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Federal Register/Vol. 76, No. 94/Monday, May 16, 2011/Notices

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Federal Register/Vol. 76, No. 94/Monday, May 16, 2011/Notices Federal Register / Vol. 76, No. 94 / Monday, May 16, 2011 / Notices 28265 contract to $.0045 per contract.12 The III. Date of Effectiveness of the business days between the hours of 10 new ORF was to take effect on January Proposed Rule Change and Timing for a.m. and 3 p.m. Copies of the filing also 3, 2011, therefore the old ORF rate of Commission Action will be available for inspection and $.004 per contract was not removed The foregoing rule change has become copying at the principal office of the from Section 12(A) of the Fees Schedule effective pursuant to Section Exchange. All comments received will at that time. The Exchange proposes to 19(b)(3)(A)(ii) of the Act 16 and be posted without change; the delete the reference to the old rate of subparagraph (f)(2) of Rule 19b–4.17 At Commission does not edit personal $.004 per contract from Section 12(A) of any time within 60 days of the filing of identifying information from the Fees Schedule. the proposed rule change, the submissions. You should submit only information that you wish to make The proposed fee changes will take Commission summarily may temporarily suspend such rule change if available publicly. All submissions effect on May 2, 2011. it appears to the Commission that such should refer to File Number SR–CBOE– 2. Statutory Basis action is necessary or appropriate in the 2011–043 and should be submitted on public interest, for the protection of or before June 6, 2011. The Exchange believes the proposed investors, or otherwise in furtherance of For the Commission, by the Division of rule change is consistent with Section the purposes of the Act. Trading and Markets, pursuant to delegated 6(b) of the Securities Exchange Act of authority.18 IV. Solicitation of Comments 1934 (‘‘Act’’),13 in general, and furthers Cathy H. Ahn, the objectives of Section 6(b)(4) 14 of the Interested persons are invited to Deputy Secretary. submit written data, views, and Act in particular, in that it is designed [FR Doc. 2011–11838 Filed 5–13–11; 8:45 am] arguments concerning the foregoing, to provide for the equitable allocation of BILLING CODE 8011–01–P reasonable dues, fees, and other charges including whether the proposed rule among CBOE Trading Permit Holders change is consistent with the Act. and other persons using its facilities. Comments may be submitted by any of SECURITIES AND EXCHANGE the following methods: The Exchange believes the proposed COMMISSION rule change is equitable, reasonable and Electronic Comments not unfairly discriminatory in that it • Use the Commission’s Internet [Release No. 34–64456; File No. 4–629] would further lower fees for market comment form (http://www.sec.gov/ participants that trade these strategies rules/sro.shtml); or Solicitation of Comment To Assist in by expanding the fee cap for reversal, • Send an e-mail to rule- Study on Assigned Credit Ratings conversion and jelly roll strategies to [email protected]. Please include File AGENCY: Securities and Exchange Number SR–CBOE–2011–043 on the apply to all options classes traded on Commission. the Exchange except those which are subject line. ACTION: Request for comment. subject to the Index License surcharge Paper Comments fee. In addition, the proposed rule • SUMMARY: The Securities and Exchange change would allow the Exchange to Send paper comments in triplicate to Elizabeth M. Murphy, Secretary, Commission (‘‘Commission’’) requests remain competitive with other Securities and Exchange Commission, public comment to assist it in carrying exchanges that offer similar fee cap out a study on, among other matters, the 15 100 F Street, NE., Washington, DC programs. The proposed rule change 20549–1090. feasibility of establishing a system in would also clarify portions of the Fees All submissions should refer to File which a public or private utility or a Schedule relating to the strategy fee cap Number SR–CBOE–2011–043. This file self-regulatory organization (‘‘SRO’’) program and the Options Regulatory number should be included on the assigns nationally recognized statistical Fee. subject line if e-mail is used. To help the rating organizations (‘‘NRSROs’’) to B. Self-Regulatory Organization’s Commission process and review your determine credit ratings for structured Statement on Burden on Competition comments more efficiently, please use finance products. This study, and a only one method. The Commission will resulting report to Congress, are CBOE does not believe that the post all comments on the Commission’s required by Section 939F of the Dodd- proposed rule change will impose any Internet Web site (http://www.sec.gov/ Frank Wall Street Reform and Consumer burden on competition that is not rules/sro.shtml). Copies of the Protection Act