriented model, feedback mechanism, performance accountability, evaluation and improvement, and/or the proposed system to monitor the implementation of program activities and achievement of stated project objectives. Applicants must indicate their planned level of performance utilizing the Common Measures reporting methodology as described in Appendix H. If the Common Measures reporting methodology is not utilized by the applicant, the application will be considered non-responsive and not evaluated. *Sustainability* —Applicants are to describe how the proposed program can or will outlast the federal funding. *Proposed housing strategy for homeless veterans:* Describe how local housing resources for eligible homeless veterans will be obtained or accessed. These resources must be from linkages or sources other than the HVRP grant such as HUD, HHS, community housing resources, DVA Grant and Per Diem Program, or other local housing programs. C. *Section 3—The Cost Proposal must contain the following:* Applicants can expect that the cost proposal will be reviewed for allocability, allowability, and reasonableness.

(DUNS)of the applicant. Beginning October 1, 2003, all applicants for Federal grant funding opportunities are required to include a DUNS number with their application. *See* OMB Notice of Final Policy Issuance, 68 FR 38402 (June 27, 2003). Applicants' DUNS number is to be entered into Block 8 of SF-424. The DUNS number is a nine-digit identification number that uniquely identifies business entities. There is no charge for obtaining a DUNS number. To obtain a DUNS number call 1-866-705-5711 or access the following web site: *http://www.dunandbradstreet.com/.* Requests for exemption from the DUNS number requirement must be made to the Office of Management and Budget. If no DUNS number is provided then the grant application will be considered non-responsive.

(2)Standard Form SF-424A “Budget Information Sheet” (Appendix B) must be included;

(3)As an attachment to SF-424A, the applicant must provide a detailed cost breakout of each line item on the Budget Information Sheet. Please label this page or pages the “Budget Narrative” and ensure that costs reported on the SF-424A correspond accurately with the Budget Narrative; *The Budget Narrative must include, at a minimum:* • *Personnel Costs* —Applicants must provide a breakout of all personnel costs by position, title, annual salary rates, and percent of time of each position to be devoted to the proposed project (including sub-grantees) by completing the “Direct Cost Descriptions for Applicants and Sub-Applicants” form (Appendix E); • *Fringe Benefits* —Applicants must provide an explanation and breakout of extraordinary fringe benefit rates and associated charges (i.e., rates exceeding 35% of salaries and wages); • *Explanation of Costs and Methodologies* —Applicants must provide an explanation of the purpose and composition of, and methodology used to derive the costs of each of the following: Personnel, fringe, travel, equipment, supplies, sub-awards/contracts, and any other costs. The applicant must include costs of any required travel described in this Solicitation. Planned travel expenditures may not exceed 5% of the total HVRP funds requested. Mileage charges may not exceed 44.5 cents per mile or the current Federal rate; • *Follow-Up Services* —Applicants must describe all associated costs for obtaining and retaining participant information pertinent to the follow-up services at 90-, 180-, and 270-days after the program performance period ends. In addition, if State Unemployment Insurance data will be used to substantiate applicants follow-up results, it is suggested that the applicant include any official Memorandums of Understanding

(MOUs)or other formalized agreements that enable the applicant to obtain such information. • *Equipment Purchases* —Applicants must provide a description/specification of, and justification for, equipment purchases, if any. Tangible, non-expendable, personal property having a useful life of more than one year and a unit acquisition cost of $5,000 or more per unit must be specifically identified. • *Other Funds* —Applicants are to describe other funding sources to include matching funds, leveraged funds, and in-kind services. Matching funds are not required for HVRP grants, however are encouraged. When resources such as matching funds, leveraged funds, and/or the value of in-kind contributions are made available, please describe in Section B of the Budget Information Sheet.

(4)A completed Assurance and Certification signature page (Appendix C) (signed in blue ink) must be submitted;

(5)All applicants must submit evidence of satisfactory financial management capability, which must include recent (within the last 18 months) grant specific financial and/or audit statements (does not count towards the 75 page limitation). All successful grantees and sub-awardee(s) are required to utilize Generally Accepted Accounting Practices (GAAP), maintain a separate accounting for these grant funds, and have a checking account;

(6)All applicants must include, as a separate appendix, a list of all employment and training government grants and contracts that they have had in the past three

(3)years, including grant/contract officer contact information (this is included in the 75 page limitation). VETS reserves the right to have a DOL representative review and verify this data;

(7)A completed Survey on Ensuring Equal Opportunity for Applicants (Appendix F) must be provided. 3. Submission Dates and Times (Acceptable Methods of Submission) The grant application package must be received at the designated place by the date and time specified or it will not be considered. Any application received at the Office of Procurement Services after 5 p.m. ET, May 14, 2007, will not be considered unless it is received before the award is made and: • It is determined by the Government that the late receipt was due solely to mishandling by the Government after receipt at the U.S. Department of Labor at the address indicated; or • It was sent by registered or certified mail not later than the fifth calendar day before May 14, 2007; or • It was sent by U.S. Postal Service Express Mail Next Day Service-Post Office to Addressee, not later than 5:00 p.m. at the place of mailing two

(1)application per submitting organization and physical location serving the same HVRP participant population. If two

(2)original applications from the same organization for the same physical location serving the same HVRP participant population are submitted, the application with the later date will be considered as non-responsive. Please do not submit duplicate original grant applications as only one

(1)grant application will be considered for funding purposes. C. Due to the limited availability of funding, if an organization was awarded Fiscal Year 2005 or Fiscal Year 2006 HVRP funds for a specific physical location serving the same HVRP participant population and will be applying for second and possible third year funding in PY 2007, then that organization at that specific physical location serving the same HVRP participant population will be considered ineligible to compete for a new grant using PY 2007 HVRP funds. Therefore, due to the limited funding availability, we are unable to award more than one

(1)HVRP grant per organization at a specific physical location serving the same HVRP participant population. A separate Director's Memorandum will be issued for grantees that are eligible to apply for second and third optional year funding that includes detailed instructions on how to apply for these funds. D. There will not be reimbursement of pre-award costs unless specifically agreed upon in writing by the Department of Labor. E. Entities described in Section 501(c)(4) of the Internal Revenue Code that engage in lobbying activities are not eligible to receive funds under this announcement because Section 18 of the Lobbying Disclosure Act of 1995, Public Law No. 104-65, 109 Stat. 691, prohibits the award of Federal funds to these entities. *F. Limitations on Administrative and Indirect Costs.* Administrative costs, which consist of all direct and indirect costs associated with the supervision and management of the program, are limited to and may not exceed 20% of the total grant award. Indirect costs claimed by the applicant must be based on a federally approved rate. A copy of the current negotiated approved and signed indirect cost negotiation agreement must be submitted with the application. Furthermore, indirect costs are considered a part of administrative costs for HVRP purposes and, therefore, may not exceed 20% of the total grant award. • If the applicant does not presently have an approved indirect cost rate, a proposed rate with justification may be submitted. Successful applicants will be required to negotiate an acceptable and allowable rate within 90 days of grant award with the appropriate DOL Regional Office of Cost Determination or with the applicant's cognizant agency for indirect cost rates ( *See* Office of Management and Budget Web site at: *http://www.whitehouse.gov/omb/grants/attach.html.* • Indirect cost rates traceable and trackable through the State Workforce Agency's Cost Accounting System represent an acceptable means of allocating costs to DOL and, therefore, can be approved for use in grants to State Workforce Agencies. V. Application Review Information: 1. Application Evaluation Criteria Applications may receive up to 110 total points based on the following criteria: A. Need for the Project: 10 Points The applicant will document the need for this project, as demonstrated by:

(1)The potential number or concentration of homeless individuals and homeless veterans in the proposed project area relative to other similar areas;

(2)the rates of poverty and unemployment in the proposed project area as determined by the census or other surveys; and

(3)the extent of the gaps in the local infrastructure to effectively address the employment barriers that characterize the target population. B. Overall Strategy To Increase Employment and Retention in Employment: 35 Points [and up to 10 additional points (for a total of 45 points) if overall strategy includes an approach for addressing barriers to employment faced by chronically homeless veterans as described below.] The application must include a description of the approach to providing comprehensive employment and training services, including outreach, pre-enrollment assessment, job training, job development, obtaining employer commitments to hire, placement, and post-placement follow-up services. Applicants must address how they will target occupations that are locally in demand with career growth potential and that will provide wages to ensure self-sufficiency for the participant. Supportive services provided as part of the strategy of promoting job readiness and job retention must be indicated. The applicant must identify the local services and sources of training to be used for participants. At least 80% of participants must participate in training activities. A description of the relationship with other employment and training programs delivered through the One-Stop Career Center System must be specified. Applicants must indicate how the activities will be tailored or responsive to the needs of homeless veterans. A participant flow chart may be used to show the sequence and mix of services (does not count towards the 75 page limitation). In addition, if State Unemployment Insurance data will be used to substantiate the applicant's follow-up results, it is suggested that the applicant include any official MOUs or other formalized agreement that enables the applicant to obtain such information (does not count towards the 75 page limitation). *Additional Points (referenced in the Heading to Section B):* Up to an additional 10 points under this section will be awarded to grant proposals that focus some of their effort on addressing the barriers to employment faced by chronically homeless veterans. A veteran who is “chronically homeless” is an unaccompanied homeless individual with a “disabling condition” who has either been continuously homeless for a year or more, OR who has had at least four

(4)episodes of homelessness in the past three

(3)years. A disabling condition is defined as a diagnosable substance use disorder, serious mental illness, developmental disability, or chronic physical illness or disability including the co-occurrence of two or more of these conditions. A “disabling condition” limits an individual's ability to work or perform one or more activities of daily living. Note: The applicant must complete the Recommended Format for Common Measures Planned Quarterly Technical Performance Goals (Appendix D), with proposed programmatic outcomes, including participants served, placement/entered employments and job retention or a similar document containing the same information and if not, the grant application will be considered non-responsive and will not be evaluated. C. Quality and Extent of Linkages With Other Providers of Services to the Homeless and to Veterans: 20 Points The application must provide information on the quality and extent of the linkages this program will have with employers, educational providers, and other providers of services to homeless veterans in the local community including faith-based and community organizations. For each service, the applicant must specify who the provider is, the source of funding (if known), and the type of linkages/referral system established or proposed. Describe, to the extent possible, how the project would be incorporated into the local community's continuum of care approach and the local community's ten

(10)year plan to end homelessness, if applicable (see Interagency Council on Homelessness Web page at *www.ich.gov* for additional information). Describe how the proposed project links to the appropriate State Workforce Agency and One-Stop Career Center(s) including coordination and collaboration with DVOP/LVER and other One-Stop Career Center staff, HUD, HHS, DVA, educational institutions, and other local community-based programs and the services that will be provided as necessary on behalf of the homeless veteran participants to be served. D. Demonstrated Capability in Providing Required Program Services, Including Programmatic Reporting and Participant Tracking: 25 Points The applicant must describe its relevant prior experience in operating employment and training programs and providing services to participants similar to those that are proposed under this solicitation. Specific outcomes previously achieved by the applicant must be described, such as number of enrollments, number of participants that entered employment, cost per placement into employment, benefits secured, network coalitions, etc. The applicant must also address its capacity for timely startup of the program, programmatic reporting, and participant tracking. The applicant should describe its staff experience and ability to manage the administrative, programmatic, and financial aspects of a grant program. Include a recent (within the last 18 months) grant specific financial statement and/or audit (does not count towards the 75 page limitation). Final or most recent financial and technical performance reports for other relevant programs must be submitted, if applicable. Because prior HVRP experience is not a requirement for this grant, applicants may have other similar type programmatic performance reports to submit as evidence of experience in operating other employment and training type programs. E. Quality of Overall Housing Strategy: 10 Points The application must demonstrate how the applicant proposes to obtain or access resources for participants in the program and participants entering into the labor force. This discussion should specify the provisions made to access temporary, transitional, and permanent housing for participants through various community resources such as HUD, DVA Grant and Per Diem Program, and other locally funded housing programs. HVRP funds may *not* be used for emergency, transitional, or permanent housing purposes or purchasing or leasing of vehicles. 2. Review and Selection Process Grant applications will be reviewed by a Department of Labor grant review panel using the point scoring system specified above in Section V(1). Urban and Non-Urban applications will be evaluated against the same criteria. The grant review panel will assign a score after objectively and carefully evaluating each responsive grant application and all responsive grant applications will be ranked based on this score. The ranking will be the primary basis to identify applicants as potential grantees. The grant review panel will establish a competitive range, based upon the proposal evaluation, for the purpose of selecting qualified applicants. For this solicitation, the minimum acceptable score for consideration is 70, but the competitive range may be set higher. The grant review panel will have the authority and expertise to compare the goals of applications in the competitive range, to consider any information that comes to their attention, to form an opinion on what is most advantageous to the government and to judge allowed costs, cost-per-placement, and other goals. The Assistant Secretary for Veterans' Employment and Training and Grant Officer will make a final selection based on the grant review panel findings, grant application scores, geographical presence of the applicants, existing grants, and the areas to be served. We reserve the right to select a lower scoring application from one category (urban or non-urban) over a higher rated application from the other category if the Grant Officer or Assistant Secretary determines it is necessary to achieve an appropriate mix of urban and non-urban projects. The grant review panel's conclusions are advisory in nature and not binding on the Grant Officer. The grant review panel and Grant Officer will screen all applicant cost proposals to ensure expenses are allocable, allowable, and reasonable. Determinations of allowable costs will be made in accordance with the applicable Federal cost principles, e.g. Non-Profit Organizations—OMB Circular A-122. Unallowable costs are those charges to a grant that a grantor agency or its representatives determined not to be allowed in accordance with the applicable Federal Cost Principles or other conditions contained in the grant. If the grant review panel and Grant Officer conclude that the cost proposal contains an expense(s) that is not allocable, allowable, and/or reasonable, the Grant Officer may request a revision of the application for funding. Further, the grant review panel will consider applicant information concerning the proposed cost per placement, percentage of participants who enter unsubsidized employment, average wage at placement, and 90-, 180-, and 270-day retention in employment percentages. The national average cost per placement for HVRP for last year was $2,200. The Government reserves the right to ask the applicant for clarification on any aspect of a grant application. The Grant Officer may consult with the Department of Labor staff on any potential grantee and/or sub-awardee(s) concerns. The Grant Officer's determination for award under SGA #07-07 is the final agency action. The submission of the same proposal from any prior year HVRP competition does not guarantee an award under this Solicitation. 3. Anticipated Announcement and Award Dates Announcement of this award is expected to occur by June 20, 2007. The grant agreement will be awarded by no later than July 1, 2007. VI. Award Administration Information 1. Award Notices A. The Notice of Award signed by the Grant Officer is the authorizing document and will be provided through postal mail and/or by electronic means to the authorized representative listed on the SF-424 Grant Application. Notice that an organization has been selected as a grant recipient does not constitute final approval of the grant application as submitted. Before the actual grant award, the Grant Officer and/or the Grant Officer's Technical Representative may enter into negotiations concerning such items as program components, funding levels, and administrative systems. If the negotiations do not result in an acceptable submittal, the Grant Officer reserves the right to terminate the negotiation and decline to fund the proposal. Please note: Grant award occurs only after the prospective grantee and the Grant Officer signs the Grant award document. B. A post-award conference will be held for those grantees awarded PY 2007 HVRP funds through this competition. The post-award conference is expected to be held in August 2007 and up to two

(2)grant recipient representatives must be present. The site of the post-award conference has not yet been determined, however, for planning and budgeting purposes, applicants should allot four

(4)days and use Denver, CO as the conference site. The post-award conference will focus on providing information and assistance on reporting, recordkeeping, grant requirements, and also include networking opportunities to learn of best practices from more experienced and successful grantees and sub-awardee(s). Costs associated with attending this conference for up to two

(2)grantee representatives will be allowed as long as they are incurred in accordance with Federal travel regulations. Such costs must be charged as administrative costs and reflected in the proposed budget. 2. Administrative and National Policy Requirements All grantees and sub-awardees must comply with the provisions of Title 38 U.S.C. and its regulations, as applicable. A. Administrative Program Requirements All grantees and sub-awardees, including faith-based and community organizations, will be subject to applicable Federal laws (including provisions of appropriations law), regulations, and the applicable Office of Management and Budget

(OMB)Circulars. The grant(s) awarded under this SGA will be subject to the following administrative standards and provisions, if applicable: • 29 CFR part 2—General Participation in Department of Labor Programs by Faith-Based and Community Organizations; Equal Treatment of All Department of Labor Program Participants and Beneficiaries. • 29 CFR part 30—Equal Employment Opportunity in Apprenticeship and Training. • 29 CFR part 31—Nondiscrimination in Federally Assisted Programs of the Department of Labor—Effectuation of Title VI of the Civil Rights Act of 1964. • 29 CFR part 32—Nondiscrimination on the Basis of Handicap in Programs or Activities Receiving Federal Financial Assistance. • 29 CFR part 33—Enforcement of Nondiscrimination on the Basis of Handicap in Programs or Activities Conducted by the Department of Labor. • 29 CFR part 35—Nondiscrimination on the Basis of Age in Programs and Activities Receiving Federal Financial Assistance from the Department of Labor. • 29 CFR part 36—Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Assistance. • 29 CFR part 37—Implementation of the Nondiscrimination and Equal Opportunity Provisions of the Workforce Investment Act of 1998. • 29 CFR part 93—New Restrictions on Lobbying. • 29 CFR part 94—Government-wide Requirements for Drug-Free Workplace (Financial Assistance). • 29 CFR part 95—Grants and Agreements with Institutions of Higher Education, Hospitals, and other Non-Profit Organizations, and with Commercial Organizations. • 29 CFR part 96—Audit Requirements for Grants, Contracts and Other Agreements. • 29 CFR part 97—Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments. • 29 CFR part 98—Government-wide Debarment and Suspension (Non procurement). • 29 CFR part 99—Audit of States, Local Governments, and Non-Profit Organizations. • Applicable cost principles and audit requirements under OMB Circulars A-21, A-87, A-110, A-122, A-133, and 48 CFR part 31. • In accordance with Section 18 of the Lobbying Disclosure Act of 1995, Public Law 104-65 (2 U.S.C. 1611), non-profit entities incorporated under 501(c)(4) that engage in lobbying activities are not eligible to received Federal funds and grants. • 38 U.S.C. Section 4215—Requirements for priority of service for veterans in all Department of Labor training programs. 3. Electronic Reporting All HVRP grantees will enter data and electronically attach their quarterly technical performance, success stories, etc. into the U.S. Department of Labor, Veterans' Employment and Training Service, Outcomes and Performance Accountability Reporting (VOPAR) System and SF-269 Financial Status Report data into the DOL E-Grants System according to the reporting requirements and timetables described below. Note: VETS has requested that the two separate reporting systems for grantee programmatic and financial performance (VOPAR and E-Grants) be linked for seamless grantee reporting and it is expected to be completed during PY 2007. A. Quarterly Financial Reports No later than 30 days after the end of each Federal fiscal quarter, the grantee must report outlays, program income, and other financial information on a Federal fiscal quarterly basis using SF-269, Financial Status Report and submit a copy of the HHS/PMS 272 draw down report. These financial reports must be data entered into the E-Grants system and must cite the assigned grant number. B. Quarterly Program Reports No later than 30 days after the end of each Federal fiscal quarter, grantees must submit a Quarterly Technical Narrative Performance Report into VOPAR that contains the following:

(1)A comparison of actual accomplishments to planned goals for the reporting period and any findings related to monitoring efforts;

(2)An explanation for variances of plus or minus 15% of planned program and/or expenditure goals, to include: Identification of corrective action that will be taken to meet the planned goals, if required; and a timetable for accomplishment of the corrective action. C. 90-Day Final Performance Report No later than 120 days after the grant performance expiration date, the grantee must electronically submit to the VOPAR and E-Grants Reporting Systems a final report showing results and performance as of the 90th day after the grant period, and containing the following:

(1)Final Financial Status Report SF-269 (that zeros out all unliquidated obligations); and

(2)Final Technical Performance Report comparing goals vs. actual performance levels. D. 180-Day Follow-Up Report No later than 210 days after the grant performance expiration date, the grantee must electronically submit to the VOPAR and E-Grants Reporting Systems a Follow-Up Report showing results and performance as of the 180th day after the grant expiration date, and containing the following:

(1)Final Financial Status Report SF-269 Long Form (if not previously submitted); and

(2)180-Day Follow-Up Report identifying:

(a)The total number of veterans who entered employment during the entire grant period;

(b)The number of veterans who retained employment as defined under Common Measures at the 90 and 180 day follow-up periods;

(c)If the veterans are still employed at the same or similar job, and if not, what are the reason(s);

(d)Whether training received was applicable to jobs held;

(e)Participant average hourly and weekly wages at the 90- and 180-day follow-up periods;

(f)An explanation of why those veterans entered employment during the grant, but not employed at the end of the follow-up period, are not so employed; and

(g)Any recommendations to improve the program. E. 270-Day Follow-Up Performance Report No later than 300 days after the grant performance expiration date, the grantee must electronically submit to the VOPAR and E-Grants Reporting Systems a Follow-up Report showing results and performance as of the 270th day after the grant period, and containing the following:

(a)The total number of veterans who entered employment during the entire grant period;

(b)The number of veterans who retained employment as defined under Common Measures at the 90-, 180- and 270-day follow-up periods;

(c)If the veterans are still employed at the same or similar job, and if not, what are the reason(s);

(d)Whether training received was applicable to jobs held;

(e)Participant average hourly and weekly wages at the 90-, 180-, and 270-day follow-up periods;

(f)An explanation of why those veterans entered employment during the grant, but not employed at the end of the follow-up period, are not so employed; and

(g)Any recommendations to improve the program. *Agency Contact:* All questions regarding this SGA should be directed to Cassandra Mitchell, e-mail address: *mitchell.cassandra@dol.gov,* at tel:

(800)670-7008 (TTY/TDD). VII. Other Information A. Acknowledgement of USDOL Funding 1. *Printed Materials:* In all circumstances, the following must be displayed on printed materials prepared by the grantee while in receipt of DOL grant funding: “Preparation of this item was funded by the United States Department of Labor under Grant No. [insert the appropriate grant number].” • All printed materials must also include the following notice: “This document does not necessarily reflect the views or policies of the U.S. Department of Labor, nor does mention of trade names, commercial products, or organizations imply endorsement by the U.S. Government.” 2. Public references to grant: 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 receiving Federal funds must clearly state: • The percentage of the total costs of the program or project, which will be financed with Federal money; • The dollar amount of Federal financial assistance for the project or program; and • The percentage and dollar amount of the total costs of the project or program that will be financed by non-governmental sources. B. Use of USDOL Logo Prior to the use of the USDOL Logo, the Grant Officer must approve such use. In addition, once approval is given the following guidance is provided: • The USDOL logo may be applied to USDOL-funded material prepared for distribution, including posters, videos, pamphlets, research documents, national survey results, impact evaluations, best practice reports, and other publications of global interest. The grantee(s) must consult with USDOL on whether the logo may be used on any such items prior to final draft or final preparation for distribution. In no event will the USDOL logo be placed on any item until USDOL has given the Grantee permission to use the logo on the item. • All documents must include the following notice: “This documentation does not necessarily reflect the views or policies of the U.S. Department of Labor, nor does mention of trade names, commercial products, or organizations imply endorsement by the U.S. Government.” C. OMB Information Collection No 1205-0458, Expires September 30, 2009. According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. Public reporting burden for this collection of information is estimated to average 20 hours per response, including time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding the burden estimated or any other aspect of this collection of information, including suggestions for reducing this burden, to the U.S. Department of Labor, to the attention of Cassandra Mitchell, 200 Constitution Avenue, NW., Room S-4307, Washington, DC 20210. This information is being collected for the purpose of awarding a grant. The information collected through this “Solicitation for Grant Applications” will be used by the Department of Labor to ensure that grants are awarded to the applicant best suited to perform the functions of the grant. Submission of this information is required in order for the applicant to be considered for award of this grant. Unless otherwise specifically noted in this announcement, information submitted in the respondent's application is not considered to be confidential. *Resources for the Applicant:* The Department of Labor maintains a number of web-based resources that may be of assistance to applicants. The webpage for the USDOL VETS at *www.dol.gov/vets/programs/main.htm* is a valuable source of information including the program highlights and brochures, glossary of terms, frequently used acronyms, general and special grant provisions, power point presentations on how to apply for HVRP funding, On-Site Monitoring Visits, etc. The Interagency Council on Homeless at webpage *www.ich.gov* has information from various departments that assist homeless persons including updated information on local community ten

