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Purpose )Tj 1 -1.5555 TD (The Exchange is filing with the )Tj -1 -1.1111 TD (Commission a proposed rule change )Tj T* (that would amend Rule 342.30 to )Tj T* (require that the report required pursuant )Tj T* (to Rule 342.30\(e\)\(iii\) \(herein referred to )Tj T* (as the )Tj /F7 1 Tf 2.9351 0 TD 0 Tw ()Tj /F17 1 Tf 0.556 0 TD -0.0044 Tw (process report)Tj /F7 1 Tf 6.4956 0 TD 0 Tw ()Tj /F17 1 Tf 0.556 0 TD -0.0044 Tw (\) in connection )Tj -10.5427 -1.1111 TD (with a member organization)Tj /F7 1 Tf 12.8757 0 TD 0 Tw ()Tj /F17 1 Tf 0.278 0 TD -0.0044 Tw (s CEO )Tj -13.1537 -1.1111 TD (certification be submitted to the member )Tj T* 0 Tw (organization)Tj /F7 1 Tf 5.722 0 TD ()Tj /F17 1 Tf 0.278 0 TD -0.0044 Tw (s board of directors and )Tj -6 -1.1111 TD (audit committee \(if such committee )Tj T* (exists\) on or before April 1st of each )Tj T* (year. 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The Annual )Tj T* (Report submitted to the Exchange is also )Tj T* (required to include, pursuant to Rule )Tj T* (342.30\(e\), a certification by the CEO of )Tj T* (each member organization confirming )Tj T* (that the member organization has in )Tj T* (place processes to: )Tj 1 -1.1111 TD (\(A\) Establish and maintain policies )Tj -1 -1.1111 TD (and procedures reasonably designed to )Tj T* (achieve compliance with applicable )Tj T* (Exchange rules and federal securities )Tj T* (laws and regulations; )Tj 1 -1.1111 TD (\(B\) Modify such policies and )Tj -1 -1.1111 TD (procedures as business, regulatory and )Tj T* (legislative changes and events dictate; )Tj T* 0 Tw (and )Tj 1 -1.1111 TD -0.0044 Tw (\(C\) Test the effectiveness of such )Tj -1 -1.1111 TD (policies and procedures on a periodic )Tj T* (basis, the timing and extent of which is )Tj T* (reasonably designed to ensure )Tj T* (continuing compliance with Exchange )Tj T* (and federal securities laws and )Tj T* 0 Tw (regulations. )Tj 1 -1.1111 TD -0.0044 Tw (Subsection \(e\)\(iii\) of Rule 342.30 )Tj -1 -1.1111 TD (requires that the above-stated processes )Tj T* (be evidenced in a process report that is )Tj T* (to be reviewed by the CEO, the Chief )Tj T* (Compliance Officer, and such other )Tj T* (officers as the organization may deem )Tj T* (necessary to make the certification. )Tj T* (Subsection \(e\)\(iii\) also requires that the )Tj T* (process report be submitted to the )Tj T* (member organization)Tj /F7 1 Tf 9.7186 0 TD 0 Tw ()Tj /F17 1 Tf 0.278 0 TD -0.0044 Tw (s board of )Tj -9.9966 -1.1111 TD (directors and audit committee \(if such )Tj T* (committee exists\), although the timing )Tj T* (of such submission is not explicitly )Tj 19.6667 74.6666 TD (stated. The Exchange has, heretofore by )Tj 0 -1.1111 TD (interpretation, required such )Tj T* (submission prior to CEO certification. )Tj /F8 1 Tf 0 -1.6667 TD (Rule 354 )Tj /F17 1 