of 2010 (the ‘‘Dodd-Frank necessary or appropriate in furtherance submission, all subsequent Act’’). of purposes of the Act. amendments, all written statements DATES: The Commission will accept with respect to the proposed rule comments on matters related to the C. Self-Regulatory Organization’s change that are filed with the study on or before September 13, 2011. Statement on Comments on the Commission, and all written Proposed Rule Change Received From communications relating to the ADDRESSES: Comments may be Members, Participants, or Others proposed rule change between the submitted by any of the following Commission and any person, other than methods: No written comments were solicited those that may be withheld from the Electronic Comments or received with respect to the proposed public in accordance with the • rule change. provisions of 5 U.S.C. 552, will be Use the Commission’s Internet available for Web site viewing and comment form (http://www.sec.gov/ rules/other.shtml); or 12 printing in the Commission’s Public See Securities Exchange Act Release No. 63524 • (December 10, 2010), 75 FR 78780 (December 16, Reference Room, 100 F Street, NE., Send an e-mail to rule- 2010). Washington, DC 20549, on official [email protected]. Please include File 13 15 U.S.C. 78f(b). Number 4–629 on the subject line. 14 15 U.S.C. 78f(b)(4). 16 15 U.S.C. 78s(b)(3)(a)(ii). 15 Supra footnote 6. 17 17 CFR 240.19b–4(f)(2). 18 17 CFR 200.30–3(a)(12). VerDate Mar<15>2010 15:14 May 13, 2011 Jkt 223001 PO 00000 Frm 00057 Fmt 4703 Sfmt 4703 E:\FR\FM\16MYN1.SGM 16MYN1 erowe on DSK5CLS3C1PROD with NOTICES 28266 Federal Register / Vol. 76, No. 94 / Monday, May 16, 2011 / Notices Paper Comments Section 939F provides that the provisions of Section 15E(w) of the • Send paper comments in triplicate Commission, in carrying out the study, Securities Exchange Act of 1934, as that to Elizabeth M. Murphy, Secretary, shall address four areas. One, the credit provision would have been added by Securities and Exchange Commission, rating process for structured finance Section 939D of H.R. 4173 (111th 100 F Street, NE., Washington, DC products and the conflicts of interest Congress), as passed by the Senate on ‘‘ 20549–1090. All submissions should associated with the issuer-pay and the May 20, 2010 (the Section 15E(w) 3 ’’ refer to File Number 4–629. This file subscriber-pay models. Two, the Provisions ), and shall implement the number should be included on the feasibility of establishing a system in system described in such Section 939D ‘‘ ’’ subject line if e-mail is used. To help us which a public or private utility or an (the Section 15E(w) System ) unless process and review your comments SRO assigns NRSROs to determine the the Commission determines that an credit ratings for structured finance more efficiently, please use only one alternative system would better serve products, including: (1) An assessment method. The Commission will post all the public interest and the protection of of potential mechanisms for 8 comments on the Commission’s Internet investors. determining fees for NRSROs for In carrying out the study required by Web site (http://www.sec.gov). structured finance products; (2) Section 939F, the Commission believes Comments are also available for Web appropriate methods for paying fees to that comments, proposals, data, and site viewing and printing in the NRSROs to rate structured finance analysis from interested parties Commission’s Public Reference Room, products; (3) the extent to which the representing a wide range views of, and 100 F Street, NE., Washington, DC creation of such a system would be involvement in, the market for 20549, on official business days viewed as the creation of moral hazard structured finance products and the role between the hours of 10 a.m. and 3 p.m. by the Federal Government; and (4) any of NRSROs in that market would All comments received will be posted constitutional or other issues provide valuable assistance. In this without change; we do not edit personal concerning the establishment of such a regard, the Commission seeks comment identifying information from system.4 Three, the range of metrics one from: (1) Investors and other persons submissions. You should submit only could use to determine the accuracy of who use credit ratings; (2) participants information that you wish to make credit ratings for structured finance in pensions funds and other retirement available publicly. products.5 Four, alternative means for vehicles that may hold structured FOR FURTHER INFORMATION CONTACT: compensating NRSROs that would finance products; (3) portfolio and fund Randall W. Roy, Assistant Director, at create incentives for accurate credit managers; (4) investment advisers; (5) (202) 551–5522; Alan A. Dunetz, Branch ratings for structured finance products.6 insurance companies; (6) credit rating Chief, at (212) 336–0072; Kevin S.
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