(10)year plans to end homelessness and continuum of care plans. America's Service Locator webpage at *www.servicelocator.org* provides a directory of our nation's One-Stop Career Centers and *www.workforce3one.org* is another Department of Labor resource site. The National Association of Workforce Boards maintains a webpage at *www.nawb.org/asp/wibdir.asp* that contains contact information for the State and local Workforce Investment Boards. Applicants may also review “VETS' Guide to Competitive and Discretionary Grants” located at webpage *http://www.dol.gov/vets/grants/Final_VETS_Guide-linked.pdf.* For a basic understanding of the grants process and basic responsibilities of receiving Federal grant support, please see “Guidance for Faith-Based and Community Organizations on Partnering with the Federal Government” at webpages *www.whitehouse.gov/government/fbci* and *www.dol.gov/cfbci,* Also, the National Coalition for Homeless Veterans webpage at *www.nchv.org.* *Appendices:* (Located on U.S. Department of Labor, Veterans' Employment and Training Service webpage *www.dol.gov/vets* follow link for the applicable SGA listed under announcements.) Appendix A: Application for Federal Assistance SF-424 Appendix B: Budget Information Sheet SF-424A Appendix C: Assurances and Certifications Signature Page Appendix D: Recommended Format for Planned Common Measures Quarterly Technical Performance Goals Appendix E: Direct Cost Descriptions for Applicants and Sub-Applicants Appendix F: Survey on Ensuring Equal Opportunity for Applicants Appendix G: List of 75 Largest Cities Nationwide Appendix H: Common Measures Technical Assistance Guide

(TAG)for Competitive Grantees Lisa Harvey, Grant Officer. [FR Doc. E7-7024 Filed 4-12-07; 8:45 am] BILLING CODE 4510-79-P LEGAL SERVICES CORPORATION Notice of Availability of Calendar Year 2008 Competitive Grant Funds AGENCY: Legal Services Corporation. ACTION: Solicitation for proposals for the provision of civil legal services. SUMMARY: The Legal Services Corporation

(LSC)is the national organization charged with administering Federal funds provided for civil legal services to low-income people. LSC hereby announces the availability of competitive grant funds and is soliciting grant proposals from interested parties who are qualified to provide effective, efficient, and high quality civil legal services to eligible clients in the service area(s) of the states and territories identified below. The exact amount of congressionally appropriated funds and the date, terms, and conditions of their availability for calendar year 2008 have not been determined. DATES: See Supplementary Information section for grants competition dates. ADDRESSES: Legal Services Corporation—Competitive Grants, 3333 K Street, NW., Third Floor, Washington, DC 20007-3522. FOR FURTHER INFORMATION CONTACT: Office of Program Performance by e-mail at *competition@lsc.gov,* or visit the grants competition Web site at *www.ain.lsc.gov.* SUPPLEMENTARY INFORMATION: The Request for Proposals

(RFP)will be available the week of April 16, 2007. Applicants must file a Notice of Intent to Compete (NIC; RFP Form-H) to participate in the competitive grants process. Applicants competing for the service areas listed below, except for VA-20, must file the NIC by May 21, 2007, 5 p.m. E.D.T. The due date for filing grant proposals for these service areas is June 14, 2007, 5 p.m. E.D.T. Applicants competing for service area VA-20 in Virginia must file the NIC by July 2, 2007, 5 p.m. E.D.T. The due date for filing grant proposals for service area VA-20 in Virginia is September 3, 2007, 5 p.m. E.D.T. LSC is seeking proposals from:

(1)Non-profit organizations that have as a purpose the provision of legal assistance to eligible clients;

(2)private attorneys;

(3)groups of private attorneys or law firms;

(4)state or local governments; and

(5)sub-state regional planning and coordination agencies that are composed of sub-state areas and whose governing boards are controlled by locally elected officials. The RFP, containing the NIC (Form-H) and grant application, guidelines, proposal content requirements, service area descriptions, and specific selection criteria, will be available from *www.ain.lsc.gov* the week of April 16, 2007. LSC will not fax the RFP to interested parties. Below are the service areas for which LSC is requesting grant proposals. Service area descriptions will be available from Appendix A of the RFP. Interested parties are asked to visit *www.ain.lsc.gov* regularly for updates on the LSC competitive grants process. State Service area Alabama AL-4. American Samoa AS-1. Arizona AZ-2, AZ-3, AZ-5, MAZ, NAZ-5, NAZ-6. Arkansas AR-6, AR-7. California CA-1, CA-27, CA-28, CA-31, MCA, NCA-1. District of Columbia DC-1. Florida FL-18. Hawaii MHI. Illinois IL-3, IL-7. Kentucky KY-2, KY-5, KY-9, KY-10. Louisiana LA-1, LA-12. Massachusetts MA-4, MA-10, MA-11. Michigan MI-9, MI-12, MI-13, MI-14, MI-15, MMI, NMI-1. Minnesota MN-1, MN-4, MN-5, MN-6, MMN, NMN-1. Missouri MO-3, MO-4, MO-5, MO-7, MMO. New Mexico NM-1, NM-5, MNM, NNM-2, NNM-4. New York NY-9. North Dakota ND-3, MND, NND-3. Ohio OH-5, OH-17, OH-18, OH-20, OH-21, OH-23, MOH. Oklahoma NOK-1. Pennsylvania PA-1, PA-24, MPA. Puerto Rico PR-1, PR-2, MPR. South Carolina MSC. South Dakota SD-2, SD-4, MSD, NSD-1. Tennessee TN-4, TN-7, TN-9, TN-10. Texas TX-13, TX-14, TX-15, NTX-1. Virginia VA-17, VA-18, VA-19, VA-20, MVA. West Virginia WV-5, MWV. Wisconsin WI-5, MWI. Wyoming WY-4, MWY, NWY-1. Dated: April 9, 2007. Michael A. Genz, Director, Office of Program Performance, Legal Services Corporation. [FR Doc. E7-7012 Filed 4-12-07; 8:45 am] BILLING CODE 7050-01-P NATIONAL SCIENCE FOUNDATION Advisory Committee of International Science and Engineering; Notice of Meeting In accordance with Federal Advisory Committee Act (Pub. L. 92-463, as amended), the National Science Foundation announces the following meeting: *Name:* Advisory Committee for International Science and Engineering (#25104). *Date/Time:* May 4, 2007; 3 p.m. to 5 p.m. *Place:* National Science Foundation, 4201 Wilson Boulevard, Room 950, Arlington, Virginia. *Type of Meeting:* Open (Teleconference). *Contact Person:* Eduardo Feller, National Science Foundation, 4201 Wilson Boulevard, Arlington, VA 22230,

(703)292-8710. If you are attending the meeting and need access to the NSF, please contact the individual listed above so your name may be added to the building access list. *Purpose of Meeting:* To provide advice concerning the NSF programs in international science and engineering. *Agenda:* Discussion of current programs, initiatives and future budget cycle. Dated: April 10, 2007. Susanne Bolton, Committee Management Officer. [FR Doc. E7-7011 Filed 4-12-07; 8:45 am] BILLING CODE 7555-01-P NUCLEAR REGULATORY COMMISSION [Docket No. 50-133] Environmental Assessment and Finding of No Significant Impact Related to Issuance of License Amendment for the Humboldt Bay Power Plant Unit 3 License DPR-007, Humboldt, CA AGENCY: U.S. Nuclear Regulatory Commission. ACTION: Environmental assessment and finding of no significant impact. FOR FURTHER INFORMATION CONTACT: John Hickman, Division of Waste Management and Environmental Protection, Office of Federal and State Materials and Environmental Management Programs, U.S. Nuclear Regulatory Commission, Mail Stop: T7E18, Washington, DC 20555-00001. Telephone:

(301)415-3017; e-mail: *jbh@nrc.gov* . SUPPLEMENTARY INFORMATION: I. Introduction The U.S. Nuclear Regulatory Commission

(NRC)is considering a request, dated December 20, 2006, by the Pacific Gas and Electric Company (PGE or the Licensee), to approve an amendment to Facility Operating License No. DPR-7 that would revise License Condition 2.B.3 to allow the receipt, possession, and use of byproduct, source, or special nuclear material without restriction to amount or atomic number, for sample analysis or instrument calibration or associated with radioactive apparatus or components. II. Environmental Assessment Background Humboldt Bay Power Plant

(HBPP)was permanently shut down in July 1976, and until recently was in safe storage condition (SAFSTOR). SAFSTOR is the decommissioning method in which a nuclear facility is placed and maintained in a condition that allows the safe storage of radioactive components of the nuclear plant and subsequent decontamination to levels that permit license termination. A Decommissioning Plan

(DP)was approved in July 1988. Subsequent to the 1996 License Termination rule, the licensee converted its DP into its Defueled Safety Analysis Report which is updated every two years. A Post Shutdown Decommissioning Activities Report was issued by the licensee in February 1998. The licensee is now engaged in some incremental decommissioning activities. In December 2003, PG&E formally submitted a license application to the U.S. Nuclear Regulatory Commission

(NRC)for approval of a dry-cask Independent Spent Fuel Storage Installation (ISFSI) at the Humboldt Bay site. A license and safety evaluation report for the Humboldt Bay ISFSI were issued on November 17, 2005. PG&E plans to begin active decommissioning of the facility in 2007. This Environmental Assessment

(EA)has been developed in accordance with the requirements of 10 CFR Part 51.21. Proposed Action The change proposed by this amendment will replace the current license condition 2.B.3© which addresses the receipt, possession, and use of byproduct materials with one which allows the receipt, possession, and use of byproduct, source, or special nuclear material without restriction to chemical or physical form or atomic number, for sample analysis or instrument calibration or associated with radioactive apparatus or components. The proposed action is contained in the licensee's application dated December 20, 2006. Need for Proposed Action The current license condition was included in the license that was issued by the NRC when HBPP entered the possess-but-not-operate SAFSTOR phase. The license, including License Condition 2.B.3(c), was proposed by PG&E on July 30, 1984, and approved and issued by the NRC on July 16, 1985, as Amendment No. 19 to the facility license. License Condition 2.B.3(c) was established based on the byproduct materials onsite at the time and not based on any safety issue. The licensee has now begun preparations for transfer of the spent fuel from the spent fuel pool to an onsite Independent Spent Fuel Storage Installation and for active decommissioning. Offsite equipment will need to be received to perform these activities. However, review of potential equipment has revealed that some would be unsuitable due to radiological composition which contains atomic numbers not allowed by the current license condition. Environmental Impacts of the Proposed Action The NRC has completed its evaluation of the proposed amendments to the License and concludes the changes provide a minor revision of the existing provision for the receipt, possession, and use of special nuclear, source, and byproduct materials. The revised license condition is similar to the license condition currently in place for multiple decommissioning and operating nuclear power facilities. The NRC evaluated the safety impacts of the proposed changes and determined that the changes proposed by this license amendment request will provide reasonable assurance that the applicable radiation protection requirements of 10 CFR parts 20, 30, 40, and 70 will be met. The NRC has evaluated the change and determined that the revised license condition will not significantly change the types or quantities of special nuclear, source, and byproduct materials the license may receive, possess, or use and would therefore have no significant impacts to the environment. Due to the limited nature of the amendment which will not significantly change the licensed activities on site, the proposed action does not have a potential to affect any historic sites, would not increase the probability or consequences of accidents, would not change the types of effluents that may be released offsite, and would not increase occupation or public radiation exposure. Alternatives to the Proposed Action The alternative to the proposed action would be to deny the request. Denial of this amendment request would have the same environmental impact as the proposed action. Agencies and Persons Consulted This EA was prepared by John B. Hickman, Project Manager, Decommissioning Directorate, Division of Waste Management and Environmental Protection (DWMEP). NRC staff determined that the proposed action is not a major decommissioning activity and will not affect listed or proposed endangered species, nor critical habitat. Therefore, no further consultation is required under Section 7 of the Endangered Species Act. Likewise, NRC staff determined that the proposed action is not the type of activity that has the potential to cause previously unconsidered effects on historic properties, as consultation for site decommissioning has been conducted previously. There are no additional impacts to historic properties associated with the disposal method and location for demolition debris. Therefore, no consultation is required under Section 106 of the National Historic Preservation Act. The NRC discussed the proposed action with the State of California Radiologic Health Branch. The state official had no comments. III. Finding of No Significant Impact On the basis of the environmental assessment, the NRC concludes that the proposed action will not have a significant effect on the quality of the human environment. Accordingly, preparation of an environmental impact statement for the proposed action is not warranted. IV. Further Information For further details with respect to the proposed action, see the licensee's letter dated December 20, 2006. (ADAMS Accession No. ML063560061) The NRC Public Documents Room is located at NRC Headquarters in Rockville, MD, and can be contacted at

(800)397-4209. Documents may be examined, and/or copied for a fee, at the NRC's Public Document Room (PDR), located at One White Flint North, 11555 Rockville Pike (first floor), Rockville, Maryland. Publicly available records will be accessible electronically from the Agencywide Documents Access and Management System's (ADAMS) Public Library component on the NRC Web site, *http://www.nrc.gov* (the Public Electronic Reading Room). Persons who do not have access to ADAMS or who encounter problems in accessing the documents located in ADAMS should contact the NRC PDR Reference staff by telephone at 1-800-397-4209, or 301-415-4737, or by e-mail at *pdr@nrc.gov* . Dated at Rockville, Maryland, this 5th day of April, 2007. For the Nuclear Regulatory Commission. Keith I. McConnell, Deputy Director, Decommissioning and Uranium Recovery Licensing Directorate, Division of Waste Management and Environmental Protection, Office of Federal and State Materials and Environmental Management Programs. [FR Doc. E7-7074 Filed 4-12-07; 8:45 am] BILLING CODE 7590-01-P PENSION BENEFIT GUARANTY CORPORATION Proposed Submission of Information Collection for OMB Review; Comment Request; Procedures for Implementing Multiemployer Plan Elections AGENCY: Pension Benefit Guaranty Corporation. ACTION: Notice of intention to request OMB approval. SUMMARY: The Pension Benefit Guaranty Corporation

(PBGC)intends to request that the Office of Management and Budget

(OMB)approve, under the Paperwork Reduction Act, a collection of information under its procedures on multiemployer plan elections. This notice informs the public of the PBGC's intent and solicits public comment on the collection of information. DATES: Comments should be submitted by June 12, 2007. ADDRESSES: Comments may be submitted by any of the following methods: • *Federal eRulemaking Portal: http://www.regulations.gov.* Follow the Web site instructions for submitting comments. • *E-mail: paperwork.comments@pbgc.gov.* • *Fax:* 202-326-4224. • *Mail or Hand Delivery:* Legislative and Regulatory Department, Pension Benefit Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-4026. Comments received will be posted to *http://www.pbgc.gov.* Copies of the collection of information may be obtained without charge by writing to the Disclosure Division of the Office of the General Counsel of PBGC at the above address or by visiting the Disclosure Division or calling 202-326-4040 during normal business hours. (TTY and TDD users may call the Federal relay service toll-free at 1-800-877-8339 and ask to be connected to 202-326-4040.) FOR FURTHER INFORMATION CONTACT: Constance Markakis, Attorney, Legislative and Regulatory Department, Pension Benefit Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005-4026, 202-326-4000, ext. 6779. (For TTY and TDD, call 800-877-8339 and request connection to 202-326-4000, ext. 6779.) SUPPLEMENTARY INFORMATION: Section 1106 of the Pension Plan Protection Act of 2006 (“PPA 2006”) amends the definition of a “multiemployer plan” in Title I of ERISA and the Internal Revenue Code of 1986 to allow certain plans to elect to be multiemployer plans pursuant to procedures prescribed by PBGC. A plan is eligible for the election if it is

(i)a plan revoking a previous election to remain a single-employer plan under section 3(37)(E) of ERISA, or

(ii)a plan with respect to which substantially all employer contributions were made by tax-exempt employers. In either case, for the three plan years preceding the enactment of PPA 2006, the plan must have been a plan to which more than one employer was required to contribute that was maintained pursuant to one or more collective bargaining agreements. PPA 2006 also imposes other requirements for an election, and provides certain exemptions from the requirements. All elections must be made by August 17, 2007. PBGC's proposed procedures for implementing the multiemployer plan election requires a plan to submit specified information to PBGC to demonstrate that it meets the statutory eligibility requirements. The information collection includes names of contributing employers, copies of collective bargaining agreements that require contributions to the plan, numbers of participants and contributions to the plan under those collective bargaining agreements and the plan as a whole, information on common control among contributing employers to the plan, copies of the plan and trust documents, and evidence of the tax-exempt status of contributing employers and the percentage of total plan contributions attributable to these employers. For the limited purposes of the election under section 1106 of PPA 2006, the procedures provide a safe harbor provision for meeting the multiemployer criterion that a plan be “maintained pursuant to collective bargaining agreements.” The PBGC intends to request that OMB approve this collection of information for three years. (Although plans must make an election by August 17, 2007, PBGC may request additional information, after that date, that is needed to review the election.) 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 PBGC estimates that from 20 to 50 plans will respond to this collection of information. The PBGC further estimates that the average burden of this collection of information is 5 hours and $1,875 per plan, with an average total burden of 175 hours and $65,625. The PBGC is soliciting public comments to— • Evaluate whether the collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility; • Evaluate the accuracy of the agency's estimate of the burden of the collection of information, including the validity of the methodology and assumptions used; • Enhance the quality, utility, and clarity of the information to be collected; and • Minimize the burden of the collection of information on those who are to respond, including through the use of appropriate automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, *e.g.* , permitting electronic submission of responses. Issued in Washington, DC, this 11th day of April 2007. Marc A. Felton, Deputy Chief Information Officer, Pension Benefit Guaranty Corporation. [FR Doc. E7-7126 Filed 4-12-07; 10:57 am] BILLING CODE 7709-01-P PENSION BENEFIT GUARANTY CORPORATION Required Interest Rate Assumption for Determining Variable-Rate Premium for Single-Employer Plans; Interest on Late Premium Payments; Interest on Underpayments and Overpayments of Single-Employer Plan Termination Liability and Multiemployer Withdrawal Liability; Interest Assumptions for Multiemployer Plan Valuations Following Mass Withdrawal AGENCY: Pension Benefit Guaranty Corporation. ACTION: Notice of interest rates and assumptions. SUMMARY: This notice informs the public of the interest rates and assumptions to be used under certain Pension Benefit Guaranty Corporation regulations. These rates and assumptions are published elsewhere (or can be derived from rates published elsewhere), but are collected and published in this notice for the convenience of the public. Interest rates are also published on the PBGC's Web site ( *http://www.pbgc.gov* ). DATES: The required interest rate for determining the variable-rate premium under part 4006 applies to premium payment years beginning in April 2007. The interest assumptions for performing multiemployer plan valuations following mass withdrawal under part 4281 apply to valuation dates occurring in May 2007. The interest rates for late premium payments under part 4007 and for underpayments and overpayments of single-employer plan termination liability under part 4062 and multiemployer withdrawal liability under part 4219 apply to interest accruing during the second quarter (April through June) of 2007. FOR FURTHER INFORMATION CONTACT: Catherine B. Klion, Manager, Regulatory and Policy Division, Legislative and Regulatory Department, Pension Benefit Guaranty Corporation, 1200 K Street, NW., Washington, DC 20005, 202-326-4024. (TTY/TDD users may call the Federal relay service toll-free at 1-800-877-8339 and ask to be connected to 202-326-4024.) SUPPLEMENTARY INFORMATION: Variable-Rate Premiums Section 4006(a)(3)(E)(iii)(II) of the Employee Retirement Income Security Act of 1974 (ERISA) and § 4006.4(b)(1) of the PBGC's regulation on Premium Rates (29 CFR part 4006) prescribe use of an assumed interest rate (the “required interest rate”) in determining a single-employer plan's variable-rate premium. Pursuant to the Pension Protection Act of 2006, for premium payment years beginning in 2006 or 2007, the required interest rate is the “applicable percentage” of the annual rate of interest determined by the Secretary of the Treasury on amounts invested conservatively in long-term investment grade corporate bonds for the month preceding the beginning of the plan year for which premiums are being paid (the “premium payment year”). On February 2, 2007 (at 72 FR 4955), the Internal Revenue Service