Tf 1 -1.6667 TD (Subsection \(a\) of Rule 354 requires, in )Tj -1 -1.1111 TD (relevant part, that each member )Tj T* (organization submit, by April 1st of )Tj T* (each year, a copy of the Rule 342.30 )Tj T* (Annual Report \(also due to the )Tj T* (Exchange by April 1st\) to one or more )Tj T* (of its control persons or, if the member )Tj T* (organization has no control person, to )Tj T* (the audit committee of its board of )Tj T* (directors or its equivalent committee or )Tj T* 0 Tw (group. )Tj 1 -1.2222 TD -0.0044 Tw (In order to better harmonize the )Tj -1 -1.1111 TD (process report submission requirements )Tj T* (of Rule 342.30\(e\)\(iii\) with the Annual )Tj T* (Report submission requirements of Rule )Tj T* (354\(a\), it is proposed that Rule )Tj T* (342.30\(e\)\(iii\) be amended to require )Tj T* (each member organization to submit the )Tj T* (process report to its board of directors )Tj T* (and audit committee \(if such committee )Tj T* (exists\) on or before April 1st of each )Tj T* (year, consistent with the timing )Tj T* (requirements of Rule 354\(a\) with respect )Tj T* (to submission of the Annual Report. )Tj T* (This would promote timely submission )Tj T* (of the process report to the board of )Tj T* (directors and audit committee, while )Tj T* (serving the practical purpose of )Tj T* (allowing member organizations to )Tj T* (submit it together with the Annual )Tj T* (Report so that it may be reviewed as a )Tj T* (single comprehensive package. )Tj 0 -1.6667 TD (2. Statutory Basis )Tj 1 -1.6667 TD (The Exchange believes that the )Tj -1 -1.1111 TD (proposed rule change is consistent with )Tj T* (Section 6\(b\)\(5\))Tj 7.002 0 0 5.85 460.958 316.2782 Tm 0 Tw (3)Tj 9 0 0 9 467.3111 314.0002 Tm -0.0044 Tw (of the Act which )Tj -7.5901 -1.1111 TD (requires NYSE to have rules that are )Tj T* (designed to prevent fraudulent and )Tj T* (manipulative acts and practices, to )Tj T* (promote just and equitable principles of )Tj T* (trade, to remove impediments to, and )Tj T* (perfect the mechanism of a free and )Tj T* (open market and, in general, to protect )Tj T* (investors and the public interest. In this )Tj T* (regard, the proposed rule change )Tj T* (promotes timely submission of )Tj T* (substantive regulatory material to )Tj T* (member organizations)Tj /F7 1 Tf 10.1626 0 TD 0 Tw ()Tj /F17 1 Tf 0.278 0 TD -0.0002 Tc -0.0042 Tw ( governing bodies )Tj -10.4406 -1.1111 TD 0 Tc -0.0044 Tw (by better coordinating the requirements )Tj T* (of Rule 342.30\(e\)\(iii\) \(Process Report\) )Tj T* (and Rule 354\(a\) \(Submission of Annual )Tj T* (Report to Control Persons\). )Tj /F8 1 Tf 0 -1.6667 TD (B. Self-Regulatory Organization)Tj /F6 1 Tf 14.5311 0 TD 0 Tw ()Tj /F8 1 Tf 0.278 0 TD (s )Tj -14.8091 -1.1111 TD -0.0044 Tw (Statement on Burden on Competition )Tj /F17 1 Tf 1 -1.6667 TD (The Exchange does not believe that )Tj -1 -1.1111 TD (the