(IRS)published final regulations containing updated mortality tables for determining current liability under section 412(l)(7) of the Code and section 302(d)(7) of ERISA for plan years beginning on or after January 1, 2007. As a result, in accordance with section 4006(a)(3)(E)(iii)(II) of ERISA, the “applicable percentage” to be used in determining the required interest rate for plan years beginning in 2007 is 100 percent. The required interest rate to be used in determining variable-rate premiums for premium payment years beginning in April 2007 is 5.84 percent (i.e., 100 percent of the 5.84 percent composite corporate bond rate for March 2007 as determined by the Treasury). The following table lists the required interest rates to be used in determining variable-rate premiums for premium payment years beginning between May 2006 and April 2007. For premium payment years beginning in: The required interest rate is: May 2006 5.25 June 2006 5.35 July 2006 5.36 August 2006 5.36 September 2006 5.19 October 2006 5.06 November 2006 5.05 December 2006 4.90 January 2007 5.75 February 2007 5.89 March 2007 5.85 April 2007 5.84 Late Premium Payments; Underpayments and Overpayments of Single-Employer Plan Termination Liability Section 4007(b) of ERISA and § 4007.7(a) of the PBGC's regulation on Payment of Premiums (29 CFR part 4007) require the payment of interest on late premium payments at the rate established under section 6601 of the Internal Revenue Code. Similarly, § 4062.7 of the PBGC's regulation on Liability for Termination of Single-Employer Plans (29 CFR part 4062) requires that interest be charged or credited at the section 6601 rate on underpayments and overpayments of employer liability under section 4062 of ERISA. The section 6601 rate is established periodically (currently quarterly) by the Internal Revenue Service. The rate applicable to the second quarter (April through June) of 2007, as announced by the IRS, is 8 percent. The following table lists the late payment interest rates for premiums and employer liability for the specified time periods: From Through Interest rate (percent) 4/1/01 6/30/01 8 7/1/01 12/31/01 7 1/1/02 12/31/02 6 1/1/03 9/30/03 5 10/1/03 3/31/04 4 4/1/04 6/30/04 5 7/1/04 9/30/04 4 10/1/04 3/31/05 5 4/1/05 9/30/05 6 10/1/05 6/30/06 7 7/1/06 6/30/07 8 Underpayments and Overpayments of Multiemployer Withdrawal Liability Section 4219.32(b) of the PBGC's regulation on Notice, Collection, and Redetermination of Withdrawal Liability (29 CFR part 4219) specifies the rate at which a multiemployer plan is to charge or credit interest on underpayments and overpayments of withdrawal liability under section 4219 of ERISA unless an applicable plan provision provides otherwise. For interest accruing during any calendar quarter, the specified rate is the average quoted prime rate on short-term commercial loans for the fifteenth day (or the next business day if the fifteenth day is not a business day) of the month preceding the beginning of the quarter, as reported by the Board of Governors of the Federal Reserve System in Statistical Release H.15 (“Selected Interest Rates”). The rate for the second quarter (April through June) of 2007 ( *i.e.* , the rate reported for March 15, 2007) is 8.25 percent. The following table lists the withdrawal liability underpayment and overpayment interest rates for the specified time periods: From Through Interest rate (percent) 4/1/01 6/30/01 8.50 7/1/01 9/30/01 7.00 10/1/01 12/31/01 6.50 1/1/02 12/31/02 4.75 1/1/03 9/30/03 4.25 10/1/03 9/30/04 4.00 10/1/04 12/31/04 4.50 1/1/05 3/31/05 5.25 4/1/05 6/30/05 5.50 7/1/05 9/30/05 6.00 10/1/05 12/31/05 6.50 1/1/06 3/31/06 7.25 4/1/06 6/30/06 7.50 7/1/06 9/30/06 8.00 10/1/06 6/30/07 8.25 Multiemployer Plan Valuations Following Mass Withdrawal The PBGC's regulation on Duties of Plan Sponsor Following Mass Withdrawal (29 CFR part 4281) prescribes the use of interest assumptions under the PBGC's regulation on Allocation of Assets in Single-Employer Plans (29 CFR part 4044). The interest assumptions applicable to valuation dates in May 2007 under part 4044 are contained in an amendment to part 4044 published elsewhere in today's **Federal Register** . Tables showing the assumptions applicable to prior periods are codified in appendix B to 29 CFR part 4044. Issued in Washington, DC, on this 10th day of April 2007. Vincent K. Snowbarger, Interim Director, Pension Benefit Guaranty Corporation. [FR Doc. E7-7097 Filed 4-12-07; 8:45 am] BILLING CODE 7709-01-P RAILROAD RETIREMENT BOARD Agency Forms Submitted for OMB Review, Request for Comments *Summary:* In accordance with the Paperwork Reduction Act of 1995 (44 U.S.C. Chapter 35), the Railroad Retirement Board

(RRB)is forwarding an Information Collection Request

(ICR)to the Office of Information and Regulatory Affairs (OIRA), Office of Management and Budget

(OMB)to request a revision to the following collection of information: 3220-0052, Application to Act as Representative Payee, consisting of RRB Form(s) AA-5, Application for Substitution of Payee, G-478, Statement Regarding Patient's Capability to Manage Payments and booklet RB-5, Your Duties as Representative Payee-Representative Payee Record. Our ICR describes the information we seek to collect from the public. Completion is required to obtain or retain benefits. One response is required of each respondent. Review and approval by OIRA ensures that we impose appropriate paperwork burdens. The RRB invites comments on the proposed collection of information to determine

(1)The practical utility of the collection;

(2)the accuracy of the estimated burden of the collection;

(3)ways to enhance the quality, utility and clarity of the information that is the subject of collection; and

(4)ways to minimize the burden of collections on respondents, including the use of automated collection techniques or other forms of information technology. Comments to RRB or OIRA must contain the OMB control number of the ICR. For proper consideration of your comments, it is best if RRB and OIRA receive them within 30 days of publication date. *Previous Requests for Comments:* The RRB has already published the initial 60-day notice (71 FR No. 227 on 68644 and 68645 on November 27, 2006) required by 44 U.S.C. 3506(c)(2). That request elicited no comments. Information Collection Request

(ICR)*Title:* Application to Act as Representative Payee. *OMB Control Number:* 3220-0052. *Form(s) submitted:* AA-5, Application for Substitution of Payee; G-478, Statement Regarding Patient's Capability to Manage Payments; and RB-5, your duties as Representative Payee's Record. *Type of request:* Revision of a currently approved collection. *Affected public:* Individuals or households; Business or other for Profit. *Abstract:* Under Section 12 of the Railroad Retirement Act, the Railroad Retirement Board

(RRB)may pay benefits to a representative payee when an employee, spouse or survivor annuitant is incompetent or is a minor. The collection obtains information related to the representative payee application, supporting documentation, and the maintenance of records pertaining to the receipt and use of the benefits. *Changes Proposed:* The RRB proposes a revised title for the information collection (currently Railroad Retirement Act Continuing Entitlement), Application to Act as Representative Payee, to more accurately reflect the information collected. No changes are proposed to the forms in the collection. *The burden estimate for the ICR is as follows:* *Estimated annual number of respondents:* 17,300. *Total annual responses:* 20,300. *Total annual reporting hours:* 16,350. *Additional Information or Comments:* Copies of the forms and supporting documents can be obtained from Charles Mierzwa, the agency clearance officer (312-751-3363) or *Charles.Mierzwa@rrb.gov.* Comments regarding the information collection should be addressed to Ronald J. Hodapp, Railroad Retirement Board, 844 North Rush Street, Chicago, Illinois, 60611-2092 or *Ronald.Hodapp@rrb.gov* and to the OMB Desk Officer for the RRB, at the Office of Management and Budget, Room 10230, New Executive Office Building, Washington, DC 20503. Charles Mierzwa, Clearance Officer. [FR Doc. E7-7001 Filed 4-12-07; 8:45 am] BILLING CODE 7905-01-P SECURITIES AND EXCHANGE COMMISSION Proposed Collection; Comment Request Upon Written Request, Copies Available From: Securities and Exchange Commission, Office of Filings and Information Services, Washington, DC 20549 Extension: Rule 6a-3, SEC File No. 270-0015, OMB Control No. 3235-0021 Notice is hereby given that pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 *et seq.* ), the Securities and Exchange Commission (“Commission”) is soliciting comments on the collection of information summarized below. The Commission plans to submit this existing collection of information to the Office of Management and Budget for extension and approval. Section 6 of the Securities Exchange Act of 1934 (15 U.S.C. 78a *et seq.* ) sets out a framework for the registration and regulation of national securities exchanges. Under Commission Rule 6a-3 (17 CFR 240.6a-3), one of the rules that implements Section 6, a national securities exchange (or an exchange exempted from registration as a national securities exchange based on limited trading volume) must provide certain supplemental information to the Commission, including any material (including notices, circulars, bulletins, lists, and periodicals) issued or made generally available to members of, or participants or subscribers to, the exchange. Rule 6a-3 also requires the exchanges to file monthly reports that set forth the volume and aggregate dollar amount of securities sold on the exchange each month. The information required to be filed with the Commission pursuant to Rule 6a-3 is designed to enable the Commission to carry out its statutorily mandated oversight functions and to ensure that registered and exempt exchanges continue to be in compliance with the Act. The respondents to the collection of information are national securities exchanges and exchanges that are exempt from registration based on limited trading volume. The Commission estimates that each respondent makes approximately 25 such filings on an annual basis at an average cost of approximately $21 per response. Currently, 12 respondents (ten national securities exchanges and two exempt exchanges) are subject to the collection of information requirements of Rule 6a-3. The Commission estimates that the total burden for all respondents is 150 hours (25 filings/respondent per year × 0.5 hours/filing × 12 respondents) and $6300 ($21/response × 25 responses/respondent per year × 12 respondents) per year. Written comments are invited on:

(a)Whether the proposed collection of information is necessary for the proper performance of the functions of the agency, including whether the information shall have practical utility;

(b)the accuracy of the agency's estimate of the burden of the proposed collection of information;

(c)ways to enhance the quality, utility, and clarity of the information to be collected; and

(d)ways to minimize the burden of the collection of information on respondents, including through the use of automated collection techniques or other forms of information technology. Consideration will be given to comments and suggestions submitted in writing within 60 days of this publication. Comments should be directed to: R. Corey Booth, Director/Chief Information Officer, Securities and Exchange Commission, c/o Shirley Martinson, 6432 General Green Way, Alexandria, Virginia 22312 or send an e-mail to: *PRA_Mailbox@sec.gov.* Comments must be submitted within 60 days of this notice. Dated: April 5, 2007. Florence E. Harmon, Deputy Secretary. [FR Doc. E7-7006 Filed 4-12-07; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55583; File No. SR-Amex-2006-107] Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amex Book Clerks April 5, 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 November 14, 2006, 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 Exchange. The Exchange filed Amendment No. 1 to the proposal on March 29, 2007. The Commission is publishing this notice to solicit comment on the proposed rule change, as amended, 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 eliminate the agency obligations of Exchange options specialists and establish Amex book clerks (“ABCs”). The text of the proposed rule change is available at Amex, the Commission's Public Reference Room, and *http://www.amex.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, Amex included statements concerning the purpose of and basis for the proposed rule change and discussed any comments it received on the proposed rule change. The text of these statements may be examined at the places specified in Item IV below. The Exchange has prepared summaries, set forth in Sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose The purpose of this proposed rule change is to eliminate the obligation and ability of an Exchange options specialist to act as an agent in connection with orders in his or her assigned options classes. This proposal would also permit the Exchange to designate Exchange employees or independent contractors to serve as ABCs, responsible for maintaining and operating the ANTE Central Book ( *i.e.* , the specialist's customer limit order book) and the ANTE Display Book. 3 The Exchange also seeks to amend certain Exchange rules relating to the operation of the Plan for the Purpose of Creating and Operating an Intermarket Option Linkage (“Linkage Plan”) to accommodate the implementation of pertinent ABC rules and other proposed rule changes described herein. 4 Finally, this proposed rule change also would implement several other amendments to conform other Exchange rules to the proposal. The Exchange notes that the proposal substantially mirrors changes recently adopted by the Chicago Board Options Exchange to eliminate DPM agency responsibilities and establish PAR Officials. 5 The following summarizes the effects this proposed rule change would have on existing Exchange rules. 3 The Exchange submits that all incoming customer orders are represented in the ANTE Central Book, and if marketable, will be automatically executed subject to a number of limited exceptions. Orders that are otherwise eligible for automatic execution may not receive an automatic execution:

(i)Whenever the Amex Best Bid or Offer

(ABBO)crosses the National Best Bid or Offer

(NBBO)and causes an inversion in the quote; or

(ii)whenever a better bid or offer is being disseminated by another options exchange and the order is not eligible for automatic price matching. In addition, if quotes are deemed unreliable or the Exchange is experiencing communications or systems problems, non-firm markets or delays in the dissemination of quotes by the Options Price Reporting Authority, orders will not be automatically executed. In these limited cases, incoming customer orders will be routed to the ANTE Display Book for manual handling. 4 Exchange rules governing the operation of the Linkage Plan are set forth under Amex Rules 940 through 945 and Amex Rule 941-ANTE. 5 *See* Securities Exchange Act Release No. 52798 (November 18, 2005), 70 FR 71344 (November 28, 2005). a. *Agency Responsibilities* Generally, Amex Rule 170 (applicable to options transactions by Amex Rule 950-ANTE(l)) governs options specialists on the Exchange and describes the obligations imposed on an options specialist. These obligations include the general obligation, with respect to each of a specialist's assigned options classes, to fulfill market-making obligations and provide functions of a floor broker (to the extent that the options specialist acts as a floor broker). Rule 170(b), in particular, describes the floor broker and agency functions that an options specialist is required to perform. As a condition of being registered as a specialist by the Exchange, options specialists are required to execute options orders on an agency basis for those classes of options assigned to them. 6 Accordingly, all options specialists on the Amex presently act as both agent and principal for orders in their respective assigned options classes. The Exchange has now determined that it is in the best interest of the Exchange, its members, and investors to eliminate the agency obligation of options specialists. 6 *See* Amex Rule 950-ANTE(l), incorporating Amex Rule 170 to options transactions. This rule change proposes to eliminate those provisions providing for the options specialist's broker and agency functions and would provide that an options specialist “shall not execute orders as an agent or floor broker.” 7 Instead, the Exchange proposes to create a new category of market participant, the ABC, who will be responsible for maintaining and operating the customer limit order book. This responsibility would include handling and executing orders that are routed to the customer limit order book. The proposal would clarify that the specialists' accounts shall continue to be used by the ABC to execute P/A and Satisfaction Orders routed to the Exchange and that the specialists shall continue to be liable for any charges incurred in relation to executing such orders. This change would afford options specialists the ability to concentrate their efforts exclusively on their market-making functions and would eliminate the potential conflicts associated with options specialists acting as both principal and agent with respect to orders they handle and trades they make as options specialists. 7 Proposed Amex Rule 950-ANTE(l), Commentary .01. The ABC would be an Exchange employee or independent contractor designated by the Exchange to be responsible for:

(i)Maintaining and operating the customer limit order book for the assigned options classes; and

(ii)effecting proper executions of orders placed in the customer order limit book. The ABC would be prohibited from having an affiliation with any member that is approved to act as a specialist, registered options trader (“ROT”), remote registered options trader (“RROT”) and supplemental registered options trader (“SROT”) on the Exchange. The Exchange believes that the responsibility for executing agency orders at trading posts should belong to the ABC, who has no interest that might conflict with the duties owed to the customer. Additionally, given that the increased reliance on electronic order execution has resulted in the virtual elimination of manual order handling, a vast majority of orders are currently never handled or seen by specialists. This trend effectively eliminates the need for specialists to act in an agency capacity and perform functions related thereto. b. *Other Affected Rules* The Exchange is proposing amendments to other Exchange rules to allow the Exchange to reassign agency responsibilities and obligations from the options specialist to the ABC, as detailed below. *Display Obligation* . Currently, under Amex Rule 958A-ANTE, an options specialist is required to immediately display the full price and size of any eligible customer limit orders when such orders represent buying or selling interest that is at a better price or size than the best disseminated Amex quote. 8 Because the options specialist no longer would be operating the customer limit order book or executing orders as agent and since the vast majority of orders are currently either executed, displayed or booked immediately and without any input from a specialist, the Exchange proposes to shift the display obligation in its entirety from the options specialist to the ABC. 9 Accordingly, the ABC would be required to maintain and keep active the Exchange's automated customer limit order display facility in ANTE. 8 *See* Amex Rule 958A-ANTE(e). See also Securities Exchange Act Release No. 51062 (January 21, 2005), 70 FR 4163 (January 28, 2005) (File No. SR-Amex-00-27). 9 The display obligation set forth in Amex Rule 958A-ANTE(e), along with the exceptions set forth therein, would be moved to proposed Amex Rule 995-ANTE. *Due Diligence Responsibility* . Under the proposed rule, the ABC would be required to use due diligence to execute customer orders at the best prices available to him or her under the rules of the Exchange. *Public Order Book Responsibilities* . In addition to his or her responsibility for maintaining orders in the electronic customer order limit order book in ANTE, the ABC also would be prohibited from removing a booked public customer order unless the order is cancelled, expires, is transmitted in accordance with Intermarket Option Linkage (“Linkage”) obligations, or is executed. *Linkage Obligations* . As the options specialist would no longer be executing agency orders, this responsibility, and any associated Linkage obligations that previously were handled by the options specialist, would now fall upon the Exchange. As an employee (or independent contractor) of the Exchange, the ABC would be responsible for handling Linkage orders in the option classes appointed to him or her. Specifically, an ABC would have the means to:

(1)Utilize an options specialist's account to route Principal Acting as Agent (“P/A”) Orders 10 and Satisfaction Orders to away markets based on prior instructions that must be provided by the options specialist to the ABC, and

(2)handle all Linkage orders or portions of Linkage orders received by the Exchange that are not automatically executed. The ABC also would have the means to utilize the options specialist's account to fill Satisfaction Orders that result from a Trade Through 11 that the Exchange effects. Because the Linkage Plan requires that P/A Orders be submitted for the account of an eligible market maker, 12 the ABC must be able to utilize the options specialist's account to fulfill the Linkage obligations imposed by Amex rules. 10 A “Principal Acting as Agent (“P/A”) Order” is an order for the principal account of a specialist (or equivalent entity on another Participant Exchange under the Linkage Plan that is authorized to represent public customer orders), reflecting the terms of a related unexecuted public customer order for which the specialist is acting as agent. *See* Linkage Plan Section 2(16)(a). 11 *See* Amex Rule 940(b)(19). 12 *See* Linkage Plan Section 2(16)(a); *see also* Amex Rule 940(10)(i). Amex Linkage Rules would be amended to require an options specialist to make available its account to the ABC for the purpose of enabling the ABC to satisfy certain Linkage-related obligations. Amex Linkage Rules also would be amended to obligate the options specialist to provide the ABC with prior written instructions for routing P/A Orders, and Satisfaction Orders to other markets. 13 Since orders routed pursuant to the Linkage can be configured in numerous ways, these written instructions would, with some degree of specificity ( *i.e.* , state whether the order should be routed automatically, the means through which the order should be routed, etc.), direct how the ABC should handle responses to Linkage Orders, as provided under proposed Amex Rule 995-ANTE, as well as detail the procedures the ABCs would be required to follow when utilizing the options specialists' accounts. 13 The Exchange intends to file with the Commission a request for an exemption from the requirements set forth in Rule 608(c) of Regulation NMS under the Act requiring the Exchange to comply with and enforce compliance by its members with certain provisions of the Linkage Plan that require eligible market makers (such as specialists and ROTs) through whom the P/A Order is routed to be functioning as the agent with respect to that order. This exemption would facilitate the establishment of ABCs and their handling of Linkage Orders. Finally, when handling outbound P/A Orders and Satisfaction Orders, the ABC shall use due diligence to execute the orders entrusted to him/her, act in accordance with the prior written instructions provided by the options specialist for P/A Orders and Satisfaction Orders that the ABC represents, and act in accordance with Amex rules regarding P/A and Satisfaction Orders received through the Linkage. *Compensation of ABCs* . As an Exchange employee or independent contractor, the ABC's compensation would be determined and paid solely by the Amex. No options specialist, ROT, RROT or SROT would be permitted to directly or indirectly compensate or provide any other form of consideration to an ABC. *Liability of the Exchange for Actions of ABCs* . The Exchange's liability for the actions of ABCs would be limited in the same manner as currently provided under existing Exchange rules, including (but not limited to) Article IV, Section 1(e) of the Amex Constitution (Exchange Liability) and Amex Rule 61 (Exchange's Costs of Defending Legal Proceedings). *Firm Disseminated Market Quotes* . Amex Rule 958A-ANTE currently provides that, in the case of an order received by the options specialist, the options specialist's firm quote obligation attaches at the time the order is received by such specialist, regardless of whether the options specialist is actually aware of the order at that time. This provision is a direct consequence of the fact that the options specialists currently represent orders on the customer limit order book in an agency capacity from the moment such orders are received on the book. However, because the options specialist no longer would be operating the customer limit order book if the proposed rule change were approved, Amex Rule 958A-ANTE would be modified such that the firm quote obligation would attach, when an options specialist is the responsible broker or dealer, at the same time those obligations attach with respect to each other responsible broker or dealer—that is, when the order is announced to the trading crowd either via electronic display or by the ABC. *Rules Relating to ANTE's Automatic Execution Feature* . Under established procedures set forth in Amex Rule 933-ANTE (ANTE Automatic Matching and Execution of Options Orders), an order eligible for automatic matching and execution will not be automatically executed if the Amex disseminated quote is inferior to the NBBO by more than the price matching amount and instead is routed to the specialist for manual handling. On the assumption that the specialist would always be responsible for representing such orders as an agent, Commentary .01(b) provides for automatic price matching series that “[i]f the Exchange's best bid or offer is inferior to the NBBO displayed by another options exchange by more than the price matching amount, the order will be routed to the specialist and not automatically executed.” In addition, this Commentary also provides that if a customer order exceeds the established order size parameter, it will be routed to the specialist and not automatically executed. However, because the Exchange has set the order size parameter to 25,001 contracts, orders should rarely exceed the established order size parameter, and therefore, would not be routed to the specialist for manual handling. Similarly, for automatic price improvement series, Commentary .01(c) provides that a “customer order that exceeds the established order size parameter will be either automatically executed at the Exchange's best bid or offer if it is within the automatic matching and execution order size parameters * * *, or it will be routed to the specialist and not automatically executed.” Commentary .01(e) to Amex Rule 933-ANTE further provides instances in which an order is re-routed to the specialist and not automatically executed. These situations are as follows:

(i)Where the current best bid or offer for a series is crossed (e.g., 4.20 bid, 4 asked) or locked ( *e.g.* , 4 bid, 4 asked); 14

(ii)the specialist in conjunction with a Floor Governor or two Floor Officials determined quotes in such options or options exchange(s) are not reliable; or

(iii)the Exchange is experiencing communications or systems problems, non-firm markets or delays in the dissemination of quotes by the Options Price Reporting Authority. 14 *See* Amex Rule 951-ANTE, Commentary .01. In order to make Amex Rule 933-ANTE consistent with the proposal, Commentary .01(b),

(c)and

(e)to Amex Rule 933-ANTE would be revised to provide that an order that is not automatically executed will be routed to the ABC rather than the specialist. *Duty To Report Unusual Activity* . Amex Rule 958A-ANTE also will require the ABC, as well as the specialist, to report to a Floor Official any unusual activity, transactions, or price changes or other unusual market conditions or circumstances with respect to the ABCs appointed option classes that may be detrimental to the maintenance of a fair and orderly market. *General Options Specialist Rules* . There are also other Exchange rules relating to options specialists that must be amended to reflect the fact that options specialists will not be operating the customer limit order book or executing orders as agent with respect to their allocated option classes. For example, Amex Rule 154 states, “[n]o member or member organization shall place with a specialist, acting as broker, any order to effect on the Exchange any transaction except at the market or at a limited price.” The proposal would amend Amex Rule 950-ANTE(f) (incorporating Amex Rule 154 to options transactions) to state that Exchange specialists are prohibited from acting as a floor broker or in an agency capacity in connection with orders in his or her assigned options classes. Therefore, the proposal will require members to use an independent floor broker or book orders with the ABC when warranted. Rule 950-ANTE(f) would also be amended to make clear that ABCs, not options specialists, would accept stop, stop limit, spread or straddle orders. Additionally, Amex Rule 155 discusses the precedence specialists are to assign to orders entrusted to them as agents. The proposal would amend Amex Rule 950-ANTE(a) (incorporating Amex Rule 155 to options transactions) to impose the precedence requirement on ABCs in the case of options transactions. Finally, Amex Rule 177 requires all specialists to report certain activities or information to a Floor Official. The proposal would amend Amex Rule 950-ANTE(a) (incorporating Rule 177 to options) obligating the ABC, as well as an options specialist, to report to a Floor Official those activities and such information as delineated in Amex Rule 177. c. *Implementation* Finally, to ensure a smooth and orderly transition of the responsibility for operating customer limit order book and executing agency orders from options specialists to ABCs, the Exchange proposes to implement this rule change to all applicable trading posts over a 180-day period from the effective date of this rule change. During this 180-day transition period, any options specialist who continues to operate the customer limit order book would continue to be subject to the same agency obligations as currently provided under Amex Rules 950-ANTE(l) and 958A-ANTE(e), except that, upon the approval of this proposal, these prior obligations instead would be reflected in a Regulatory Circular during the 180-day transition period. 2. Statutory Basis Amex believes the proposed rule change is consistent with Section 6(b) of the Act 15 in general and furthers the objectives of Section 6(b)(5) of the Act 16 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 regulating, clearing, settling, processing information with respect to, and facilitating transactions in securities, 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; and is not designed to permit unfair discrimination between customers, issuers, brokers, or dealers, or to regulate by virtue of any authority conferred by the Act matters not related to the purpose of the Act or the administration of the Exchange. 15 15 U.S.C. 78f(b). 16 15 U.S.C. 78f(b)(5). B. Self-Regulatory Organization's Statement on Burden on Competition The Exchange believes that this proposed rule change would 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 Exchange consents, the Commission will:

(A)By order approve the 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-2006-107 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-Amex-2006-107. 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 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-Amex-2006-107 and should be submitted on or before May 4, 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. E7-6960 Filed 4-12-07; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55602; File No. SR-Amex-2007-33] Self-Regulatory Organizations; American Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Extension of the Allocation and Performance Evaluation Procedures for Securities Admitted to Dealings on an Unlisted Basis April 9, 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 April 3, 2007, the American Stock Exchange LLC (the “Amex” 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 Exchange. The Exchange has designated this proposal as non-controversial under Section 19(b)(3)(A)(iii) of the Act 4 and Rule 19b-4(f)(6) thereunder, 5 which renders the proposed rule change effective upon filing with the Commission. The Commission is publishing this notice to solicit comments on the proposed rule change from interested persons. 1 15 U.S.C.78s(b)(1). 2 15 U.S.C. 78a. 3 17 CFR 240.19b-4. 4 15 U.S.C. 78s(b)(3)(A)(iii). 5 17 CFR 240.19b-4(f)(6). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change Amex seeks a one year extension of its allocations and performance evaluation procedures for securities admitted to dealings on an unlisted trading privileges (“UTP”) basis to permit these programs to remain in effect while the Commission considers permanent approval of these procedures. The text of the proposed rule change is available on the Amex's Web site at *http://www.amex.com,* the Exchange's Office of the Secretary, 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 changes and discussed any comments it received regarding the proposal. 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 the Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange is proposing to extend its allocations and performance evaluation procedures for securities admitted to dealings on an unlisted trading privileges basis (the “Pilot Program”) from April 6, 2007 through and including April 6, 2008. The text of the rules shall remain unchanged. The Commission previously approved, on a pilot basis, the Exchange's allocation and performance evaluation procedures for securities admitted to dealings on an unlisted trading privileges basis through two independent approval orders. 6 In 2003, the Pilot Program was extended through October 5, 2003 7 and April 5, 2004. 8 In 2004, the Pilot Program was extended through April 6, 2005. 9 In 2005, the Pilot Program was extended through April 6, 2006. 10 In 2006, the Pilot Program was extended through April 6, 2007. 11 The instant proposed rule change makes no substantive change to the Pilot Program other than to extend it through and including April 6, 2008. 6 *See* Securities Exchange Act Release No. 45698 (April 5, 2002); 67 FR 18051 (April 12, 2002) (SR-Amex-2001-107) and 46750 (October 30, 2002), 67 FR 67880 (November 7, 2002) (SR-Amex-2002-19). 7 *See* Securities Exchange Act Release No. 47779 (May 1, 2003), 68 FR 24777 (May 8, 2003). 8 *See* Securities Exchange Act Release No. 48657 (October 17, 2003), 68 FR 61025 (October 24, 2003). 9 *See* Securities Exchange Act Release No. 49613 (April 26, 2004); 69 FR 24204 (May 3, 2004). 10 *See* Securities Exchange Act Release No. 52004 (July 8, 2005); 70 FR 41061 (July 15, 2005) (retroactively reinstating the Pilot Program to April 6, 2005, and extending it through and including April 6, 2006). 11 *See* Securities Exchange Act Release No. 53649 (April 13, 2006); 71 FR 20425 (April 20, 2006). 2. Statutory Basis The Exchange believes that the proposed rule change is consistent with Section 6 of the Act 12 in general and furthers the objectives of Section 6(b)(5) 13 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. 12 15 U.S.C. 78f. 13 15 U.S.C. 78f(b)(5). B. Self-Regulatory Organization's Statement on Burden on Competition The proposed rule change will impose no burden on competition that is not necessary or appropriate in furtherance of the purposes of the Act. C. Self-Regulatory Organization's Statement on Comments on the Proposed Rule Change Received From Members, Participants or Others Written comments on the proposed rule change were neither solicited nor received. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Because the proposed rule change does not:

(1)Significantly affect the protection of investors or the public interest;

(2)impose any significant burden on competition; and

(3)become operative for 30 days after the date of the 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 14 and Rule 19b-4(f)(6) thereunder. 15 14 15 U.S.C. 78s(b)(3)(A). 15 17 CFR 240.19b-4(f)(6). 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. A proposed rule change normally may not become operative prior to 30 days after the date of filing. 16 However, Rule 19b-4(f)(6)(iii) 17 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 requested that the Commission waive the 30-day operative delay. The Commission believes that waiver of the 30 day operative delay is consistent with the protection of investors and the public interest because the proposed rule change would merely permit the continuation of the Pilot Program in its current form on an uninterrupted basis through and including April 6, 2008. 18 16 17 CFR 240.19b-4(f)(6)(iii). Rule 19b-4(f)(6)(iii) requires that a self-regulatory organization submit to the Commission written notice of its intent to file the proposed rule change, along with a brief description and text of the proposed rule change, at least five business days prior to the date of filing of the proposed rule change, or such shorter time as designated by the Commission. On March 26, 2007, the Exchange provided such notice to the Commission in the form of a draft version of the proposed rule change. Despite providing such notice to the Commission, the Exchange subsequently requested that the Commission waive the five-day prefiling requirement. The Exchange's request to waive the five-day prefiling requirement is moot given that the Exchange has satisfied it by submitting the draft version of the proposed rule change. 17 17 CFR 240.19b-4(f)(6)(iii). 18 For purposes only of waiving the 30-day operative delay, the Commission has considered the proposed rule's on efficiency, competition, and capital formation. *See* 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 e-mail to *rule-comments@sec.gov.* Please include File Number SR-Amex-2007-33 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-Amex-2007-33. 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 Amex. 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-Amex-2007-33 and should be submitted by May 4, 2007. For the Commission by the Division of Market Regulation, pursuant to delegated authority. 19 19 17 CFR 200.30-3(a)(12). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-7054 Filed 4-12-07; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55595; File No. SR-CHX-2007-14] Self-Regulatory Organizations; Chicago Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Participant Fees and Credits April 6, 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 23, 2007, the Chicago Stock Exchange, Inc. (“CHX” 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. CHX 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 CHX proposes to amend its Fee Schedule to confirm that it will not charge a fee or pay a credit in connection with the execution, in the Matching System, of a single-sided order for 100 or more shares at a price less than $1.00 per share. The text of the proposed rule change is available at CHX, the Commission's Public Reference Room, and *http://www.chx.com/rules/proposed_rules.htm* . II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, CHX 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. CHX has prepared summaries, set forth in Sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to amend its Fee Schedule to confirm that it will not charge a fee or pay a credit in connection with the execution, in the Matching System, of a single-sided order for 100 or more shares at a price less than $1.00 per share. This provision is designed, in part, to confirm that the Exchange will not charge a fee that is greater than the maximum access fee set out in Rule 610(c)(2) of Regulation NMS. 5 It also confirms that the Exchange has determined that it would not be appropriate to provide a credit in connection with these no-cost executions. 5 *See* 17 CFR 242.610(c)(2). 2. Statutory Basis CHX believes that the proposed rule change is consistent with the provisions of Section 6 of the Act, 6 in general, and with Section 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 among its members. 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 No written comments were either solicited or 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-CHX-2007-14 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-CHX-2007-14. 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 CHX. 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-CHX-2007-14 and should be submitted on or before May 4, 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. E7-6963 Filed 4-12-07; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55586; File No. SR-ISE-2007-19] Self-Regulatory Organizations; International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Access to the Exchange by Sponsored Customers April 5, 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 13, 2007, the International Securities Exchange, LLC (“ISE” 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 ISE. The Exchange has filed the proposal as a “non-controversial” 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). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change ISE proposes to amend ISE Rule 706 to permit Sponsored Customers of a Member to access the Exchange. The text of the proposed rule change is available at ISE, the Commission's Public Reference Room, and *www.iseoptions.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, ISE 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. ISE 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 This proposed rule change seeks to permit Sponsored Customers of Members to access the Exchange provided that a Sponsored Customer Agreement has been entered into with the Exchange by the Sponsored Customer, and provided certain other conditions are satisfied. The proposed revisions to Rule 706 outlines the requirements that Sponsoring Members and Sponsored Customers would be required to meet prior to engaging in a Sponsoring Member/Sponsored Customer relationship. 5 5 ISE notes that this proposed rule change will enable Sponsored Customers of Members to access both its Options Exchange, as per Rule 706, and its Stock Exchange, as per Rule 2100, which incorporates Rule 706 by cross-reference. A “Sponsored Customer” is a non-Member of the Exchange, such as an institutional investor, that trades under a Sponsoring Member's execution and clearing identity pursuant to a sponsorship arrangement between such non-Member and a Member. The Sponsoring Member must have documentation acknowledging it has full and complete responsibility for all trading activity conducted by its Sponsored Customer. A Sponsoring Member that provides access to a Sponsored Customer also has a continuing obligation to comply with all ISE rules and procedures and the federal securities laws and regulations. A Sponsoring Member must also continue to satisfy any agency obligations that may exist between itself and its Sponsored Customer. A Sponsored Customer's access to the Exchange is conditioned on the following requirements being met: Sponsored Customers would be required to enter into a sponsorship arrangement with a “Sponsoring Member,” which is defined as an ISE Member that has been designated by a Sponsored Customer to execute, clear and settle transactions on ISE. The sponsorship arrangement consists of three separate components. First, the Sponsored Customer would have to enter into and maintain a customer agreement with its Sponsoring Member, establishing a proper relationship and account through which the Sponsored Customer would be permitted to trade on ISE. Second, the Sponsored Customer and its Sponsoring Member would have to enter into a written agreement that incorporates the following Sponsorship Provisions:

(1)The Sponsoring Member acknowledges and agrees that:

(i)All orders entered by its Sponsored Customer and any person acting on behalf of or in the name of such Sponsored Customer and any executions occurring as a result of such orders are binding in all respects on the Sponsoring Member; and

(ii)the Sponsoring Member is responsible for any and all actions taken by such Sponsored Customer and any person acting on behalf of or in the name of such Sponsored Customer.

(2)The Sponsored Customer agrees that it would comply with the ISE Certificate of Formation, Constitution, Rules and procedures with regard to its activity on the Exchange as if the Sponsored Customer were an ISE Member.

(3)The Sponsored Customer agrees that it would maintain, keep current and provide to the Sponsoring Member a list of its Authorized Traders 6 who would be permitted to obtain access to the Exchange on behalf of the Sponsored Customer(s). 6 *See* proposed ISE Rule 706, Supplementary Material .01(b)(2)(iv).

(4)The Sponsored Customer agrees that it would familiarize its Authorized Traders with all of the Sponsored Customer's obligations under ISE Rules and would assure that they receive appropriate training prior to any use of or access to the Exchange.

(5)The Sponsored Customer agrees that it would not permit anyone other than Authorized Traders to use or obtain access to the Exchange.

(6)The Sponsored Customer agrees that it would take reasonable security precautions to prevent unauthorized use or access to the Exchange, including unauthorized entry of information into the System, or the information and data made available therein. The Sponsored Customer understands and agrees that it is responsible for any and all orders, trades and other messages and instructions entered, transmitted or received under identifiers, passwords and security codes of Authorized Traders, and for the trading and other consequences thereof.

(7)The Sponsored Customer acknowledges its responsibility for establishing adequate procedures and controls that permit it to effectively monitor its employees, agents and customers' use of and access to the Exchange for compliance with the terms of the Sponsorship Provisions.

(8)The Sponsored Customer agrees that it would pay when due all amounts, if any, payable to the Sponsoring Member, ISE or any other third parties that arise from the Sponsored Customer's access to and use of the Exchange. Such amounts would include, but would not be limited to, applicable exchange and regulatory fees. Third, the Sponsoring Member would have to provide ISE with an express acknowledgement of the Sponsoring Member's responsibility for the orders, executions and actions of its Sponsored Customer. As a further condition to access to the Exchange, each Member would be required to maintain an up-to-date list of persons who could obtain access to the Exchange on behalf of the Sponsoring Member or the Sponsoring Member's Sponsored Customers, *i.e.* , Authorized Traders, and provide the list to ISE upon request. In addition, each Member would have to have reasonable procedures to ensure that all of its Authorized Traders maintain the physical security of ISE and otherwise comply with ISE Rules. If ISE determines that an Authorized Trader has caused a Member to violate ISE Rules, ISE could direct the Member to suspend or withdraw the person's status as an Authorized Trader. The Sponsoring Member/Sponsored Customer relationship would allow a Member to grant access to ISE to their customers while confirming that those customers who do have access to ISE have appropriate procedures in place to comply with ISE rules. Furthermore, the identity of all individuals with access ( *i.e.* , Authorized Traders) would have to be disclosed to the Exchange, giving the Exchange better information in the event that the Exchange determines to take action because its systems have been used inappropriately. 2. Statutory Basis ISE believes that the proposed rule change is consistent with the provisions of Section 6 of the Act, 7 in general, and with Section 6(b)(5) of the Act, 8 in particular, in that the proposal is designed 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. 7 15 U.S.C. 78f. 8 15 U.S.C. 78f(b)(5). B. Self-Regulatory Organization's Statement on Burden on Competition ISE 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 not solicited, and does not intend to solicit, comments on this proposed rule change. The Exchange has not received any unsolicited written comments from members or other interested parties. III. Date of Effectiveness of the Proposed Rule Change and Timing for Commission Action Because the forgoing rule change does not:

(1)Significantly affect the protection of investors or the public interest;

(2)impose any significant burden on competition; and

(3)become operative for 30 days after the date of this filing, 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 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) 12 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 requested that the Commission waive the 30-day operative delay. The Commission believes that waiving the 30-day operative delay is consistent with the protection of investors and the public interest because such waiver would permit ISE Members to immediately provide its Sponsored Customers access to ISE's markets. 13 For this reason, the Commission designates the proposed rule change to be operative upon filing with the Commission. 14 11 17 CFR 240.19b-4(f)(6)(iii). In addition, Rule 19b-4(f)(6)(iii) requires that a self-regulatory organization submit to the Commission written notice of its intent to file the proposed rule change, along with a brief description and text of the proposed rule change, at least five business days prior to the date of filing of the proposed rule change, or such shorter time as designated by the Commission. The Commission has decided to waive the five-day pre-filing notice requirement. 12 *Id.* 13 The Commission notes that proposed ISE Rule 706, Supplementary Material .01 is substantially similar to NYSE Arca, Inc. Rule 7.29. 14 For the purposes only of waiving the 30-day operative delay, the Commission has considered the proposed rule's impact on efficiency, competition, and capital formation. *See* 15 U.S.C. 78c(f). At any time within 60 days of the filing of such proposed rule change the Commission may summarily abrogate such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors or otherwise in furtherance of the purposes of the Act. 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-ISE-2007-19 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-ISE-2007-19. 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 ISE. 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-ISE-2007-19 and should be submitted on or before May 4, 2007. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 15 15 17 CFR 200.30-3(a)(12). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-6961 Filed 4-12-07; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55604; File No. SR-NASD-2006-109] Self-Regulatory Organizations; National Association of Securities Dealers, Inc.; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Representation of Parties in Arbitration and Mediation April 9, 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 the National Association of Securities Dealers, Inc. (“NASD”), through its wholly owned subsidiary, NASD Dispute Resolution, Inc. (“NASD Dispute Resolution”) filed with the Securities and Exchange Commission (“SEC” or “Commission”) on September 14, 2006, and amended on November 9, 2006 (Amendment No. 1) 3 and February 23, 2007 (Amendment No. 2), 4 the proposed rule change as described in Items I, II, and III below, which Items have been prepared by NASD Dispute Resolution. 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 Amendment No. 1 makes clarifying changes to the rule text emphasizing that attorneys may represent parties in NASD's forum, unless state law prohibits such representation. Amendment No. 1 also makes several clarifying and technical changes to the proposed rule filing. 4 Amendment No. 2 makes clarifying changes to the rule text concerning restrictions on non-attorney representation. Amendment No. 2 also includes minor organizational changes to a paragraph and footnotes describing the American Bar Association Model Rule of Professional Conduct 5.5. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change NASD Dispute Resolution is proposing to amend the Code of Arbitration Procedure for Customer Disputes (“Customer Code”), the Code of Arbitration Procedure for Industry Disputes (“Industry Code”), and the NASD Code of Arbitration Procedure (“Code”) to address representation of parties in arbitration and mediation. 5 Below is the text of the proposed rule change. Proposed new language is in italics; proposed deletions are in brackets. 5 The proposed rule change contemplates changes to Rules 12208 and 13208 of the Customer and Industry Codes, which restate old Rule 10316. *See* Securities Exchange Act Release No. 55158 (Jan. 24, 2007); 72 FR 4574 (Jan. 31, 2007) (File Nos. SR-NASD-2003-158 and SR-NASD-2004-011) (Order Approving Proposed Rule Change and Amendments 1, 2, 3, and 4 to Amend NASD Arbitration Rules for Customer Disputes and Notice of Filing and Order Granting Accelerated Approval of Amendments 5, 6, and 7 Thereto; Order Approving Proposed Rule Change and Amendments 1, 2, 3, and 4 to Amend NASD Arbitration Rules for Industry Disputes and Notice of Filing and Order Granting Accelerated Approval of Amendments 5, 6, and 7 Thereto). The changes to Proposed Rule 10407 reflect changes to the new NASD Code of Mediation Procedure. *See* Securities Exchange Act Rel. No. 52705 (Oct. 31, 2005); 70 FR 67525 (Nov. 7, 2005) (SR-NASD-2004-013). The new NASD Code of Mediation Procedure is currently included in the Code, but will be removed and renumbered as a separate Code now that the Customer and Industry Codes have been approved. Customer Code 12208. Representation of Parties

(a)Representation by a Party *Parties may represent themselves in an arbitration held in a United States hearing location. A member of a partnership may represent the partnership; and a bona fide officer of a corporation, trust, or association may represent the corporation, trust, or association.*

(b)Representation by an Attorney At *any stage of an arbitration proceeding held in a United States hearing location,* [All] *all* parties *shall* have the right to be represented by [counsel during any stage of an arbitration] *an attorney at law in good standing and admitted to practice before the Supreme Court of the United States or the highest court of any state of the United States, the District of Columbia, or any commonwealth, territory, or possession of the United States, unless state law prohibits such representation.*

(c)Representation by Others *Parties may be represented in an arbitration by a person who is not an attorney, unless:* • *state law prohibits such representation, or* • *the person is currently suspended or barred from the securities industry in any capacity, or* • *the person is currently suspended from the practice of law or disbarred.*

(d)Qualifications of Representative *Issues regarding the qualifications of a person to represent a party in arbitration are governed by applicable law and may be determined by an appropriate court or other regulatory agency. In the absence of a court order, the arbitration proceeding shall not be stayed or otherwise delayed pending resolution of such issues.* Industry Code 13208. Representation of Parties

(b)Representation by an Attorney *At any stage of an arbitration proceeding held in a United States hearing location,* [All] *all* parties *shall* have the right to be represented by [counsel during any stage of an arbitration] *an attorney at law in good standing and admitted to practice before the Supreme Court of the United States or the highest court of any state of the United States, the District of Columbia, or any commonwealth, territory, or possession of the United States, unless state law prohibits such representation.*

(a)Representation by Party *Parties may represent themselves in mediation held in a United States hearing location. A member of a partnership may represent the partnership; and a bona fide officer of a corporation, trust, or association may represent the corporation, trust, or association.*

(b)Representation by an Attorney *At any stage of a mediation proceeding held in a United States hearing location, all parties shall have the right to be represented by an attorney at law in good standing and admitted to practice before the Supreme Court of the United States or the highest court of any state of the United States, the District of Columbia, or any commonwealth, territory, or possession of the United States, unless state law prohibits such representation.*

(c)Representation by Others *Parties may be represented in mediation by a person who is not an attorney, unless:* • *state law prohibits such representation, or* • *the person is currently suspended or barred from the securities industry in any capacity, or* • *the person is currently suspended from the practice of law or disbarred.*

(d)Qualifications of Representatives *Issues regarding the qualifications of a person to represent a party in mediation are governed by applicable law and may be determined by an appropriate court or other regulatory agency. In the absence of a court order, the mediation proceeding shall not be delayed pending resolution of such issues.* [10407] *10408.* Mediator Selection (a)-(d) No change. [10408] *10409.* Limitation on Liability No change. [10409] *10410.* Mediation Ground Rules (a)-(g) No change. [10410] *10411.* Mediation Fees (a)-(c) No change. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, 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 Background NASD Dispute Resolution believes a rule is needed to clarify the issue of representation of parties in dispute resolution. NASD Rule 10316 states that all parties shall have the right to representation by counsel at any stage of the proceedings. The rule provides no guidance on the kind of representatives who are permitted to practice in the NASD dispute resolution forum, or on the qualifications those representatives must have to participate in the forum. Moreover, Rule 10316 does not address a growing trend in American jurisprudence, the multi-jurisdictional practice of law. The multi-jurisdictional practice of law occurs when attorneys, licensed in one United States (U.S.) jurisdiction, practice law in a jurisdiction in which they are not licensed. In the area of dispute resolution, for example, it is common for an attorney licensed to practice law in one state to represent a client in a dispute resolution proceeding in another state in which the attorney is not licensed. Although this practice is permitted in many jurisdictions, it may be a violation of certain other states' unauthorized practice of law provisions. Until recent years, most states had taken no action against this practice. However, two state courts have found that out-of-state attorneys must meet certain conditions in order to participate in a dispute resolution proceeding in their jurisdictions. 6 In light of these developments, the American Bar Association