proposed rule change will impose )Tj T* (any burden on competition that is not )Tj T* (necessary or appropriate in furtherance )Tj T* (of the purposes of the Act. )Tj /F12 1 Tf 6.5 0 0 6.5 25 20 Tm 1 g 0 Tw [(VerDate Aug<31>2005 )-1076.9(17:29 Dec 06, 2006)-1076.9(Jkt 211001)-1076.9(PO 00000)-1076.9(Frm 00067)-1076.9(Fmt 4703)-1076.9(Sfmt 4703)-1076.9(E:\\FR\\FM\\07DEN1.SGM)-1076.9(07DEN1)]TJ 0 5 -5 0 22 18 Tm (sroberts on PROD1PC70 with NOTICES)Tj ET endstream endobj 4 0 obj <>/ProcSet[/PDF/Text]/Font<>>> endobj 5 0 obj <> endobj 6 0 obj <> endobj 7 0 obj <> endobj 8 0 obj <> endobj 9 0 obj <> endobj 10 0 obj <> endobj 11 0 obj <> endobj 12 0 obj <> endobj 13 0 obj <> endobj 14 0 obj <> endobj 15 0 obj <> endobj 16 0 obj <> endobj 17 0 obj <> endobj 18 0 obj <> endobj 19 0 obj <> endobj 20 0 obj <> endobj 22 0 obj <> endobj 23 0 obj <>stream 0 G 0 J 0 j 2.2 w 10 M []0 d /GS1 gs 1 i 45 744 m 567 744 l S 0.3 w 45 740 m 567 740 l S BT /F11 1 Tf 11 0 0 11 536.42 750 Tm 0 g 0 Tc 0 Tw (71013 )Tj 9.8 0 0 10 132.92 750 Tm 0.2265 Tw (Federal Register)Tj /F17 1 Tf 8.0008 0 TD [(/)-165.3(Vol. 71, No. 235)-165.3(/)-165.3(Thursday, December 7, 2006)-165.3(/)-165.3(Notices )]TJ ET 0.5 w 222 79.8 m 272 79.8 l S BT 5.446 0 0 4.55 229 72.8713 Tm 0 Tw (4)Tj 7 0 0 7 233.168 71.1 Tm -0.0029 Tw (17 CFR 200.30)Tj /F7 1 Tf 6.6653 0 TD 0 Tw ()Tj /F17 1 Tf 0.556 0 TD (3\(a\)\(12\). )Tj 5.446 0 0 4.55 229 63.8713 Tm (1)Tj 7 0 0 7 233.168 62.1 Tm -0.0029 Tw (15 U.S.C. 78s\(b\)\(1\). )Tj 5.446 0 0 4.55 229 54.8713 Tm 0 Tw (2)Tj 7 0 0 7 233.168 53.1 Tm -0.0029 Tw (17 CFR 240.19b)Tj /F7 1 Tf 7.2213 0 TD 0 Tw ()Tj /F17 1 Tf 0.556 0 TD (4. )Tj ET 399 272.8 m 449 272.8 l S BT 5.446 0 0 4.55 406 265.8713 Tm (3)Tj 7 0 0 7 410.168 264.1 Tm -0.0029 Tw (The Commission has modified portions of the )Tj -1.5954 -1.1429 TD (text of the summaries prepared by the Phlx. )Tj 5.446 0 0 4.55 406 248.8714 Tm 0 Tw (4)Tj 7 0 0 7 410.168 247.1001 Tm -0.0029 Tw (The exact text of the Phlx proposed rule change )Tj -1.5954 -1.1429 TD (is set forth in its filing, which can be found at )Tj /F8 1 Tf T* 0 Tw (http://www.phlx.com/exchange/rulefilngs/2006/S- )Tj T* (2006-69.pdf)Tj /F17 1 Tf 5.502 0 TD (. )Tj 5.446 0 0 4.55 406 215.8714 Tm (5)Tj 7 0 0 7 410.168 214.1001 Tm -0.0029 Tw (The Commission has approved similar rule )Tj -1.5954 -1.1429 TD (changes filed by the New York Stock Exchange LLC, )Tj T* (NASDAQ Stock Market LLC, the American Stock )Tj T* (Exchange LLC, and the NYSE Arca, Inc. that require )Tj T* (certain listed companies securities become DRS )Tj T* (eligible. 