(ABA)amended its Model Rule of Professional Conduct 5.5 (ABA Model Rule 5.5) to promote the multi-jurisdictional practice of law. 7 6 *See Birbrower, Montalbano, Condo & Frank* v. *Superior Court,* 949 P.2d 1 (Cal. 1998); *see also Florida Bar* v. *Rapoport* , 845 So. 2d 874, 2003 Fla. LEXIS 250 (Fla. 2003). 7 ABA Model Rule 5.5, as amended, would allow a United States lawyer, admitted in one United States jurisdiction, to engage in certain types of legal activity in another United States jurisdiction where he is not licensed to practice, without being deemed to be engaging in the unauthorized practice of law. For purposes of the dispute resolution forum, ABA Model Rule 5.5, as amended, states, in relevant part, that a lawyer may provide legal services on a temporary basis in an out-of-state jurisdiction that are in or reasonably related to a pending or potential arbitration, mediation, or other alternative dispute resolution proceeding in the jurisdiction or another jurisdiction, if the services arise out of or are reasonably related to the lawyer's practice in a jurisdiction in which the lawyer is admitted to practice and are not services for which the forum requires pro hac vice admission. This rule is sometimes referred to as the temporary practice rule. Twenty-seven states have either adopted ABA Model Rule 5.5 or a similar version of the rule or currently have a temporary practice rule in effect. American Bar Association, Charts on State Adoption of MJP Proposals (visited Aug. 23, 2006) *http://www.abanet.org/cpr/mjp/state_adoption.html* . Other states have adopted a temporary practice rule that, like ABA Model Rule 5.5, allows an attorney not licensed in a state to provide certain types of legal services in the state on a limited basis. The laws of Michigan and Virginia specifically authorize occasional or incidental practice by out-of-state lawyers. *See* Mich. Comp. Law Ann. sec. 600.916 and Va. State Bar Rule, Pt. 6, sec. 1(C). Accordingly, NASD proposes to codify its current practice of permitting the multi-jurisdictional practice of law in NASD's dispute resolution forum to the extent permitted under applicable state law. NASD also proposes to codify its current practice which allows non-attorney representatives to represent parties in arbitration or mediation. Previous Proposal Relating to Representation in Arbitration and Mediation On February 9, 2005, NASD filed a proposed rule change with the Commission to address attorney representation in arbitration and mediation. 8 The proposed rule change would have: 8 *See* File No. SR-NASD-2005-023. • Allowed parties to represent themselves in an arbitration or mediation; • Allowed parties to be represented by an attorney at law admitted to practice before a U.S. jurisdiction at any stage of the proceeding; and • Deferred to the states any issues regarding qualifications of a person to represent a party. NASD amended this proposal on July 8, 2005 to clarify that it was intended to address the issue of multi-jurisdictional practice of law by attorneys, and was not intended to address the issue of representation by non-attorneys in arbitration or mediation proceedings. 9 9 *Id.* at Amendment No. 1. As amended, the attorney representation proposal was published in the **Federal Register** on July 21, 2005. 10 The SEC received fifteen comments, which primarily focused on two issues: Whether the rule should preempt state law regarding attorney licensing, and whether the rule should prohibit non-attorneys from practicing in NASD's forum. The comments and NASD's response are discussed in subsection C below. 10 *See* Securities Exchange Act Rel. No. 34-52045 (July 15, 2005); 70 FR 42123 (July 21, 2005) (File No. SR-NASD-2005-023). Based on the comments received on the attorney representation proposal, as amended, NASD recognized that the proposal may have been ambiguous. NASD did not intend to change current practice in the forum regarding representation of parties by non-attorneys, or to preempt state law on the issue of attorney licensing. Because the comments indicated that these positions were unclear, NASD withdrew its proposal. The current proposed rule change addresses representation of parties by themselves, by attorneys and by non-attorneys in arbitration and mediation. Representation of Parties by Themselves, Attorneys and Non-Attorneys in Arbitration and Mediation NASD is proposing to amend Rules 12208 and 13208 of the Customer and Industry Codes, respectively, and Rule 10407 of the Code to clarify that in both arbitration and mediation:

(1)Parties may represent themselves;

(2)parties may be represented by an attorney, provided certain criteria are met;

(3)parties may be represented by a person who is not an attorney, unless state law prohibits such representation or the person is currently suspended or barred from the securities industry in any capacity or is an attorney who is currently suspended from the practice of law or disbarred; and

(4)issues regarding qualifications of a representative are governed by applicable law. First, the proposed rule change codifies current practice by explicitly stating that parties may represent themselves in arbitration. Second, the proposed rule change codifies current practice permitting the multi-jurisdictional practice of law by attorneys in the NASD dispute resolution forum to the extent permitted by state law. In addition, the proposed rule change states that if a party chooses to be represented by an attorney, the attorney must be licensed to practice in a U.S. jurisdiction and be in good standing in that jurisdiction. 11 NASD believes that requiring an attorney to be licensed in a U.S. jurisdiction and to be in good standing in that jurisdiction will protect investors by prohibiting individuals who have been suspended from the practice of law or disbarred from representing parties in the NASD forum. Further, the requirement that an attorney must be licensed to practice in a U.S. jurisdiction sets a standard of practice for the arbitration forum that is consistent with the other rules and proceedings of NASD. In particular, Rule 9141(b) of the NASD Code of Procedure states, in relevant part, that a person may be represented in any disciplinary proceeding by an attorney at law admitted to practice before the highest court of any state of the United States, the District of Columbia, or any commonwealth, territory, or possession of the United States. 12 The proposed rule change also is consistent with Rule 102(b) of the SEC Rules of Practice, which states that, “[i]n any proceeding, a person may be represented by an attorney at law admitted to practice before the Supreme Court of the United States or the highest court of any State * * *” 13 11 The requirement to be licensed to practice in a U.S. jurisdiction and be in good standing in that jurisdiction is in addition to and not in lieu of the requirement that an attorney must comply with applicable laws of the relevant jurisdiction. As previously noted, while the multi-jurisdictional practice of law may be permitted in many jurisdictions, it may constitute a violation of certain states' unauthorized practice of law provisions. 12 This rule has been enforced in NASD Enforcement proceedings. In two similar cases, a respondent's answer was stricken from the record because the respondent's representative had not indicated that he was a licensed attorney. *See* NASDR Office of the Hearing Officers, OHO Order 97-15 (C01970032) (visited Aug. 24, 2006), available at: *http://www.nasd.com/web/groups/enforcement/documents/oho_disciplinary_orders/nasdw_007839.pdf* ; *see also* OHO Order 98-10 (C10970176) (visited Aug. 24, 2006), available at: *http://www.nasd.com/web/groups/enforcement/documents/oho_disciplinary_orders/nasdw_007695.pdf* . 13 *See* SEC Rules of Practice, 17 CFR § 201.102(b) (2004). Third, the proposed rule change addresses the representation of parties by non-attorneys in the NASD forum. Under the proposed rule change, parties may be represented in an arbitration or mediation by a person who is not an attorney, unless state law prohibits such representation or the person is currently suspended or barred from the securities industry in any capacity or is an attorney who is currently suspended from the practice of law or disbarred. This provision would be applicable to all arbitration claims. NASD understands, however, that it may be difficult for investors with claims of less than $100,000 to retain an attorney on a contingency-fee basis because the attorney may believe that the attorney's share of the award might be too small to justify the effort. In these circumstances, NASD believes that investors should be able to seek other assistance to resolve their arbitration or mediation claims for a more affordable fee. 14 At the same time, NASD believes that such non-attorney representatives should not be persons who have been found by a regulatory body in essence to be unfit to represent clients or to conduct securities business with the public. Thus, to protect investors, the rule would prohibit non-attorney representatives who are currently suspended or barred from the securities industry, or attorneys who are currently suspended from the practice of law or disbarred, from representing parties in the NASD dispute resolution forum. While NASD remains concerned about some aspects of non-attorney representation, NASD does not wish to prohibit investors from retaining a non-attorney representative if that person is the only affordable representation available, and the requirements of the proposed rule are met. 14 Consistent with current practice, the proposed rule would allow a relative, friend or associate to represent or assist a person ( *e.g.* , an elderly or disabled person) with his or her arbitration or mediation. In addition, law school securities arbitration clinics can provide investors with affordable legal representation. NASD notes that a securities arbitration clinic also can help an investor who has a smaller claim but is unable to hire an attorney, provided the investor qualifies for assistance. *See* How to Find an Attorney (for more information on clinic locations and eligibility requirements) (visited Sept. 13, 2006), available at: *<http://www.nasd.com/ArbitrationMediation/StartanArbitrationorMediation/HowtoFindanAttorney/index.htm* >. Last, the proposed rule change would allow an attorney to represent a client in an NASD arbitration or mediation held in any U.S. hearing location, regardless of the jurisdiction in which the attorney is licensed. An attorney's ability to represent clients in a jurisdiction in which he or she is not licensed, however, would be subject to the applicable law of that jurisdiction. The proposed rule change is not intended to preempt state law; it is intended to reflect current practice in the forum which, based on experience, indicates that the outcome of a dispute resolution proceeding depends more on the level of knowledge, training and skill of the attorneys, rather than the jurisdiction from which the attorneys received their license to practice. 2. Statutory Basis NASD believes that the proposed rule change is consistent with the provisions of Section 15A(b)(6) of the Act, 15 which requires, among other things, that NASD's rules must be designed to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, and, in general, to protect investors and the public interest. NASD believes that the proposed rule change balances the needs of investors to have access to representation, particularly in small cases, with NASD's responsibility to protect investors, the integrity of its forum, and the public interest. 15 15 U.S.C. 78o-3(b)(6). 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, 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 by NASD. The SEC received fifteen comments on the attorney representation proposal that it published for comment on July 21, 2005. 16 Commenters primarily focused on two issues: Whether the rule should preempt state law regarding attorney licensing, and whether the rule should prohibit non-attorneys from practicing in NASD's forum. 16 Comments were submitted by Timothy A. Canning, Esq., Law Offices of Timothy A. Canning, dated February 11, 2005 (“Canning I Letter”); Albert A. Rapoport, Esq., dated June 20, 2005 (“Rapoport Letter”); Joseph C. Korsak, Esq., Law Office of Joseph C. Korsak, dated July 22, 2005 (“Korsak Letter”); Michael Firestein, Esq. and Navid Yadegar, Esq., Proskauer Rose LLP, dated August 1, 2005 (“Firestein Letter”); Rodney J. Heggy, Esq., Heggy & Associates, LLC, dated August 4, 2005 (“Heggy Letter”); Richard L. Sacks, Securities Arbitration Consultant, dated August 9, 2005 (“Sacks Letter”); Rosemary Shockman, President, Public Investors Arbitration Bar Association, dated August 9, 2005 (“PIABA Letter”); Joseph O'Donnell, dated August 10, 2005 (“O'Donnell Letter”); Irwin G. Stein, dated August 10, 2005 (“Stein Letter”); Montgomery G. Griffin, Esq., Securities Arbitration Offices of Montgomery G. Griffin, dated August 10, 2005 (“Griffin Letter”); Timothy A. Canning, Esq., Law Offices of Timothy A. Canning, dated August 10, 2005 (“Canning II Letter”); Kevin P. Takacs, CCO, Dominion Investor Services, Inc., dated August 11, 2005 (“Takacs Letter”); Jill I. Gross, Director of Advocacy and Barbara Black, Director of Research, Pace Investor Rights Project, dated August 11, 2005 (“Pace Letter”); and Stephen C. Krosschell, Esq., Goodman & Nekvasil, P.A., dated August 11, 2005 (“Krosschell Letter”). The letter received from Marie W. Hayes, dated March 25, 2005, does not comment on the proposed rule change. With respect to the state preemption issue, several commenters agreed that state law should control whether attorneys may participate in arbitrations in a state in which they are not licensed. 17 These commenters stated that representatives should be licensed legal practitioners who are regulated and have demonstrated a minimum level of competence required to represent clients. Several other commenters opposed the provision of the proposal that would allow state law to control attorney-licensure issues, stating that the provision could result in delays in arbitration proceedings as representatives make the qualifications of an out-of-state representative the focus of the proceedings. 18 17 *See* Firestein Letter, Heggy Letter, Pace Letter, PIABA Letter and Rapoport Letter. 18 *See* Canning I & II Letters, Korsak Letter, Krosschell Letter, Sacks Letter and Stein Letter. Other commenters addressed whether the proposal would prohibit, in effect, non-attorneys from practicing in NASD's forum. Several commenters contended that the proposal should address non-attorney representation and should allow non-attorneys to practice in the forum. 19 These commenters argued that the proposal attempted to deny investors access to qualified non-attorney representatives who have securities industry experience and are willing to accept cases that are too small to enable investors to retain a securities attorney. Other commenters contended that the proposal should prohibit compensated non-attorney representation in securities arbitration, stating that the lack of legal training makes non-attorneys less knowledgeable or competent to deal fully with the laws and issues that arise in an arbitration proceeding. 20 19 *See* , Griffin Letter, O'Donnell Letter, Rapoport Letter, Sacks Letter, Stein Letter and Takacs Letter. 20 *See* Firestein Letter, Heggy Letter, Korsak Letter, Pace Letter and PIABA Letter. As noted above, based on the disparate comments received on the proposal, NASD recognized that the proposal may not have been clear. NASD did not intend to change current practice in the forum regarding representation of parties by non-attorneys; nor did it intend to preempt state law on the issue of attorney licensing. Because the comments indicated that these positions were unclear, NASD has withdrawn the attorney representation proposal and is filing this new proposal to replace it. 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 self-regulatory organization consents, the Commission will: A. By order approve such proposed rule change, or B. Institute proceedings to determine whether the proposed rule change should be disapproved. IV. Solicitation of Comments Interested persons are invited to submit written data, views, and arguments concerning the foregoing, including whether the proposed rule change, as amended, is consistent with the Act. Comments may be submitted by any of the following methods: Electronic Comments • Use the Commission's Internet comment form ( *http://www.sec.gov/rules/sro.shtml* ); or • Send an e-mail to *rule-comments@sec.gov.* Please include File Number SR-NASD-2006-109 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-2006-109. 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 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 the File Number SR-NASD-2006-109 and should be submitted on or before May 4, 2007. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 21 21 17 CFR 200.30-3(a)(12). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-7008 Filed 4-12-07; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55590; File No. SR-NYSE-2007-29] Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Rules 13 (“Definitions of Orders”) and 17 (“Use of Exchange Facilities”) April 5, 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 16, 2007, the New York Stock Exchange LLC (“NYSE” or “Exchange”) filed with the Securities and Exchange Commission (“Commission”) the proposed rule change as described in Items I and II below, which Items have been substantially prepared by the Exchange. On April 5, 2007, NYSE filed Amendment No. 1 to the proposed rule change. The Exchange has filed the proposal as a “non-controversial” 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, 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)(6). I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange is proposing to amend Exchange Rules 13 (“Definitions of Orders”) and 17 (“Use of Exchange Facilities”) in order to establish a mechanism to route orders to away market centers when that market center is displaying the national best bid and offer in accordance with Exchange Rules and Regulation NMS under the Act 5 (“Reg. NMS”). The Exchange further proposes to have its order router facilitate the acceptance of executions that result in an odd-lot or a sub-penny execution. The text of the proposed rule change is available at NYSE, the Commission's Public Reference Room, and *www.nyse.com.* 5 17 CFR 242.600 *et seq.* II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, NYSE 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 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 is proposing to amend Exchange Rules 13 and 17 to establish a mechanism to route orders to away market centers (“Routing Broker”) when that market center is displaying the national best bid and offer in accordance with Exchange Rules and Reg. NMS. Through this filing the Exchange further proposes to have its Routing Broker facilitate the acceptance of executions that result in an odd-lot 6 or a sub-penny 7 execution after the Routing Broker routed an Exchange order to an away market center. 6 Odd-lot orders are orders for a size less than the standard unit (round lot) of trading, which is 100 shares for most stocks, although some stocks trade in 10 share units. 7 The Exchange notes that trading centers that provide sub-penny executions are currently developing order types that allow market participants to request a non-sub-penny execution. The Exchange states that the Routing Broker will perform this function only until such time as needed for the creation of these new order types and the completion of any systems modifications associated with the handling of the new order types. The Exchange intends to use its broker-dealer affiliate, 8 Archipelago Securities LLC (“ArcaSec”), as its Routing Broker 9 to route orders, 10 subject to Exchange rules and Reg. NMS, to away market centers displaying protected bids and protected offers, as defined in Rule 600(b)(57) of Reg. NMS. The Exchange believes that the Routing Broker will offer an efficient mechanism for the Exchange to route orders to away market centers for execution in compliance with Exchange Rules and Reg. NMS. 8 On February 27, 2006, the Commission approved the Exchange's business combination with Archipelago Holdings, Inc. (“Merger”). *See* Securities Exchange Act Release No. 53382 (February 27, 2006), 71 FR 11251 (March 6, 2006) (SR-NYSE-2005-77). Pursuant to the Merger, NYSE Group, Inc. became the overall parent company of the Exchange and Archipelago Holdings, Inc. NYSE Group, Inc. operates two securities exchanges: The Exchange and NYSE Arca, Inc. (formerly known as the Archipelago Exchange, or ArcaEx®, and the Pacific Exchange). ArcaSec remains a wholly owned subsidiary of Archipelago Holdings, Inc. and is therefore an affiliate of the Exchange. 9 In the event the Exchange seeks to use another entity as its Routing Broker, the Exchange understands that it would be required to obtain Commission approval. 10 Currently ArcaSec performs two functions for NYSE Arca, Inc. ArcaSec acts as the outbound order routing facility of NYSE Arca, Inc. *See* Securities Exchange Act Release No. 52497 (September 22, 2005), 70 FR 56949 (September 29, 2005) (SR-PCX-2005-90); *see also* Securities Exchange Act Release No. 44983 (October 25, 2001), 66 FR 55225 (November 1, 2001) (SR-PCX-00-25). The Exchange states that, currently, the NASD is responsible for carrying out the oversight and enforcement responsibilities for ArcaSec as the designated examining authority designated by the Commission pursuant to Rule 17d-1 of the Act with the responsibility for examining the Routing Broker for compliance with the applicable financial responsibility rules. The Exchange states that it intends to enter into a 17d-2 agreement with a regulator other than the Exchange or any of its affiliates to regulate its outbound router. In addition, on March 12, 2007, the Commission authorized ArcaSec to act as a marketing agent on behalf of NYSE Arca Tech 100 Index and NYSE Arca Tech 100 ETF. This business activity has no connection to ArcaSec's facility functions as described above. *See* Securities Exchange Act Release No. 55442 (March 12, 2007), 72 FR 12654 (March 16, 2007) (SR-NYSEArca-2007-09). Pursuant to the proposed rule, Exchange systems will provide the Routing Broker with routing instructions to route orders to other market centers and report such executions back to the Exchange. The Exchange states that the Routing Broker cannot change the terms of an order or the routing instructions, nor does the Routing Broker have any discretion about where to route an order. The Exchange states that the Routing Broker will operate as a “facility” 11 of the Exchange in that it will serve as a “system of communication to or from” 12 the Exchange. When an order must be routed to an away market center for execution, Exchange systems will affix all order handling information to the order. Exchange systems will automatically transmit the order and the relevant order handling information to the Routing Broker. In turn, the Routing Broker will facilitate the delivery of the received order to the destination away market. The Routing Broker will obtain receipts of executions and deliver those receipts of executions back to Exchange systems. 11 The term “facility” as defined in Section 3(a)(2) of the Act, as amended, provides, * * * when used with respect to an exchange includes its premises, tangible or intangible property whether on the premises or not, any right to the use of such premises or property or any service thereof for the purpose of effecting or reporting a transaction on an exchange (including, among other things, any system of communication to or from the exchange, by ticker or otherwise, maintained by or with the consent of the exchange), and any right of the exchange to the use of any property or service. *See* 15 U.S.C. 78c(a)(2). 12 *Id.* In particular, and without limitation, under the Act, the Exchange will be responsible for filing with the Commission rule changes and fees relating to the functions performed by the Routing Broker for the Exchange and will be subject to exchange non-discrimination requirements. Furthermore, the books, records, premises, officers, agents, directors, and employees of the Routing Broker, as a facility of the Exchange, shall be deemed to be the books, records, premises, officers, agents, directors, and employees of the Exchange for purposes of, and subject to oversight pursuant to, the Act. The books and records of the Routing Broker as a facility of the Exchange shall be subject at all times to inspection and copying by the Exchange and the Commission. In addition to routing orders to away market centers, the Routing Broker will facilitate the acceptance of executions that results in an odd-lot or a sub-penny execution as Exchange systems are unable to accept such executions after the Routing Broker routes an Exchange order to an away market center. Currently, odd-lot orders on the Exchange are executed in a trading system that is separate from the Exchange system responsible for the execution of round-lot orders (“odd-lot trading platform”). The Exchange odd-lot trading platform executes all odd-lots orders against the specialist as the contra party separate from the trading system that is responsible for the execution of round lot orders. Since odd-lot orders are handled in a separate trading system, the Exchange systems that are responsible for the execution of round lot orders are unable to accept receipts of execution in odd-lots at the present time. Similarly, the Exchange has chosen not to quote and trade in sub-penny increments when permitted under Reg. NMS. In order to process receipts of odd-lot and sub-penny executions from an away market, the Exchange proposes to have the Routing Broker facilitate the handling of such odd-lot and sub-penny execution. Specifically, if the Routing Broker is in receipt of an odd-lot execution in response to the Exchange's routing of a round lot order, it will assume the odd-lot position. The Routing Broker will then sell/buy the requested number of round lot shares to the Exchange member. The Routing Broker will perform this adjustment to each odd-lot execution in order to transmit a round lot execution to the Exchange. The Routing Broker will afford the Exchange order ( *i.e.* for the Exchange member) the most favorable execution price based on the odd-lot execution(s) received by the Routing Broker from the away market. With regard to a sub-penny execution, the Routing Broker will perform an adjustment to each sub-penny execution. Specifically, the Routing Broker will round down for each buy order and up for each sell order and transmit a round penny execution to the Exchange order. Again, the Routing Broker will afford the Exchange order the most favorable execution price based on the sub-penny execution received by the Routing Broker from the away market. The Routing Broker will liquidate positions assumed as a result of the services provided to the Exchange. This service provided by the Routing Broker with regard to odd-lot and sub-penny executions is not intended to operate as a means to generate revenue. Rather, the Routing Broker is providing an additional service to the Exchange in order to facilitate the receipt of odd-lot and sub-penny executions from away market centers. To that end, it is the intent of the Routing Broker to be flat in all positions at the end of each trading day. 13 The Routing Broker will incorporate an automated system to immediately assist in the liquidation (acquisition) for any residual long (short) positions. To mitigate financial risk 14 to the Routing Broker, registered trading personnel of the Routing Broker may be required to manually assist, as soon as practicable, in the liquidation (acquisition) of such positions when, due to the nature of the security ( *e.g.* high-priced securities that trade with a wide spread) and its trading pattern or volatile market conditions, liquidation (acquisition) is not immediately possible. 13 Absent any unusual market conditions or the timing of such trades (for example, the execution of the order at 15:59:59) it is intended that the Routing Broker will be flat in all positions at the end of each trading day. 14 Any and all loses incurred during the facilitation of odd-lot and sub-penny executions will be assumed by the Routing Broker as part of the routing service provided. Below are examples of how the Routing Broker is intended to operate. ODD-LOT Executions Example 1: Exchange member Firm X enters an order on the Exchange to buy 100 shares of ABC at $20.00. Exchange systems transmit the order with order handling instructions to the Routing Broker. The Routing Broker then transmits the order with the order handling instructions received from the Exchange systems to market center A. The Routing Broker receives reports of two odd-lot executions from market center A. The first report of execution is for 30 shares executed at a price of $20.00. The second report of execution completes the original order with an execution of the remaining 70 shares at a price of $20.00. The Routing Broker will sell 100 shares to Exchange member Firm X at $20.00 and use the odd-lots received from market center A to offset the position. The Routing Broker's position is flat. Example 2: Exchange member Firm X enters an order on the Exchange to buy 100 shares of ABC at $20.00. The Exchange systems transmit the order with order handling instructions to the Routing Broker. The Routing Broker then transmits the order with the order handling instructions received from the Exchange systems to market center A. The Routing Broker receives two odd-lot fills from market center A. The first report is for 30 shares executed at a price of $19.99. The second report of execution completes the original with an execution of the remaining 70 shares at a price of $20.00. The Routing Broker sells 100 shares to Firm X at $19.99 and uses the odd-lots to offset the position. The Routing Broker's position is flat, with a loss of $0.70. Example 3: Exchange member Firm X enters an order on the Exchange to buy 100 shares of ABC at $20.00. The Exchange systems transmit the order with order handling instructions to the Routing Broker. The Routing Broker then transmits the order with the order handling instructions received from the Exchange systems to market center A. The Routing Broker receives an odd-lot fill of only 30 shares at $20.00 and a report of cancellation for the remaining 70 shares of the original order. The Routing Broker will sell 100 shares to Firm X at $20.00. In turn, the Routing Broker will then go into the market to buy 70 shares of ABC. The Routing Broker receives a fill of 70 at $20.05. The Routing Broker will then use both odd-lots positions to offset the position taken as a result of handling the order of Firm X. The Routing Broker's position is flat, with a loss of $3.50. Example 4: Exchange member Firm X enters an order on the Exchange to buy 100 shares of ABC at $20.00. The Exchange systems transmit the order with order handling instructions to the Routing Broker. The Routing Broker then transmits the order with the order handling instructions received from the Exchange systems to market center A. The Routing Broker receives an odd-lot fill of only 30 shares at $20.00 and a report of cancellation for the remaining 70 shares of the original order. The Routing Broker will sell 100 shares to Firm X at $20.00. In turn, the Routing Broker will then go into the market to buy 70 shares of ABC. The Routing Broker receives a fill of 70 at $19.99. The Routing Broker will then use both odd-lots positions to offset the position taken as a result of handling the order of Firm X. The Routing Broker's position is flat, with a profit of $0.70. SUB-PENNY Executions Example 1: Exchange member Firm X enters an order on the Exchange to buy 100 shares of ABC at $20.00. The Exchange's best offer is $19.98. Market Center A is displaying a best offer at $19.97. Market Center A also offers a mid-point match execution process that may result in a trade price that includes sub-pennies. The Exchange systems transmit the order with order handling instructions to the Routing Broker. The Routing Broker then transmits the order with the order handling instructions received from Exchange systems to market center A. The Routing Broker receives a fill of 100 shares at $19.975 due to a mid-point cross occurring at market center A. The Routing Broker will sell 100 shares to member Firm X at $19.97 and uses the fill of 100 shares at $19.975 to offset the position. The Routing Broker will be flat, with a loss of $0.50. The use of the Routing Broker to route orders to another market center will be optional. In the event a member organization does not want to use the Routing Broker it must enter an immediate-or-cancel order or any such other order type available on the Exchange that is not eligible for routing. All bids and offers entered on the Exchange that are routed to other market centers via the Routing Broker which result in an execution shall be binding on the member organization that entered such bid and offer. The Routing Broker will not engage in any business for the Exchange other than its outbound router and facilitation functions as described above. In the event the Exchange seeks to have the Routing Broker engage in any other activities, it understands that the ability of the Routing Broker to engage in such new business activity would require Commission approval. The Exchange believes that the above-described operation of the Routing Broker will serve as the most economically efficient execution of securities transactions. Furthermore, the Routing Broker is necessary for the Exchange to comply with its obligations pursuant to Reg. NMS. 2. Statutory Basis The Exchange believes that the proposed rule change is consistent with the requirement under Section 6(b)(5) of the Act 15 that an exchange have rules that 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 proposed rule change is also designed to support the principles of Section 11A(a)(1) 16 in that it seeks to assure economically efficient execution of securities transactions. 15 15 U.S.C. 78f(b)(5). 16 15 U.S.C. 78k-1(a)(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 Because the forgoing rule change does not:

(1)Significantly affect the protection of investors or the public interest;

(2)impose any significant burden on competition; and

(3)become operative for 30 days after the date of this filing, or such shorter time as the Commission may designate, it has become effective pursuant to Section 19(b)(3)(A) of the Act 17 and Rule 19b-4(f)(6) thereunder. 18 17 15 U.S.C. 78s(b)(3)(A). 18 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. 19 However, Rule 19b-4(f)(6)(iii) 20 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 requested that the Commission waive the 30-day operative delay. The Commission believes that waiving the 30-day operative delay is consistent with the protection of investors and the public interest because such waiver would permit NYSE to immediately use the Routing Broker to route orders to other trading centers to prevent trade-troughs of protected quotations in NMS stocks. 21 For this reason, the Commission designates the proposed rule change to be operative upon filing with the Commission. 22 19 17 CFR 240.19b-4(f)(6)(iii). In addition, Rule 19b-4(f)(6)(iii) requires that a self-regulatory organization submit to the Commission written notice of its intent to file the proposed rule change, along with a brief description and text of the proposed rule change, at least five business days prior to the date of filing of the proposed rule change, or such shorter time as designated by the Commission. NYSE has satisfied the five-day pre-filing notice requirement. 20 *Id.* 21 The Commission notes that NYSE's proposed Rule 17(b) is substantially similar to Rule 2.11 of the National Stock Exchange, Inc. 22 For the purposes only of waiving the 30-day operative delay, the Commission has considered the proposed rule's impact on efficiency, competition, and capital formation. *See* 15 U.S.C. 78c(f). At any time within 60 days of the filing of such proposed rule change the Commission may summarily abrogate such rule change if it appears to the Commission that such action is necessary or appropriate in the public interest, for the protection of investors or otherwise in furtherance of the purposes of the Act. 23 23 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 April 5, 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-NYSE-2007-29 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-2007-29. 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 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-2007-29 and should be submitted on or before May 4, 2007. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 24 24 17 CFR 200.30-3(a)(12). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-6962 Filed 4-12-07; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55594; File No. SR-NYSE-2005-48] Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendments No. 1, 2, 3, and 4 Thereto to Proposed Rule Change to Amend Rule 619 Pertaining to Subpoenas for the Production of Documents and Appearances of Witnesses April 6, 2007. On July 13, 2005, pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”) 1 and Rule 19b-4 thereunder, 2 the New York Stock Exchange LLC (“NYSE” or “Exchange”) filed with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend NYSE Rule 619, pertaining to subpoenas for the production of documents and appearance of witnesses. The proposed rule change was published for comment in the **Federal Register** on September 26, 2005, 3 and the Commission received no comments on the proposal. On April 18, 2006, November 2, 2006, December 22, 2006, and February 8, 2007, the NYSE filed Amendments No. 1, 2, 3, and 4, respectively, to revise the rule change as described in Items I, II, and III below, which Items have been prepared by the NYSE. 4 The Commission is publishing this notice to solicit comments on the proposed rule change, as amended, from interested persons. 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. 3 *See* Securities Exchange Act Release No. 52468 (Sept. 19, 2005), 70 FR 56201 (Sept. 26, 2005). 4 Amendment No. 1 clarified that only the arbitrator(s) may issue subpoenas and delineated the manner in which a party may request the issuance of a subpoena. Amendment No. 2 established a time frame for the parties to make and respond to objections to the requested subpoena and clarified that the arbitrator(s) may not rule on such a request until this time period has elapsed. Amendment No. 3 made technical changes to the rule and clarified that the arbitrator(s) must receive copies of any objections to the issuance of a subpoena. Amendment No. 4 clarified that a party requesting a subpoena may not serve the request or the draft subpoena on a non-party. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change NYSE is proposing to revise Rule 619, which pertains to subpoenas for the production of documents and the appearance of witnesses. Below is the text of the proposed rule change. Proposed new language is italicized and proposed deletions are in brackets.

(a)to

(e)No change.

(f)Subpoenas. ( *1* ) The arbitrator(s) [and any counsel of record to the proceedings] *may issue subpoenas for the production of documents or the appearance of witnesses* [shall have the power of the subpoena process as provided by law. All parties shall be given a copy of the subpoena upon its issuance. The parties shall produce witnesses and present proofs to the fullest extent possible without resort to the subpoena process.] *The party who requests a subpoena must make a written request asking the arbitrator(s) to issue a subpoena. The request, along with the requested draft subpoena must be served directly on each other party in a manner that is reasonably expected to cause the request and the requested subpoena to be delivered to all parties on the same day. The requesting party may not serve the request or the requested draft subpoena on a non-party. The request and the requested subpoena must also be filed with the Director of Arbitration, with additional copies for each arbitrator, at the same time and in the same manner in which they are served on the parties. The parties shall produce witnesses and present proof at the hearing whenever possible without using subpoenas. * ( *2* ) * In the event a party receiving such a request objects to the scope or propriety of the subpoena, that party shall, within 10 days of service of the request, file with the Director of Arbitration, with copies to all other parties, written objections, including additional copies for each arbitrator. The party seeking the subpoena may respond thereto within five days of receipt of the objection. The arbitrator(s) appointed shall rule promptly on the issuance and scope of the subpoena after the time period for objections and replies thereto has elapsed. * ( *3* ) *If the arbitrator(s) issue a subpoena, the party that requested the subpoena must serve the subpoena at the same time and in the same manner on all parties, and, if applicable, on any non-party receiving the subpoena. * ( *4* ) *Any party that receives documents in response to a subpoena served upon a non-party shall provide notice to all other parties within five days of receipt of the documents. Thereafter, any party may request copies of such documents and, if such a request is made, the documents must be provided within 10 days following receipt of the request. The party requesting the documents shall be responsible for the reasonable costs associated with the production of the copies, unless the panel determines otherwise.*

(g)No change. II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, the NYSE included statements concerning the purpose of and basis for 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 Proposal In the initial rule filing, the Exchange proposed to revise NYSE Rule 619 to provide for a 10-day notice period requirement before a party issues a subpoena to a non-party for pre-hearing discovery. Under the proposed rule change only the arbitrator(s) may issue subpoenas for the production of documents and the appearance of witnesses. In addition, the arbitrator(s), and not the courts, would rule on discovery disputes concerning the issuance of subpoenas. The party who requests a subpoena would make a written request asking the arbitrator(s) to issue a subpoena and would send a copy of the request and the requested draft subpoena to the Director of Arbitration, each arbitrator, and all parties to the arbitration in a manner reasonably expected to result in delivery to everyone on the same day. The requesting party may not serve the request or the requested draft subpoena on any non-party. If a party has an objection to the propriety or scope of the subpoena, that party would be required to file objections in writing with the Director of Arbitration and send copies to all other parties, including each arbitrator, within 10 days of service of the request and draft subpoena. The party requesting the subpoena could file a reply to the objection within five days of receipt of the objection. The arbitrator(s) would determine the propriety and scope of the requested subpoena after the time period for filing objections or replies had elapsed. If a subpoena is issued by the arbitrator(s), the party that requested the subpoena would be required to serve the subpoena at the same time and in the same manner on all parties, and, if applicable, on any non-party receiving the subpoena. Additionally, the proposed rule change provides that any party that receives documents in response to a subpoena served upon a non-party must provide notice to all other parties within five days of receipt of the documents. Thereafter, any party may request copies of those documents and, if such a request is made, the documents must be provided within 10 days following receipt of the request. The party requesting the documents is responsible for the reasonable costs associated with the production of the copies, unless the panel determines otherwise. 2. Statutory Basis NYSE believes that the proposed rule change is consistent with Section 6(b)(5) 5 of the Act in that the rule change promotes just and equitable principles of trade by ensuring that members, member organizations and the public have a fair and impartial forum for the resolution of their disputes. 5 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 Commission published the proposed amendments to Rule 619 (SR-NYSE-2005-48) in the **Federal Register** on September 26, 2005. The Commission received no comments in response to the proposal. 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 self-regulatory organization consents, the Commission will:

(A)By order approve the 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 e-mail to *rule-comments@sec.gov.* Please include File Number SR-NYSE-2006-48 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-2005-48. 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-2005-48 and should be submitted on or before May 4, 2007. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 6 6 17 CFR 200.30-3(a)(12). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-7055 Filed 4-12-07; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55600; File No. SR-NYSE-2007-27] Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto To Adopt Generic Listing Standards for Index-Linked Securities April 9, 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 9, 2007, the New York Stock Exchange LLC (“NYSE” 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 April 4, 2007, the Exchange filed Amendment No. 1 to the proposed rule change. On April 5, 2007, the Exchange filed Amendment No. 2 to the proposed rule change. The Commission is publishing this notice to solicit comments on the proposed rule change, as amended, from interested persons. 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. I. Self-Regulatory Organization's Statement of the Terms of Substance of the Proposed Rule Change The Exchange proposes to adopt generic listing standards for equity index-linked securities (“Equity Index-Linked Securities”), commodity-linked securities (“Commodity-Linked Securities”), and currency-linked securities (“Currency-Linked Securities” and, together with Equity Index-Linked Securities and Commodity-Linked Securities, “Index-Linked Securities”). The text of the proposed rule change is available at NYSE, the Commission's Public Reference Room, and *www.nyse.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. The Exchange has prepared summaries, set forth in Sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to add new Section 703.22 to its Listed Company Manual (the “Manual”) to provide generic listing standards to permit the listing and trading of Index-Linked Securities pursuant to Rule 19b-4(e) 3 under the Act. The Exchange represents that any securities it lists and/or trades pursuant to proposed Section 703.22 of the Manual will satisfy the standards set forth therein. The Exchange states that within five business days after commencement of trading of an Index-Linked Security pursuant to proposed Section 703.22 of the Manual, the Exchange will file a Form 19b-4(e). 4 3 Rule 19b-4(e) provides that the listing and trading of a new derivative securities product by a self-regulatory organization (“SRO”) shall not be deemed a proposed rule change if the Commission has approved the SRO's trading rules, procedures, and listing standards for the product class that would include the new derivatives securities product, and the SRO has a surveillance program for the product class. *See* 17 CFR 240.19b-4(e)(1). 4 *See* 17 CFR 240.19b-4(e)(2)(ii). Index-Linked Securities Index-Linked Securities are designed for investors who desire to participate in a specific market segment by providing exposure to one or more identifiable underlying securities, commodities, currencies, derivative instruments, or market indexes of the foregoing (the “Underlying Index” or “Underlying Indexes”). 5 Index-Linked Securities are the non-convertible debt of an issuer that have a term of at least one year, but not greater than thirty years, and are tied to the performance of the Underlying Index. Index-Linked Securities may or may not make interest payments based on dividends or other cash distributions paid on the securities comprising the Underlying Index or Indexes to the holder during their term. Despite the fact that Index-Linked Securities are linked to an Underlying Index, each will trade as a single, exchange-listed security. 5 The Exchange states that the holder of an Index-Linked Security may or may not be fully exposed to the appreciation and/or depreciation of the underlying component assets. For example, an Index-Linked Security may be subject to a “cap” on the maximum principal amount to be repaid to holders or a “floor” on the minimum principal amount to be repaid to holders at maturity. The Exchange represents that the proposed generic listing standards will not be applicable to Index-Linked Securities with respect to which the payment at maturity is based on a multiple of the negative performance of an Underlying Index or Indexes. An Index-Linked Security may or may not provide “principal protection,” *i.e.* , a minimum guaranteed amount to be repaid. 6 The Exchange believes that the flexibility to list a variety of Index-Linked Securities will offer investors the opportunity to more precisely focus their specific investment strategies. 6 Some Index-Linked Securities may provide for “contingent” protection of the principal amount, whereby the principal protection may disappear if the Underlying Index at any point in time during the life of such security reaches a certain predetermined level. Index-Linked Securities do not give the holder any right to receive a portfolio component, dividend payments, or any other ownership right or interest in the portfolio or underlying components comprising the Underlying Index. Pursuant to proposed Section 703.22 of the Manual, the current or composite value of the Underlying Index will be widely disseminated at least every 15 seconds during the trading day. Proposed Listing Criteria for Index-Linked Securities The Exchange will apply the following requirements to all issuers of Index-Linked Securities: • If the issuer is a NYSE-listed company, the entity must be a company in good standing ( *i.e.* , meets NYSE's applicable continued listing criteria); if the issuer is an affiliate of a NYSE-listed company, the NYSE-listed company must be a company in good standing; if not listed, the issuer must meet the size and earnings requirements of Sections 102.01-102.03 or Sections 103.01-103.05 of the Manual. Sovereign issuers will be evaluated on a case-by-case basis. • The issuer will be expected to have a minimum tangible net worth 7 of $250,000,000. In the alternative, the issuer will be expected:

(i)To have a minimum tangible net worth of $150,000,000 and

(ii)not to issue Index-Linked Securities, the original issue price of which, combined with all the issuer's other Index-Linked Securities listed on a national securities exchange, exceeds 25% of the issuer's tangible net worth at the time of issuance. If the Index-Linked Securities are fully and unconditionally guaranteed by an affiliate of the issuer, the Exchange will rely on such affiliate's tangible net worth for purposes of these requirements and will include in its calculation all Index-Linked Securities that are fully and unconditionally guaranteed by such affiliate. 7 “Tangible net worth” is defined as total assets, *less* intangible assets and total liabilities. Intangibles include non-material benefits such as goodwill, patents, copyrights, and trademarks. • The issuer must be in compliance with Rule 10A-3 under the Act. 8 8 *See* 17 CFR 240.10A-3 (setting forth the listing standards relating to audit committees). The Exchange will apply the following requirements to each issue of Index-Linked Securities: • The issue must have a minimum public distribution of at least 1 million units and a minimum of 400 holders, except if traded on the NYSE Bonds system and the applicable NYSE Bonds listing and trading standards are satisfied; 9 9 *See* NYSE Rule 86 (establishing rules and standards with respect to the Exchange's electronic system, known as “NYSE Bonds,” for receiving, processing, executing, and reporting bids, offers, and executions in bonds). • The issue must have a principal amount/aggregate market value of not less than $4 million; • The issue must have a term of at least one year, but not greater than thirty years; • The issue must be the non-convertible debt of the issuer; and • The issue must not base its payment at maturity on a multiple of the negative performance of an Underlying Index or Indexes, although the payment at maturity may or may not provide for a multiple of the positive performance of an Underlying Index or Indexes. Index-Linked Securities must have at least 400 holders at the time of listing. This requirement will not be applicable if the issue provides for the redemption of Index-Linked Securities at the option of the holders on at least a weekly basis. The Exchange believes that a weekly redemption right will ensure a strong correlation between the market price of the Index-Linked Securities and the performance of the Underlying Index, as holders will be unlikely to sell their Index-Linked Securities for less than their redemption value if they have a weekly right to be redeemed for their full value. In addition, in the case of those Index-Linked Securities with a weekly redemption feature that are currently listed, as well as all of those that are currently proposed to be listed, the issuer has the ability to issue new Index-Linked Securities from time to time at the indicative value at the time of such sale. This provides a ready supply of new Index-Linked Securities thereby lessening the possibility that the market price of such securities will be affected by a scarcity of available Index-Linked Securities for sale. It also assists in maintaining a strong correlation between the market price and the indicative value, as investors will be unlikely to pay more than the indicative value in the open market if they can acquire Index-Linked Securities from the issuer at that price. The ability to list Index-Linked Securities with these characteristics without any specific requirements as to the number of holders is important to the successful listing of such securities. Issuers issuing these types of Index-Linked Securities generally do not intend to do so by way of an underwritten offering. Rather, the distribution arrangement is analogous to that of an exchange traded fund issuance, in that the issue is launched without any significant distribution event, and the float increases over time as investors purchase additional securities from the issuer at the then indicative value. Investors will generally seek to purchase the securities at a point when the Underlying Index is at a level that they perceive as providing an attractive growth opportunity. In the context of such a distribution arrangement, it is difficult for an issuer to guarantee its ability to sell to sufficient investors on the listing date to meet a specific number-of-holders requirement. However, the Exchange believes that this difficulty in ensuring 400 holders on the listing date is not indicative of a likely long-term lack of liquidity in Index-Linked Securities or, for the reasons set forth in the prior paragraph, of a difficulty in establishing a pricing equilibrium in the Index-Linked Securities or a successful two-sided market. Equity Index-Linked Securities Listing Standards Equity Index-Linked Securities will be subject to the criteria in proposed Section 703.22(B)(I) of the Manual for initial and continued listing. For an Underlying Index to be appropriate for the initial listing of an Equity Index-Linked Security, such Underlying Index must comprise at least ten component securities of different issuers. The Underlying Index must also either:

(i)Be approved for the trading of options or other derivative securities by the Commission under Section 19(b)(2) of the Act 10 and rules thereunder, and the conditions set forth in the Commission's approval order, including comprehensive surveillance sharing agreements for non-U.S. stocks, continue to be satisfied, or

(ii)meet the following requirements: 10 15 U.S.C. 78s(b)(2). • Each component security must have a minimum market value of at least $75 million, except that for each of the lowest dollar weighted component securities in the Underlying Index that in the aggregate account for no more than 10% of the dollar weight of such Underlying Index, the market value can be at least $50 million; • Each component security must have a trading volume in each of the last six months of not less than 1,000,000 shares, except that for each of the lowest dollar weighted component securities in the Underlying Index that in the aggregate account for no more than 10% of the dollar weight of such Underlying Index, the trading volume must be at least 500,000 shares in each of the last six months; • Underlying Indexes based upon the equal-dollar or modified equal-dollar weighting methodology must be rebalanced at least quarterly; • In the case of a capitalization weighted or modified capitalization weighted Underlying Index, the lesser of the five highest dollar weighted component securities in the Underlying Index or the highest dollar weighted component securities in the Underlying Index that in the aggregate represent at least 30% of the total number of component securities in the Underlying Index, each have an average monthly trading volume of at least 2,000,000 shares over the previous six months; • No component security will represent more than 25% of the dollar weight of the Underlying Index, and the five highest dollar weighted component securities in the Underlying Index will not in the aggregate account for more than 50% of the weight of the Underlying Index (60% for an Underlying Index consisting of fewer than 25 component securities); • 90% of the Underlying Index's dollar weight and at least 80% of the total number of component securities must meet the then current criteria for standardized options trading on a national securities exchange; and • All component securities must either:

(i)Be issued by a reporting company under the Act that is listed on a national securities exchange and be an “NMS stock,” as defined in Rule 600 of Regulation NMS, 11 or

(ii)be foreign country securities or American Depository Receipts (“ADRs”), provided that the foreign country securities or foreign country securities underlying ADRs having their primary trading market outside the United States on foreign trading markets that are not parties to comprehensive surveillance agreements with the Exchange will not, in the aggregate, represent more than 20% of the dollar weight of the Underlying Index. 11 *See* 17 CFR 242.600(b)(47). The Exchange will commence delisting or removal proceedings of an Equity Index-Linked Security if any of the standards set forth in the initial eligibility criteria are not continuously maintained, except that: • The criteria that no single component represent more than 25% of the dollar weight of the Underlying Index and the five highest dollar weighted components in the Underlying Index cannot represent more than 50% (or 60% for Underlying Indexes with less than 25 components) of the dollar weight of the Underlying Index, need only be satisfied for capitalization weighted, modified capitalization weighted, and price weighted Underlying Indexes as of the first day of January and July in each year; • The total number of components in the Underlying Index may not increase or decrease by more than 33 1/3 % from the number of components in the Underlying Index at the time of its initial listing, and in no event may be less than ten components; • The trading volume of each component security in the Underlying Index must be at least 500,000 shares for each of the last six months, except that for each of the lowest dollar weighted components in the Underlying Index that in the aggregate account for no more than 10% of the dollar weight of the Underlying Index, trading volume must be at least 400,000 shares for each of the last six months; and • For a capitalization weighted or modified capitalization weighted Underlying Index, the lesser of the five highest dollar weighted component securities in the Underlying Index or the highest dollar weighted component securities in the Underlying Index that in the aggregate represent at least 30% of the total number of stocks in the Underlying Index have an average monthly trading volume of at least 1,000,000 shares over the previous six months. In connection with an Equity Index-Linked Security, the Exchange will commence delisting or removal proceedings if an Underlying Index or Indexes fails to satisfy the maintenance standards or conditions for such Underlying Index or Indexes as set forth by the Commission in its order under Section 19(b)(2) of the Act 12 approving the Underlying Index or Indexes for the trading of options or other derivatives. The Exchange will also commence delisting or removal proceedings of an Equity Index-Linked Security under any of the following circumstances: 12 15 U.S.C. 78s(b)(2). • If the aggregate market value or the principal amount of the Equity Index-Linked Securities publicly held is less than $400,000; • If the value of the Underlying Index or composite value of the Underlying Indexes is no longer calculated and widely disseminated on at least a 15-second basis during the time the Equity Index-Linked Securities trade on the Exchange; or • If such other event occurs or condition exists which, in the opinion of the Exchange, makes further dealings on the Exchange inadvisable. Commodity-Linked Securities Listing Standards Commodity-Linked Securities will be subject to the criteria in proposed Section 703.22(B)(II) of the Manual for initial and continued listing. An issue of Commodity-Linked Securities must meet initial listing standards set forth in either the first or second bullet point below: • One or more physical commodities or commodity futures, options, or other commodity derivatives or Commodity Trust Shares (as defined in Exchange Rule 1300B) or basket or index of any of the foregoing (the “Commodity Reference Asset”) to which the security is linked shall have been reviewed and approved for the trading of Commodity Trust Shares, options, or other derivatives by the Commission under Section 19(b)(2) of the Act 13 and rules thereunder, and the conditions set forth in the Commission's approval order, including with respect to comprehensive surveillance sharing agreements, continue to be satisfied; or 13 *Id.* • The pricing information for each component of a Commodity Reference Asset must be derived from a market which is an Intermarket Surveillance Group (“ISG”) member or affiliate or with which the Exchange has a comprehensive surveillance sharing agreement. Notwithstanding the previous sentence, pricing information for gold and silver may be derived from the London Bullion Market Association. In addition, the issue must meet both of the following initial listing criteria: • The value of the Commodity Reference Asset must be calculated and widely disseminated on at least a 15-second basis during the time the Commodity-Linked Securities trade on the Exchange; and • In the case of Commodity-Linked Securities that are periodically redeemable, the indicative value of the subject Commodity-Linked Securities must be calculated and widely disseminated by one or more major market data vendors on at least a 15-second basis during the time the Commodity-Linked Securities trade on the Exchange. The Exchange will commence delisting or removal proceedings if any of the initial listing criteria described above is not continuously maintained. Notwithstanding the foregoing sentence, an issue of Commodity-Linked Securities will not be delisted for a failure to have in place comprehensive surveillance sharing agreements if the Commodity Reference Asset has at least 10 components, and the Exchange has comprehensive surveillance sharing agreements with respect to at least 90% of the dollar weight of the Commodity Reference Asset. The Exchange will also commence delisting or removal proceedings: • If the aggregate market value or the principal amount of the Commodity-Linked Securities publicly held is less than $400,000; • If the value of the Commodity Reference Asset is no longer calculated or available and a new Commodity Reference Asset is substituted, unless the new Commodity Reference Asset meets the requirements of proposed Section 703.22; or • If such other event occurs or condition exists which, in the opinion of the Exchange, makes further dealings on the Exchange inadvisable. Currency-Linked Securities Listing Standards Currency-Linked Securities will be subject to the criteria in proposed Section 703.22(B)(III) of the Manual for initial and continued listing. An issue of Currency-Linked Securities must meet initial listing standards set forth in either the first or second bullet point below: • One or more currencies, or options, currency futures, or other currency derivatives, or Currency Trust Shares (as defined in Exchange Rule 1300A), or a basket or index of any of the foregoing (the “Currency Reference Asset”) to which the Currency-Linked Security is linked shall have been reviewed and approved for the trading of Currency Trust Shares, options, or other derivatives by the Commission under Section 19(b)(2) of the Act 14 and rules thereunder, and the conditions set forth in the Commission's approval order, including with respect to comprehensive surveillance sharing agreements, continue to be satisfied; or 14 *Id.* • The pricing information for each component of a Currency Reference Asset must be

(a)the generally accepted spot price for the currency exchange rate in question or

(b)derived from a market which

(i)is an ISG member or affiliate of an ISG member or with which the Exchange has in place a comprehensive surveillance sharing agreement and

(ii)is the pricing source for components of a Currency Reference Asset that has previously been approved by the Commission. In addition, the issue must meet both of the following initial listing criteria: • The value of the Currency Reference Asset must be calculated and widely disseminated on at least a 15-second basis during the time the Currency-Linked Securities trade on the Exchange; and • In the case of Currency-Linked Securities that are periodically redeemable, the indicative value of the subject Currency-Linked Securities must be calculated and widely disseminated by one or more major market data vendors on at least a 15-second basis during the time the Currency-Linked Securities trade on the Exchange. The Exchange will commence delisting or removal proceedings if any of the initial listing criteria described above is not continuously maintained. Notwithstanding the foregoing sentence, an issue of Currency-Linked Securities will not be delisted for a failure to have in place comprehensive surveillance sharing agreements if the Currency Reference Asset has at least 10 components, and the Exchange has comprehensive surveillance sharing agreements with respect to at least 90% of the dollar weight of the Currency Reference Asset. The Exchange will also commence delisting or removal proceedings under any of the following circumstances: • If the aggregate market value or the principal amount of the Currency-Linked Securities publicly held is less than $400,000; • If the value of the Currency Reference Asset is no longer calculated or available and a new Currency Reference Asset is substituted, unless the new Currency Reference Asset meets the requirements of proposed Section 703.22; or • If such other event occurs or condition exists which, in the opinion of the Exchange, makes further dealings on the Exchange inadvisable. Exchange Rules Applicable to Index-Linked Securities Index-Linked Securities traded on the Exchange's equity trading floor will be subject to all Exchange rules governing the trading of equity securities. The Exchange's equity margin rules and the Exchange's regular trading hours (9:30 a.m. to 4 p.m. Eastern Time) will apply to transactions in Index-Linked Securities. Index-Linked Securities traded on the NYSE Bonds system will be subject to the rules applicable to securities traded on that system. Information Memorandum Upon evaluating the nature and complexity of each Index-Linked Security, the Exchange represents that it will prepare and distribute, if appropriate, an Information Memorandum to member organizations describing the product. Accordingly, the particular structure and corresponding risks of an Index-Linked Security will be highlighted and disclosed. In particular, the Memorandum will set forth the Exchange's suitability rule that requires a member organization recommending a transaction in Index-Linked Securities:

(1)To determine that such transaction is suitable for the customer (NYSE Rule 723) and

(2)to have a reasonable basis for believing that the customer can evaluate the special characteristics, and is able to bear the financial risks, of such transaction. In addition, the Information Memorandum will reference the requirement that NYSE member organizations must deliver a prospectus to investors purchasing newly issued Index-Linked Securities prior to or concurrently with the confirmation of a transaction. Surveillance The Exchange will closely monitor activity in Index-Linked Securities to identify and deter any potential improper trading activity in such securities. Additionally, the Exchange represents that its surveillance procedures are adequate to properly monitor the trading of Index-Linked Securities. Specifically, the Exchange will rely on its existing surveillance procedures governing equities, options, and exchange-traded funds. The Exchange has developed procedures to closely monitor activity in Index-Linked Securities and the Underlying Indexes and their components to identify and deter potential improper trading activity. To the extent applicable, the Exchange will be able to obtain trading and beneficial holder information from the primary trading markets for the components of the Underlying Indexes in relation to Index-Linked Securities, either pursuant to bilateral information sharing agreements with those markets or because those markets are full members or affiliate members of the ISG. Firewall Procedures If the Underlying Index is maintained by a broker-dealer, the broker-dealer shall erect a “firewall” around the personnel responsible for the maintenance of the Underlying Index or who have access to information concerning changes and adjustments to the Underlying Index, and the Underlying Index shall be calculated by a third party who is not a broker-dealer. Any advisory committee, supervisory board, or similar entity that advises an Index Licensor or Administrator (each as defined in NYSE Rule 1100, Supplementary Material .10) or that makes decisions regarding the Underlying Index or portfolio composition, methodology, and related matters must implement and maintain, or be subject to, procedures designed to prevent the use and dissemination of material, non-public information regarding the applicable Underlying Index or portfolio. NYSE Rules 1300B(b) and Rule 1301B restrict the ability of the specialist firm for any issue of Commodity-Linked Securities or its affiliates to make markets in and trade the Commodity Reference Asset components, the commodities underlying the Commodity Reference Asset components, or options, futures, or options on futures on the Commodity Reference Asset, or any other derivatives based on the Commodity Reference Asset, any Commodity Reference Asset component, or any physical commodity or commodities underlying a Commodity Reference Asset component. Similarly, a proposed rule change to NYSE Rules 1300A and 1301A 15 seeks to impose similar restrictions on the ability of the specialist firm for any issue of Currency-Linked Securities or its affiliates to make markets in and trade the Currency Reference Asset components, the currencies underlying the Currency Reference Asset components, or options, futures, or options on futures on the Currency Reference Asset, or any other derivatives based on the Currency Reference Asset, any Currency Reference Asset component, or any currency underlying a Currency Reference Asset component. 15 *See* Securities Exchange Act Release No. 55222 (February 1, 2007), 72 FR 6021 (February 8, 2007) (SR-NYSE-2006-68). Trading Halts In the case of Commodity-or Currency-Linked Securities, if the indicative value or the Commodity Reference Asset value or Currency Reference Asset value, as the case may be, applicable to a series of such securities is not being disseminated as required, or, in the case of Equity Index-Linked Securities, if the value of the Underlying Index is not being disseminated as required, the Exchange may halt trading during the day on which such interruption first occurs. If such interruption persists past the trading day in which it occurred, the Exchange will halt trading no later than the beginning of the trading day following the interruption. 2. Statutory Basis The proposed rule change is consistent with Section 6(b) of the Act, 16 in general, and furthers the objectives of Section 6(b)(5) of the Act, 17 in particular, in that it is designed to promote just and equitable principles of trade, to foster cooperation and coordination with persons engaged in regulating, clearing, settling, processing information with respect to, and facilitating transactions in securities, 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. 16 15 U.S.C. 78f(b). 17 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 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. The Exchange has requested accelerated approval of this proposed rule change prior to the 30th day after the date of publication of the notice of the filing thereof. The Commission has determined that a 15-day comment period is appropriate in this case. 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-2007-27 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-2007-27. 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 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-2007-27 and should be submitted on or before April 30, 2007. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 18 18 17 CFR 200.30-3(a)(12). Florence E. Harmon, Deputy Secretary. [FR Doc. E7-7056 Filed 4-12-07; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55596; File No. SR-NYSEArca-2007-30] Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Fees for Transactions in Listed and Nasdaq Securities Priced Less Than One Dollar April 6, 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 22, 2007, NYSE Arca, Inc. (“NYSE Arca” or “Exchange”), through its wholly owned subsidiary NYSE Arca Equities, Inc. (“NYSE Arca Equities”), filed with the Securities and Exchange Commission (“Commission”) the proposed rule change as described in Items I, II, and III below, which Items have been substantially prepared by the Exchange. NYSE Arca 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 proposes to amend the section of its Schedule of Fees and Charges for Exchange Services (“Fee Schedule”) that applies to transactions by ETP Holders 5 to add a pricing structure for listed and Nasdaq securities priced less than one dollar. The text of the proposed rule change is available at NYSE Arca, the Commission's Public Reference Room, and *www.nysearca.com.* 5 *See* NYSE Arca Equities Rule 1.1(n). II. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change In its filing with the Commission, NYSE Arca 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 prepared summaries, set forth in Sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose The Exchange proposes to amend the section of its Fee Schedule that applies to transactions by ETP Holders to add a separate pricing structure for listed and Nasdaq securities priced less than one dollar ($1.00) consistent with Rule 610(c) of Regulation NMS. 6 The Exchange intends to implement these changes to the Fee Schedule pursuant to this proposal immediately upon filing. 6 17 CFR 242.610(c). The Fee Schedule currently provides that ETP Holders are charged between $0.001 per share and $0.003 per share for round-lot transactions in NYSE-listed and Nasdaq securities that execute against orders residing on the NYSE Arca Book. ETP Holders are charged $0.03 per share for listed securities and $0.004 per share for Nasdaq securities for odd-lot orders that execute against orders residing on the NYSE Arca Book. Similarly, ETP Holder orders that route to any away market center or participant and are executed are charged between $0.001 per share and $0.03 per share, dependent upon the away market center or participant, the type of security, and whether the transaction was for a round or odd-lot. The Exchange proposes to amend the Fee Schedule to

(i)clarify that these fees will remain unchanged for listed and Nasdaq securities priced greater than or equal to $1.00, and

(ii)add a separate, distinct pricing structure for listed and Nasdaq securities priced less than $1.00, pursuant to Rule 610(c) of Regulation NMS, and consistent with the recent fee announcement 7 by The NASDAQ Stock Market LLC. Specifically, the Exchange proposes to implement a fee of 0.1% of the total dollar value for all round and odd-lot transactions of ETP Holders that execute against orders residing on the NYSE Arca Book for listed or Nasdaq securities priced less than $1.00, and shall impose a fee of 0.3% of the total dollar value for orders of listed and Nasdaq securities priced less than $1.00 that route and are executed with any away market center or participant. The Exchange will not provide a rebate (credit) to ETP Holders for any transactions in securities priced less than $1.00. 7 *See* Securities Exchange Act Release No. 55576 (April 3, 2007) (SR-NASDAQ-2007-026); *see also* NASDAQ Head Trader Alert #2007-065: NASDAQ Announces Pricing Change for Non-NASDAQ Listed Executions Under $1 (March 21, 2007) (announcing an execution fee of 0.1%, or 10 basis points, for non-NASDAQ securities with a share price below $1.00). 2. Statutory Basis The Exchange believes that the proposed rule change is consistent with Section 6(b) of the Act, 8 in general, and furthers the objectives of Section 6(b)(4) of the Act, 9 in particular, in that it is intended to provide for the equitable allocation of reasonable dues, fees, and other charges among its members and other persons using its facilities. 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 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 No written comments were either solicited or 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 10 and subparagraph (f)(2) of Rule 19b-4 thereunder 11 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. 10 15 U.S.C. 78s(b)(3)(A)(ii). 11 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-NYSEArca-2007-30 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-2007-30. 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 the 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-2007-30 and should be submitted on or before May 4, 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. E7-6959 Filed 4-12-07; 8:45 am] BILLING CODE 8010-01-P SECURITIES AND EXCHANGE COMMISSION [Release No. 34-55599; File No. SR-Phlx-2007-32] Self-Regulatory Organizations; Philadelphia Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Equity Option and Index Option Floor Brokerage Assessment April 6, 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 30, 2007, the Philadelphia Stock Exchange, Inc. (“Phlx” 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 Phlx. Phlx filed the proposal pursuant to 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 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 Phlx proposes to amend the equity option and index option Floor Brokerage Assessment to change the levels of the monthly net floor brokerage income and corresponding assessment and to effectively reduce the fee cap from $100,000 per month to $10,000 per month. The proposed equity option and index option Floor Brokerage Assessment is set forth below: Monthly net floor brokerage income Assessment $0-$200,000 5% for all amounts up to and including $200,000. Any amount over $200,000 No additional charge. Monthly Cap: $10,000. The proposed amendments to the Floor Brokerage Assessment, as set forth above, are scheduled to become effective for trades settling on or after April 2, 2007. The Exchange also proposes to make a minor technical change to clarify that the title “Summary of Equity Option and RUT and RMN Charges” should appear on each page of that section of the fee schedule rather than merely on the first page. The text of the proposed rule change is available at Phlx, the Commission's Public Reference Room, and *http://www.phlx.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, Phlx 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. Phlx has prepared summaries, set forth in Sections A, B, and C below, of the most significant aspects of such statements. A. Self-Regulatory Organization's Statement of the Purpose of, and Statutory Basis for, the Proposed Rule Change 1. Purpose The purpose of amending the Floor Brokerage Assessment, including effectively lowering the monthly fee cap to $10,000, 5 is to create a financial incentive for floor brokers to send additional order flow to the Exchange, which should, in turn, allow the Exchange to remain competitive. 5 Although the fee schedule will reflect a cap of $10,000, in actuality listing the cap is just for clarity; mathematically, the cap would exist anyway because the 5% assessment would be applied to the monthly net floor brokerage income for all amounts up to and including $200,000. For example, if the net floor brokerage income is $300,000 for a particular month, then the first $200,000 would be assessed a rate of 5%, (which is $10,000) and the remainder ($100,000) would not be charged any additional Floor Brokerage Assessment. The purpose of setting forth the title “Summary of Equity Option and RUT and RMN Charges” on each applicable page of the fee schedule is to codify a change that was recently made to the Exchange's fee schedule. The Exchange recently filed a proposed rule change to assess equity option charges (including payment for order flow charges), as opposed to index option charges, on

(1)options on the Russell 2000® Index 6 traded under the symbol RUT (the “Full Value Russell Index”), and

(2)options on the one-tenth value Russell 2000® Index traded under the symbol RMN (the “Reduced Value Russell Index”). 7 The Exchange changed the title of the first page of the equity option fee schedule from “Summary of Equity Option Charges” to “Summary of Equity Option and RUT and RMN Charges,” but inadvertently did not make corresponding changes to the title on each subsequent page of the equity option fee schedule. Thus, placing the title “Summary of Equity Option and RUT and RMN Charges” on each page will more accurately reflect the changes that were recently made to the Exchange's fee schedule, as described above. 6 Russell 2000® is a trademark and service mark of the Frank Russell Company, used under license. Neither Frank Russell Company's publication of the Russell Indexes nor its licensing of its trademarks for use in connection with securities or other financial products derived from a Russell Index in any way suggests or implies a representation or opinion by Frank Russell Company as to the attractiveness of investment in any securities or other financial products based upon or derived from any Russell Index. Frank Russell Company is not the issuer of any such securities or other financial products and makes no express or implied warranties of merchantability or fitness for any particular purpose with respect to any Russell Index or any data included or reflected therein, nor as to results to be obtained by any person or any entity from the use of the Russell Index or any data included or reflected therein. 7 *See* Securities Exchange Act Release No. 55473 (March 14, 2007), 72 FR 13338 (March 21, 2007) (SR-Phlx-2007-12). 2. Statutory Basis The Exchange believes that its proposal to amend its schedule of fees is consistent with Section 6(b) of the Act, 8 in general, and furthers the objectives of Section 6(b)(4) of the Act, 9 in particular, in that it is an equitable allocation of reasonable fees and other charges among Exchange members. 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 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 been designated as a fee change pursuant to Section 19(b)(3)(A)(ii) of the Act 10 and Rule 19b-4(f)(2) 11 thereunder. Accordingly, the proposed rule change is effective upon filing with the Commission. 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)(ii). 11 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 No. SR-Phlx-2007-32 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 No. SR-Phlx-2007-32. 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 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 No. SR-Phlx-2007-32 and should be submitted on or before May 4, 2007. For the Commission, by the Division of Market Regulation, pursuant to delegated authority. 12 Florence E. Harmon, Deputy Secretary. 12 17 CFR 200.30-3(a)(12). [FR Doc. E7-7007 Filed 4-12-07; 8:45 am] BILLING CODE 8010-01-P SMALL BUSINESS ADMINISTRATION [Disaster Declaration #10849] Washington Disaster # WA-00012 Declaration of Economic Injury AGENCY: Small Business Administration. ACTION: Notice. SUMMARY: This is a notice of an Economic Injury Disaster Loan

(EIDL)declaration for the State of Washington, dated 04/09/2007. *Incident:* Windstorm. *Incident Period:* 12/14/2006 through 12/15/2006. Effective Date: 04/09/2007. *EIDL Loan Application Deadline Date:* 01/09/2008. ADDRESSES: Submit completed loan applications to: U.S. Small Business Administration, Processing and Disbursement Center, 14925 Kingsport Road, Fort Worth, TX 76155. FOR FURTHER INFORMATION CONTACT: A. Escobar, Office of Disaster Assistance, U.S. Small Business Administration, 409 3rd Street, SW, Suite 6050, Washington, DC 20416. SUPPLEMENTARY INFORMATION: Notice is hereby given that as a result of the Administrator's EIDL declaration, applications for economic injury disaster loans may be filed at the address listed above or other locally announced locations. The following areas have been determined to be adversely affected by the disaster: *Primary Counties:* King, Lewis, San Juan *Contiguous Counties:* Washington: Chelan, Cowlitz, Grays Harbor, Kitsap, Kittitas, Pacific, Pierce, Skamania, Snohomish, Thurston, Wahkiakum, Yakima The Interest Rate is: 4.000. The number assigned to this disaster for economic injury is 108490. The States which received an EIDL Declaration # is Washington. (Catalog of Federal Domestic Assistance Number 59002) Dated: April 9, 2007. Steven C. Preston, Administrator. [FR Doc. E7-7029 Filed 4-12-07; 8:45 am] BILLING CODE 8025-01-P SMALL BUSINESS ADMINISTRATION Audit and Financial Management Advisory (AFMAC) Committee Notice of Cancellation of Public Meeting The U.S. Small Business Administration, Audit and Financial Management Advisory Committee (AFMAC) federal meeting originally scheduled for Wednesday, April 18, 2007 has been cancelled. A new date and time for this meeting will be announced soon. If you have any questions, please contact Jennifer Main, Chief Financial Officer, 409 3rd Street, SW., 6th Floor, Washington, DC 20416, phone:

(202)205-6449, e-mail: *Jennifer.Main@sba.gov* . Matthew Teague, Committee Management Officer. [FR Doc. E7-7030 Filed 4-12-07; 8:45 am] BILLING CODE 8025-01-P DEPARTMENT OF STATE [Public Notice: 5771] 60-Day Notice of Proposed Information Collection: DS-230, Application for Immigrant Visa and Alien Registration, OMB Number 1405-0015 ACTION: Notice of request for public comments. SUMMARY: The Department of State is seeking Office of Management and Budget