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Self-Regulatory Organization)Tj /F6 1 Tf 14.5501 0 TD 0 Tw ()Tj /F8 1 Tf 0.278 0 TD (s )Tj -14.8281 -1.1111 TD -0.0044 Tw (Statement on Comments on the )Tj T* (Proposed Rule Change Received From )Tj T* (Members, Participants, or Others )Tj /F17 1 Tf 1 -1.5555 TD (The Exchange has neither solicited )Tj -1 -1.1111 TD (nor received written comments on the )Tj T* (proposed rule change. )Tj /F11 1 Tf 0 -1.6667 TD (III. Date of Effectiveness of the )Tj 0 -1.1111 TD (Proposed Rule Change and Timing for )Tj T* (Commission Action )Tj /F17 1 Tf 1 -1.5556 TD (Within 35 days of the date of )Tj -1 -1.1111 TD (publication of this notice in the )Tj /F11 1 Tf 14.7493 0 TD 0 Tw (Federal )Tj -14.7493 -1.1111 TD (Register )Tj /F17 1 Tf 4.0496 0 TD -0.0044 Tw (or within such longer period \(i\) )Tj -4.0496 -1.1111 TD (as the Commission may designate up to )Tj T* (90 days of such date if it finds such )Tj T* (longer period to be appropriate and )Tj T* (publishes its reasons for so finding or )Tj T* (\(ii\) as to which the self-regulatory )Tj T* (organization consents, the Commission )Tj T* 0 Tw (will: )Tj 1 -1.1111 TD -0.0044 Tw (a. By order approve the proposed rule )Tj -1 -1.1111 TD (change, or )Tj 1 -1.1111 TD (b. Institute proceedings to determine )Tj -1 -1.1111 TD (whether the proposed rule change )Tj T* (should be disapproved. )Tj /F11 1 Tf 0 -1.6667 TD (IV. Solicitation of Comments )Tj /F17 1 Tf 1 -1.5556 TD (Interested persons are invited to )Tj -1 -1.1111 TD (submit written data, views, and )Tj T* (arguments concerning the foregoing, )Tj T* (including whether the proposed rule )Tj T* (change is consistent with the Act. )Tj T* (Comments may be submitted by any of )Tj T* (the following methods: )Tj /F8 1 Tf 0 -1.6667 TD (Electronic Comments )Tj /F9 1 Tf 1 -1.5556 TD 0 Tw ()Tj /F17 1 Tf 1.0156 0 TD -0.0044 Tw (Use the Commission)Tj /F7 1 Tf 9.4351 0 TD 0 Tw ()Tj /F17 1 Tf 0.278 0 TD -0.0044 Tw (s Internet )Tj -11.7287 -1.1111 TD (comment form \()Tj /F8 1 Tf 7.3251 0 TD 0 Tw (http://www.sec.gov/ )Tj -7.3251 -1.1111 TD (rules/sro.shtml)Tj /F17 1 Tf 6.907 0 TD -0.0044 Tw (\); or )Tj /F9 1 Tf -5.907 -1.1111 TD 0 Tw ()Tj /F17 1 Tf 1.0156 0 TD -0.0044 Tw (Send an e-mail to )Tj /F8 1 Tf 8.3152 0 TD 0 Tw (rule- )Tj -10.3308 -1.1111 TD (comments@sec.gov. )Tj /F17 1 Tf 9.3176 0 TD -0.0044 Tw (Please include File )Tj -9.3176 -1.1111 TD (Number SR)Tj /F7 1 Tf 5.2746 0 TD 0 Tw ()Tj /F17 1 Tf 0.556 0 TD (NYSE)Tj /F7 1 Tf 2.722 0 TD ()Tj /F17 1 Tf 0.556 0 TD (2006)Tj /F7 1 Tf 2.224 0 TD ()Tj /F17 1 Tf 0.556 0 TD -0.0044 Tw (97 on the )Tj -11.8886 -1.1111 TD (subject line. )Tj /F8 1 Tf 0 -1.6667 TD (Paper Comments )Tj /F9 1 Tf 1 -1.5556 TD 0 Tw ()Tj /F17 1 Tf 1.0156 0 TD -0.0044 Tw (Send paper comments in triplicate )Tj -2.0156 -1.1111 TD (to Nancy M. Morris, Secretary, )Tj T* (Securities and Exchange Commission, )Tj T* (100 F Street, NE., Washington, DC )Tj T* 0 Tw (20549)Tj /F7 1 Tf 2.78 0 TD ()Tj /F17 1 Tf 0.556 0 TD (1090. )Tj -2.336 -1.3333 TD -0.0044 Tw (All submissions should refer to File )Tj -1 -1.1111 TD (Number SR)Tj /F7 1 Tf 5.2746 0 TD 0 Tw ()Tj /F17 1 Tf 0.556 0 TD (NYSE)Tj /F7 1 Tf 2.722 0 TD ()Tj /F17 1 Tf 0.556 0 TD (2006)Tj /F7 1 Tf 2.224 0 TD ()Tj /F17 1 Tf 0.556 0 TD -0.0044 Tw (97. This file )Tj -11.8886 -1.1111 TD (number should be included on the )Tj T* (subject line if e-mail is used. To help the )Tj T* (Commission process and review your )Tj T* (comments more efficiently, please use )Tj T* (only one method. The Commission will )Tj T* (post all comments on the Commission)Tj /F7 1 Tf 17.5328 0 TD 0 Tw ()Tj /F17 1 Tf 0.278 0 TD (s )Tj -17.8108 -1.1111 TD -0.0044 Tw (Internet Web site \()Tj /F8 1 Tf 8.4297 0 TD 0 Tw (http://www.sec.gov/ )Tj -8.4297 -1.1111 TD (rules/sro.shtml)Tj /F17 1 Tf 6.907 0 TD -0.0044 Tw (\). Copies of the )Tj -6.907 -1.1111 TD (submission, all subsequent )Tj T* (amendments, all written statements )Tj T* (with respect to the proposed rule )Tj T* (change that are filed with the )Tj T* (Commission, and all written )Tj T* (communications relating to the )Tj T* (proposed rule change between the )Tj 19.6667 74.6666 TD (Commission and any person, other than )Tj 0 -1.1111 TD (those that may be withheld from the )Tj T* (public in accordance with the )Tj T* (provisions of 5 U.S.C. 552, will be )Tj T* (available for inspection and copying in )Tj T* (the Commission)Tj /F7 1 Tf 7.4396 0 TD 0 Tw ()Tj /F17 1 Tf 0.278 0 TD -0.0044 Tw (s Public Reference )Tj -7.7176 -1.1111 TD (Room. Copies of such filing also will be )Tj T* (available for inspection and copying at )Tj T* (the principal office of the NYSE. All )Tj T* (comments received will be posted )Tj T* (without change; the Commission does )Tj T* (not edit personal identifying )Tj T* (information from submissions. You )Tj T* (should submit only information that )Tj T* (you wish to make available publicly. All )Tj T* (submissions should refer to File )Tj T* (Number SR)Tj /F7 1 Tf 5.2746 0 TD 0 Tw ()Tj /F17 1 Tf 0.556 0 TD (NYSE)Tj /F7 1 Tf 2.722 0 TD ()Tj /F17 1 Tf 0.556 0 TD (2006)Tj /F7 1 Tf 2.224 0 TD ()Tj /F17 1 Tf 0.556 0 TD -0.0044 Tw (97 and should )Tj -11.8886 -1.1111 TD (be submitted on or before December 28, )Tj T* 0 Tw (2006. )Tj 8 0 0 8 230 532.0002 Tm -0.0025 Tw (For the Commission, by the Division of )Tj -1 -1.125 TD (Market Regulation, pursuant to delegated )Tj T* 0 Tw (authority.)Tj 6.224 0 0 5.2 258 516.0249 Tm (4)Tj 8 0 0 8 261.4605 514.0002 Tm ( )Tj /F11 1 Tf -4.9326 -1.375 TD -0.0025 Tw (Florence E. Harmon, )Tj /F8 1 Tf T* -0.0575 Tw (Deputy Secretary. )Tj /F17 1 Tf T* -0.0025 Tw ([FR Doc. E6)Tj /F7 1 Tf 5.385 0 TD 0 Tw ()Tj /F17 1 Tf 0.556 0 TD -0.0025 Tw (20733 Filed 12)Tj /F7 1 Tf 6.831 0 TD 0 Tw ()Tj /F17 1 Tf 0.556 0 TD (6)Tj /F7 1 Tf 0.556 0 TD ()Tj /F17 1 Tf 0.556 0 TD -0.0025 Tw (06; 8:45 am] )Tj /F10 1 Tf 6 0 0 6 222 470.0003 Tm 0.1633 Tw (BILLING CODE 8011)Tj /F3 1 Tf 9.9957 0 TD 0 Tw ()Tj /F10 1 Tf 0.556 0 TD (01)Tj /F3 1 Tf 1.112 0 TD ()Tj /F10 1 Tf 0.556 0 TD (P )Tj ET 0.3 w 222 459.84 m 390 459.84 l S BT 9 0 0 9 222 441.7003 Tm -0.0044 Tw (SECURITIES