(OMB)approval for the information collection described below. The purpose of this notice is to allow 60 days for public comment in the **Federal Register** preceding submission to OMB. We are conducting this process in accordance with the Paperwork Reduction Act of 1995. • *Title of Information Collection:* Application for Immigrant Visa and Alien Registration. • *OMB Control Number:* 1405-0015. • *Type of Request:* Extension of a Currently Approved Collection. • *Originating Office:* Bureau of Consular Affairs, Department of State (CA/VO). • *Form Number:* DS-230. • *Respondents:* Immigrant visa applicants. • *Estimated Number of Respondents:* 475,000 per year. • *Estimated Number of Responses:* 475,000 per year. • *Average Hours per Response:* 2 hours. • *Total Estimated Burden:* 950,000 hours per year. • *Frequency:* Once per respondent. • *Obligation to Respond:* Required to Obtain or Retain a Benefit. DATE(S): The Department will accept comments from the public up to 60 days from April 13, 2007. ADDRESSES: You may submit comments by any of the following methods: • E-mail: *VisaRegs@state.gov* (Subject line must read DS-230 Reauthorization). • Mail (paper, disk, or CD-ROM submissions): Chief, Legislation and Regulation Division, Visa Services—DS-1884 Reauthorization, 2401 E. Street, NW., Washington DC 20520-30106. • Fax:

(202)663-3898. You must include the DS form number (if applicable), information collection title, and OMB control number in any correspondence. FOR FURTHER INFORMATION CONTACT: Direct requests for additional information regarding the collection listed in this notice, including requests for copies of the proposed information collection and supporting documents, to Lauren Prosnik of the Office of Visa Services, U.S. Department of State, 2401 E. Street, NW., L-603, Washington, DC 20522, who may be reached at

(202)663-2951 or *prosnikla@state.gov.* SUPPLEMENTARY INFORMATION: We are soliciting public comments to permit the Department to: • Evaluate whether the proposed information collection is necessary for the proper performance of our functions. • Evaluate the accuracy of our estimate of the burden of the proposed collection, including the validity of the methodology and assumptions used. • Enhance the quality, utility, and clarity of the information to be collected. • Minimize the reporting burden on those who are to respond, including the use of automated collection techniques or other forms of technology. *Abstract of proposed collection:* Form DS-230 is used to elicit information to determine the eligibility of aliens applying for immigrant visas. *Methodology:* The information will be collected in person at posts. Dated: March 30, 2007. Stephen A. Edson, Deputy Assistant Secretary for Bureau of Consular Affairs, Department of State. [FR Doc. E7-7043 Filed 4-12-07; 8:45 am] BILLING CODE 4710-06-P DEPARTMENT OF STATE [Public Notice: 5770] 30-Day Notice of Proposed Information Collection: DS-4100, Iran Program Vetting, OMB 1405-0176 ACTION: Notice of request for public comment and submission to OMB of proposed collection of information. SUMMARY: The Department of State has submitted the following information collection request to the Office of Management and Budget

(OMB)for approval in accordance with the Paperwork Reduction Act of 1995. • *Title of Information Collection:* Iran program vetting. • *OMB Control Number:* OMB 1405-0176. • *Type of Request:* Extension of currently approved collection. • *Originating Offices:* Bureau of Near Eastern Affairs, Bureau of Democracy Human Rights and Labor, Bureau of Educational and Cultural Affairs. • *Form Number:* DS 4100. • *Respondents:* Program applicants. • *Estimated Number of Respondents:* 200. • *Estimated Number of Responses:* 200. • *Average Hours per Response:* 1 hour. • *Total Estimated Burden:* 200 hours. • *Frequency:* On occasion. • *Obligation to Respond:* Required to Obtain or Retain Benefit. DATE(S): Submit comments to the Office of Management and Budget

(OMB)for up to 30 days from April 13, 2007. ADDRESSES: Direct comments and questions to Katherine Astrich, the Department of State Desk Officer in the Office of Information and Regulatory Affairs at the Office of Management and Budget (OMB), who may be reached at 202-395-4718. You may submit comments by any of the following methods: • E-mail: *kastrich@omb.eop.gov* . You must include the DS form number, information collection title, and OMB control number in the subject line of your message. • Mail (paper, disk, or CD-ROM submissions): Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW., Washington, DC 20503. • Fax: 202-395-6974 FOR FURTHER INFORMATION CONTACT: You may obtain copies of the proposed information collection and supporting documents from Thomas Hill, who may be reached at 202-647-2942 or at *HillTM2@state.gov.* SUPPLEMENTARY INFORMATION: We are soliciting public comments to permit the Department to: • Evaluate whether the proposed information collection is necessary to properly perform our functions. • Evaluate the accuracy of our estimate of the burden of the proposed collection, including the validity of the methodology and assumptions used. • Enhance the quality, utility, and clarity of the information to be collected. • Minimize the reporting burden on those who are to respond, *Abstract of proposed collection:* A critical component of the Administration's Iran policy is the support for indigenous Iranian voices calling for freedom. President Bush himself has pledged this support and the State Department has made the awarding of grants for this purpose a key component of its Iran policy. As a condition of licensing these activities, the Office of Foreign Assets Control

(OFAC)has requested the Department of State to follow certain procedures to effectuate the goals of Sections 481(b), 531(a), 571, 582, and 635(b) of the Foreign Assistance Act of 1961 (as amended); 18 U.S.C. 2339A and 2339B; Executive Order 13224; and Homeland Security Presidential Directive 6. These licensing conditions mandate that the Department conduct a vetting of potential Iran democracy grantees and sub-grantees for counter-terrorism purposes. To conduct this vetting the Department will collect information from grantees and sub-grantees regarding the identity and background of their key employees and Boards of Directors. *Methodology:* DS 4100 information collection device will be forwarded to potential grantee electronically; respondents will be requested to return form to appropriate Department of State Bureau via fax, post-mail, or electronically. Dated: March 16, 2007. David M. Denehy, Senior Advisor, Bureau of Near Eastern Affairs, Department of State. [FR Doc. E7-7045 Filed 4-12-07; 8:45 am] BILLING CODE 4710-31-P DEPARTMENT OF STATE [Public Notice: 5769] 60-Day Notice of Proposed Information Collection: Form DS-156K, Nonimmigrant Fiance(e) Visa Application, OMB Control Number 1405-0096 ACTION: Notice of request for public comments. SUMMARY: The Department of State is seeking Office of Management and Budget

(OMB)approval for the information collection described below. The purpose of this notice is to allow 60 days for public comment in the **Federal Register** preceding submission to OMB. We are conducting this process in accordance with the Paperwork Reduction Act of 1995. • *Title of Information Collection:* Nonimmigrant Fiance(e) Visa Application. • *OMB Control Number:* 1405-0096. • *Type of Request:* Extension of a Currently Approved Collection. • *Originating Office:* Bureau of Consular Affairs, Department of State (CA/VO). • *Form Number:* DS-156K. • *Respondents:* Aliens applying for a nonimmigrant visa to enter the U.S. as the fiancé(e) of a U.S. citizen. • *Estimated Number of Respondents:* 35,000. • *Estimated Number of Responses:* 35,000. • *Average Hours per Response:* 1 hour. • *Total Estimated Burden:* 35,000 hours per year. • *Frequency:* Once per respondent. • *Obligation to Respond:* Required to Obtain or Retain a Benefit. DATE(S): The Department will accept comments from the public up to 60 days from April 13, 2007. ADDRESSES: You may submit comments by any of the following methods: • E-mail: *VisaRegs@state.gov* (Subject line must read DS-156K Reauthorization). • Mail (paper, disk, or CD-ROM submissions): Chief, Legislation and Regulation Division, Visa Services—DS-1884 Reauthorization, 2401 E. Street, NW., Washington, DC 20520-30106. • Fax:

(202)663-3898 You must include the DS form number (if applicable), information collection title, and OMB control number in any correspondence. FOR FURTHER INFORMATION CONTACT: Direct requests for additional information regarding the collection listed in this notice, including requests for copies of the proposed information collection and supporting documents, to Lauren Prosnik of the Office of Visa Services, U.S. Department of State, 2401 E. Street, NW., L-603, Washington, DC 20522, who may be reached at

(202)663-2951 or *prosnikla@state.gov.* SUPPLEMENTARY INFORMATION: We are soliciting public comments to permit the Department to: • Evaluate whether the proposed information collection is necessary for the proper performance of our functions. • Evaluate the accuracy of our estimate of the burden of the proposed collection, including the validity of the methodology and assumptions used. • Enhance the quality, utility, and clarity of the information to be collected. • Minimize the reporting burden on those who are to respond, including the use of automated collection techniques or other forms of technology. *Abstract of proposed collection:* Form DS-156K is used by consular officers to determine the eligibility of an alien applicant for a non-immigrant fiancé(e) visa. *Methodology:* The DS-156K is submitted to consular posts abroad. Dated: March 30, 2007. Stephen A. Edson, Deputy Assistant Secretary for Bureau of Consular Affairs, Department of State. [FR Doc. E7-7046 Filed 4-12-07; 8:45 am] BILLING CODE 4710-06-P DEPARTMENT OF STATE [Public Notice: 5768] 60-Day Notice of Proposed Information Collection: DS-156E, Nonimmigrant Treaty Trader/Investor Application, OMB Control Number 1405-0101 ACTION: Notice of request for public comments. SUMMARY: The Department of State is seeking Office of Management and Budget

(OMB)approval for the information collection described below. The purpose of this notice is to allow 60 days for public comment in the **Federal Register** preceding submission to OMB. We are conducting this process in accordance with the Paperwork Reduction Act of 1995. • *Title of Information Collection:* Nonimmigrant Treaty Trader/Investor Application. • *OMB Control Number:* 1405-0101. • *Type of Request:* Extension of a Currently Approved Collection. • *Originating Office:* Bureau of Consular Affairs, Department of State (CA/VO). • *Form Number:* DS-156E. • *Respondents:* Nonimmigrant treaty trader/investor visa applicants. • *Estimated Number of Respondents:* 17,000. • *Estimated Number of Responses:* 17,000. • *Average Hours per Response:* 4 hours. • *Total Estimated Burden:* 68,000 hours per year. • *Frequency:* Once per respondent. • *Obligation to Respond:* Required to Obtain or Retain a Benefit. DATE(S): The Department will accept comments from the public up to 60 days from April 13, 2007. ADDRESSES: You may submit comments by any of the following methods: • E-mail: *VisaRegs@state.gov* (Subject line must read DS-156E Reauthorization). • Mail (paper, disk, or CD-ROM submissions): Chief, Legislation and Regulation Division, Visa Services—DS-1884 Reauthorization, 2401 E Street, NW., Washington, DC 20520-30106. • Fax:

(202)663-3898. You must include the DS form number (if applicable), information collection title, and OMB control number in any correspondence. FOR FURTHER INFORMATION CONTACT: Direct requests for additional information regarding the collection listed in this notice, including requests for copies of the proposed information collection and supporting documents, to Lauren Prosnik of the Office of Visa Services, U.S. Department of State, 2401 E Street, NW., L-603, Washington, DC 20522, who may be reached at

(202)663-2951 or *prosnikla@state.gov* . SUPPLEMENTARY INFORMATION: We are soliciting public comments to permit the Department to: • Evaluate whether the proposed information collection is necessary for the proper performance of our functions. • Evaluate the accuracy of our estimate of the burden of the proposed collection, including the validity of the methodology and assumptions used. • Enhance the quality, utility, and clarity of the information to be collected. • Minimize the reporting burden on those who are to respond, including the use of automated collection techniques or other forms of technology. *Abstract of proposed collection:* Form DS-156E is completed by aliens seeking nonimmigrant treaty trader/investor visas to the U.S. The Department will use the DS-156E to elicit information necessary to determine an applicant's visa eligibility. *Methodology:* The DS-156E is submitted to consular posts abroad. Dated: March 30, 2007. Stephen A. Edson, Deputy Assistant Secretary for Bureau of Consular Affairs, Department of State. [FR Doc. E7-7047 Filed 4-12-07; 8:45 am] BILLING CODE 4710-06-P DEPARTMENT OF STATE [Public Notice 5773] Culturally Significant Objects Imported for Exhibition Determinations: “The Herculaneum Women and the Origins of Archaeology” *Summary:* Notice is hereby given of the following determinations: Pursuant to the authority vested in me by the Act of October 19, 1965 (79 Stat. 985; 22 U.S.C. 2459), Executive Order 12047 of March 27, 1978, the Foreign Affairs Reform and Restructuring Act of 1998 (112 Stat. 2681, *et seq.* ; 22 U.S.C. 6501 note, *et seq.* ), Delegation of Authority No. 234 of October 1, 1999, Delegation of Authority No. 236 of October 19, 1999, as amended, and Delegation of Authority No. 257 of April 15, 2003 [68 FR 19875], I hereby determine that the objects to be included in the exhibition “The Herculaneum Women and the Origins of Archaeology”, imported from abroad for temporary exhibition within the United States, are of cultural significance. The objects are imported pursuant to a loan agreement with a foreign owner. I also determine that the exhibition or display of all of these objects at the Getty Villa, Los Angeles, California, beginning on or about July 12, 2007, until on or about November 5, 2007, and the continued temporary display of two of the objects until on or about April 14, 2008, is in the national interest. Public Notice of these Determinations is ordered to be published in the **Federal Register** . *For Further Information Contact:* For further information, including a list of the exhibit objects, contact Julie Simpson, Attorney-Adviser, Office of the Legal Adviser, U.S. Department of State (telephone:

(202)453-8050). The address is U.S. Department of State, SA-44, 301 4th Street, SW., Room 700, Washington, DC 20547-0001. Dated: April 6, 2007. C. Miller Crouch, Principal Deputy Assistant Secretary for Educational and Cultural Affairs, Department of State. [FR Doc. E7-7037 Filed 4-12-07; 8:45 am] BILLING CODE 4710-05-P DEPARTMENT OF STATE [Public Notice 5772] Culturally Significant Objects Imported for Exhibition Determinations: “Treasures From the Hermitage and Guggenheim Collections” *Summary:* Notice is hereby given of the following determinations: Pursuant to the authority vested in me by the Act of October 19, 1965 (79 Stat. 985; 22 U.S.C. 2459), Executive Order 12047 of March 27, 1978, the Foreign Affairs Reform and Restructuring Act of 1998 (112 Stat. 2681, *et seq.* ; 22 U.S.C. 6501 note, *et seq.* ), Delegation of Authority No. 234 of October 1, 1999, Delegation of Authority No. 236 of October 19, 1999, as amended, and Delegation of Authority No. 257 of April 15, 2003 [68 FR 19875], I hereby determine that the objects to be included in the exhibition “Treasures from the Hermitage and Guggenheim Collections”, imported from abroad for temporary exhibition within the United States, are of cultural significance. The objects are imported pursuant to loan agreements with the foreign owners or custodians. I also determine that the exhibition or display of the exhibit objects at the Guggenheim-Hermitage Museum, Las Vegas, Nevada, from on or about May 25, 2007, until on or about February 29, 2008, and at possible additional venues yet to be determined, is in the national interest. Public Notice of these Determinations is ordered to be published in the **Federal Register** . *For Further Information Contact:* For further information, including a list of the exhibit objects, contact Wolodymyr Sulzynsky, Attorney-Adviser, Office of the Legal Adviser, U.S. Department of State (telephone:

(202)453-8050). The address is U.S. Department of State, SA-44, 301 4th Street, SW., Room 700, Washington, DC 20547-0001. Dated: April 5, 2007. C. Miller Crouch, Principal Deputy Assistant Secretary for Educational and Cultural Affairs, Department of State. [FR Doc. E7-7040 Filed 4-12-07; 8:45 am] BILLING CODE 4710-05-P DEPARTMENT OF STATE [Public Notice 5774] Announcement of Meetings of the International Telecommunication Advisory Committee *Summary:* This notice announces meetings of the International Telecommunication Advisory Committee

(ITAC)to prepare advice on U.S. positions for responses to: ITU letter of March 14, 2007 to Members of the Council regarding organizational changes within the General Secretariat and the Bureaux of the Sectors of the Union, ITU DM-07/1008 to the entire ITU membership regarding ITU's role on international public policy issues pertaining to the Internet and the management of Internet resources, and ITU DM-07/1003 to the entire ITU membership regarding the planning schedule for the fourth World Telecommunications Policy Forum on convergence and emerging policy issues. The ITAC will meet on April 26, 2007 from 10-noon EDT at the offices of AT&T, 1120 20th Street, Washington, DC to start preparations for advice on three letters from the International Telecommunication Union. This meeting is open to the public. Further information may be obtained from the Secretariat at *minardje@state.gov* , telephone 202 647-3234. Dated: April 9, 2007. Anne D. Jillson, Foreign Affairs Officer, International Communications and Information Policy, Department of State. [FR Doc. E7-7036 Filed 4-12-07; 8:45 am] BILLING CODE 4710-07-P TENNESSEE VALLEY AUTHORITY Paperwork Reduction Act of 1995, as amended by Public Law 104-13; Proposed Collection, Comment Request AGENCY: Tennessee Valley Authority. ACTION: Proposed collection; comment request. SUMMARY: The proposed information collection described below will be submitted to the Office of Management and Budget

(OMB)for review, as required by the Paperwork Reduction Act of 1995 (44 U.S.C. Chapter 35, as amended). The Tennessee Valley Authority is soliciting public comments on this proposed collection as provided by 5 CFR 1320.8(d)(1). Requests for information, including copies of the information collection proposed and supporting documentation, should be directed to the Agency Clearance Officer: Alice D. Witt, Tennessee Valley Authority, 1101 Market Street (EB 5B), Chattanooga, Tennessee 37402-2801;

(423)751-6832. (SC: 0008QG1) Comments should be sent to the Agency Clearance Officer no later than June 12, 2007. SUPPLEMENTARY INFORMATION: *Type of Request:* Regular submission; proposal for a new collection. (OMB Control number: 3316-0000). *Title of Information Collection:* Safety Harbors and Safety Landings Assessment, Tennessee River. *Frequency of Use:* Approximately every 10 years. *Type of Affected Public:* Business, Federal Government. *Small Businesses or Organizations Affected:* No. *Estimated Number of Annual Responses:* 80. *Estimated Total Annual Burden Hours:* 40. *Estimated Average Burden Hours Per Response:* 0.5. *Need for and Use of Information:* The Tennessee Valley Authority, in conjunction with the U.S. Army Corps of Engineers, is assessing the status of the safety harbors and safety landings located along the Tennessee River and its tributaries. This type of assessment was performed approximately ten years ago. However, due to the changing river conditions and uses over the past several years, along with the growing demand for lake access, it is important to identify and preserve the most essential and useful safety harbors and safety landings that are currently designated. Only those safety harbors and safety landings that are considered nonessential and unusable by the towing industry would be discontinued. The information provided through this assessment will be used to support the justification of preserving stretches of shoreline for commercial navigation uses. Respondents are not required to answer all of the questions, but are requested to focus their review on the portion of the river that their tows transit. Steve A. Anderson, Manager, IS Business Services, Information Services. [FR Doc. E7-6980 Filed 4-12-07; 8:45 am] BILLING CODE 8120-08-P DEPARTMENT OF TRANSPORTATION Federal Aviation Administration Noise Compatibility Program Notice, Alexandria, LA AGENCY: Federal Aviation Administration. ACTION: Notice. SUMMARY: The Federal Aviation Administration

(FAA)announces that it is reviewing a proposed noise compatibility program that was submitted for Alexandria International Airport under the provisions of 49 U.S.C. 74501 *et seq.* (the Aviation Safety and Noise Abatement Act, hereinafter referred to as “the Act”) and 14 CFR part 150 by the England Economic and Industrial Development District. This program was submitted subsequent to a determination by FAA that associated noise exposure maps submitted under 14 CFR Part 150 for Alexandria International Airport were in compliance with applicable requirements, effective January 26, 2006, and published in the **Federal Register** February 3, 2006 (Volume 71 Number 23). The proposed noise compatibility program will be approved or disapproved on or before October 6, 2007. DATES: The effective date of the start of FAA's review of the noise compatibility program is April 9, 2007. The public comment period ends June 8, 2007. FOR FURTHER INFORMATION CONTACT: Mr. Tim Tandy, Federal Aviation Administration, ASW-640, Fort Worth, TX 76193-0640 at

(817)222-5644. Comments on the proposed noise compatibility program should also be submitted to the above office. SUPPLEMENTARY INFORMATION: This notice announces that the FAA is reviewing a proposed noise compatibility program for Alexandria International Airport that will be approved or disapproved on or before October 6, 2007. This notice also announces the availability of this program for public review and comment. An airport operator who has submitted noise exposure maps that are found by the FAA to be in compliance with the requirements of Federal Aviation Regulations

(FAR)Part 150, promulgated pursuant to the Act, may submit a noise compatibility program for FAA approval which sets forth the measures the operator has taken or proposes to reduce existing non-compatible uses and prevent the introduction of additional non-compatible uses. The FAA has formally received the noise compatibility program for Alexandria International Airport, effective on April 9, 2007. The airport operator has requested that the FAA review this material and that the noise mitigation measures, to be implemented jointly by the airport and surrounding communities, be approved as a noise compatibility program under section 47504 of the Act. Preliminary review of the submitted material indicates that it conforms to FAR part 150 requirements for the submittal of noise compatibility programs, but that further review will be necessary prior to approval or disapproval of the program. The formal review period, limited by law to a maximum of 180 days, will be completed on or before October 6, 2007. The FAA's detailed evaluation will be conducted under the provisions of 14 CFR part 150, section 150.33. The primary considerations in the evaluation process are whether the proposed measures may reduce the level of aviation safety or create an undue burden on interstate or foreign commerce, and whether they are reasonably consistent with obtaining the goal of reducing existing non-compatible land uses and preventing the introduction of additional non-compatible land uses. Interested persons are invited to comment on the proposed program with specific reference to these factors. All comments relating to these factors, other than those properly addressed to local land use authorities, will be considered by the FAA to the extent practicable. Copies of the noise exposure maps and the proposed noise compatiblity program are available for examination at the following locations: Federal Aviation Administration, 2601 Meacham Boulevard, Fort Worth, Texas; England Economic and Industrial Development District, 1611 Arnold Drive, Alexandria, Louisiana. Questions may be directed to the individual named above under the heading, FOR FURTHER INFORMATION CONTACT . Issued in Fort Worth, Texas, April 9, 2007. Kelvin L. Solco, Manager, Airports Division, [FR Doc. 07-1837 Filed 4-12-07; 8:45 am]

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U.S. Code

CFR

public-private-law

No Stolen Trademarks Honored in America Act of 2023
Public Law 118-137

36 references not yet in our index

5 CFR 1320.10
Pub. L. 107-95
Pub. L. 104-65
109 Stat. 691
29 CFR 2
29 CFR 30
29 CFR 31
29 CFR 32
29 CFR 33
29 CFR 35
29 CFR 36
29 CFR 37
29 CFR 93
29 CFR 94
29 CFR 95
29 CFR 96
29 CFR 98
29 CFR 99
48 CFR 31
29 CFR 97
Pub. L. 92-463
29 CFR 4006
29 CFR 4007
29 CFR 4062
29 CFR 4219
29 CFR 4281
29 CFR 4044
17 CFR 240.6
17 CFR 240.19
17 CFR 240.10
18 USC 2339A
79 Stat. 985
Pub. L. 104-13
5 CFR 1320.8(d)(1)
49 USC 74501
14 CFR 150

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cites case law

Notices

60-Day Notice of Information Collection Under Review; Application for Permit to Import Controlled Substances for Domestic and/or Scientific Purposes pursuant to 21 U

Cite5 CFR 1320.10

Pub. L.Pub. L. 107-95

Pub. L.Pub. L. 104-65

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