AND EXCHANGE )Tj 0 -1.1111 TD 0 Tw (COMMISSION )Tj 8 0 0 8 222 415.0003 Tm -0.0025 Tw ([Release No. 34)Tj /F3 1 Tf 7.387 0 TD 0 Tw ()Tj /F10 1 Tf 0.556 0 TD -0.0025 Tw (54834; File No. SR)Tj /F3 1 Tf 8.6625 0 TD 0 Tw ()Tj /F10 1 Tf 0.556 0 TD (Phlx)Tj /F3 1 Tf 2.112 0 TD ()Tj /F10 1 Tf 0.556 0 TD ( )Tj -19.8295 -1.125 TD (2006)Tj /F3 1 Tf 2.224 0 TD ()Tj /F10 1 Tf 0.556 0 TD (69] )Tj 9 0 0 9 222 388.0003 Tm -0.0044 Tw (Self-Regulatory Organizations; )Tj 0 -1.1111 TD (Philadelphia Stock Exchange, Inc.; )Tj T* (Notice of Filing of Proposed Rule )Tj T* (Change Relating to a Direct )Tj T* (Registration System )Tj /F17 1 Tf 8 0 0 8 222 332.0003 Tm -0.0025 Tw (November 29, 2006. )Tj 9 0 0 9 231 321.0003 Tm -0.0044 Tw (Pursuant to Section 19\(b\)\(1\) of the )Tj -1 -1.1111 TD (Securities Exchange Act of 1934 )Tj T* 0 Tw (\()Tj /F7 1 Tf 0.333 0 TD ()Tj /F17 1 Tf 0.556 0 TD (Act)Tj /F7 1 Tf 1.611 0 TD ()Tj /F17 1 Tf 0.556 0 TD (\))Tj 7.002 0 0 5.85 254.001 303.2783 Tm (1)Tj 9 0 0 9 260.3541 301.0003 Tm -0.0044 Tw (and Rule 19b)Tj /F7 1 Tf 6.0481 0 TD 0 Tw ()Tj /F17 1 Tf 0.556 0 TD -0.0044 Tw (4 thereunder,)Tj 7.002 0 0 5.85 375.2541 303.2783 Tm 0 Tw (2)Tj 9 0 0 9 379.1472 301.0003 Tm ( )Tj -17.4608 -1.1111 TD -0.0044 Tw (notice is hereby given that on October )Tj T* (31, 2006, the Philadelphia Stock )Tj T* (Exchange, Inc. \()Tj /F7 1 Tf 7.2691 0 TD 0 Tw ()Tj /F17 1 Tf 0.556 0 TD (Phlx)Tj /F7 1 Tf 2.111 0 TD ()Tj /F17 1 Tf 0.556 0 TD -0.0044 Tw (\) filed with the )Tj -10.4921 -1.1111 TD (Securities and Exchange Commission )Tj T* 0 Tw (\()Tj /F7 1 Tf 0.333 0 TD ()Tj /F17 1 Tf 0.556 0 TD (Commission)Tj /F7 1 Tf 5.722 0 TD ()Tj /F17 1 Tf 0.556 0 TD -0.0044 Tw (\) and on November 14, )Tj -7.167 -1.1111 TD (2006, amended the proposed rule )Tj T* (change described in Items I, II, and III )Tj T* (below, which items have been prepared )Tj T* (primarily by Phlx. The Commission is )Tj T* (publishing this notice to solicit )Tj T* (comments on the proposed rule change )Tj T* (from interested parties. )Tj /F11 1 Tf 0 -1.6667 TD (I. Self-Regulatory Organization)Tj /F4 1 Tf 14.5461 0 TD 0 Tw ()Tj /F11 1 Tf 0.278 0 TD (s )Tj -14.8241 -1.1111 TD -0.0044 Tw (Statement of the Terms of Substance of )Tj T* (the Proposed Rule Change )Tj /F17 1 Tf 1 -1.5556 TD (Phlx proposes to adopt new Rule 868 )Tj -1 -1.1111 TD (to require certain listed securities to be )Tj T* (eligible for a Direct Registration System )Tj T* 0 Tw (\()Tj /F7 1 Tf 0.333 0 TD ()Tj /F17 1 Tf 0.556 0 TD (DRS)Tj /F7 1 Tf 2 0 TD ()Tj /F17 1 Tf 0.556 0 TD -0.0044 Tw (\) operated by a securities )Tj -3.445 -1.1111 TD (depository registered as a clearing )Tj 19.6667 70.3333 TD (agency under Section 17A of the Act )Tj 0 -1.1111 TD (starting on January 1, 2007. )Tj /F11 1 Tf 0 -1.6667 TD (II. Self-Regulatory Organization)Tj /F4 1 Tf 14.9351 0 TD 0 Tw ()Tj /F11 1 Tf 0.278 0 TD (s )Tj -15.2131 -1.1111 TD -0.0044 Tw (Statement of the Purpose of, and )Tj T* (Statutory Basis for, the Proposed Rule )Tj T* 0 Tw (Change )Tj /F17 1 Tf 1 -1.5 TD -0.0044 Tw (In its filing with the Commission, )Tj -1 -1.1111 TD (Phlx included statements concerning )Tj T* (the purpose of and basis for the )Tj T* (proposed rule change and discussed any )Tj T* (comments it received on the proposed )Tj T* (rule change. The text of these statements )Tj T* (may be examined at the places specified )Tj T* (in Item IV below. Phlx has prepared )Tj T* (summaries, set forth in sections \(A\), \(B\), )Tj T* (and \(C\) below, of the most significant )Tj T* (aspects of these statements.)Tj 7.002 0 0 5.85 512.3519 558.7782 Tm 0 Tw (3)Tj 9 0 0 9 516.2451 556.5002 Tm ( )Tj /F8 1 Tf -13.0272 -1.6667 TD -0.0044 Tw (\(A\) Self-Regulatory Organization)Tj /F6 1 Tf 15.0301 0 TD 0 Tw ()Tj /F8 1 Tf 0.278 0 TD (s )Tj -15.3081 -1.1111 TD -0.0044 Tw (Statement of the Purpose of, and )Tj T* (Statutory Basis for, the Proposed Rule )Tj T* 0 Tw (Change )Tj /F17 1 Tf 0 -1.6667 TD -0.0044 Tw (\(1\) Purpose )Tj 1 -1.5 TD (The purpose of proposed new Phlx )Tj -1 -1.1111 TD (Rule 868)Tj 7.002 0 0 5.85 436.973 475.2782 Tm 0 Tw (4)Tj 9 0 0 9 443.3261 473.0002 Tm -0.0044 Tw (is to reduce the cots, risks, )Tj -4.9251 -1.1111 TD (and delays associated with the physical )Tj T* (delivery of securities certificates by )Tj T* (requiring that certain securities be )Tj T* (eligible for DRS.)Tj 7.002 0 0 5.85 466.42 435.2782 Tm 0 Tw (5)Tj 9 0 0 9 472.7731 433.0002 Tm -0.0044 Tw (Proposed Rule 868 )Tj -8.197 -1.1111 TD (would require that on or after January 1, )Tj T* (2007, all securities initially listing on )Tj T* (Phlx must be eligible for DRS operated )Tj T* (by a securities depository that is a )Tj T* (clearing agency registered under Section )Tj T* (17A of the Act \()Tj /F7 1 Tf 7.2612 0 TD 0 Tw ()Tj /F17 1 Tf 0.556 0 TD -0.0044 Tw (securities depository)Tj /F7 1 Tf 9.5496 0 TD 0 Tw ()Tj /F17 1 Tf 0.556 0 TD (\). )Tj -17.9228 -1.1111 TD -0.0044 Tw (This provision would not extend to \(i\) )Tj T* (securities of companies which already )Tj T* (have securities listed on Phlx; \(ii\) )Tj T* (securities of companies which )Tj T* (immediately prior to such listing had )Tj T* (securities listed on another national )Tj T* (securities exchange; \(iii\) derivative )Tj T* 0 Tw (products,)Tj 7.002 0 0 5.85 437.997 295.2782 Tm (6)Tj 9 0 0 9 444.3501 293.0002 Tm -0.0044 Tw (or \(iv\) securities \(other than )Tj -5.0389 -1.1111 TD (stocks\) which are book-entry-only. )Tj /F12 1 Tf 6.5 0 0 6.5 25 20 Tm 1 g 0 Tw [(VerDate Aug<31>2005 )-1076.9(17:29 Dec 06, 2006)-1076.9(Jkt 211001)-1076.9(PO 00000)-1076.9(Frm 00068)-1076.9(Fmt 4703)-1076.9(Sfmt 4703)-1076.9(E:\\FR\\FM\\07DEN1.SGM)-1076.9(07DEN1)]TJ 0 5 -5 0 22 18 Tm (sroberts on PROD1PC70 with NOTICES)Tj ET endstream endobj 24 0 obj <>/ProcSet[/PDF/Text]/Font<>>> endobj 25 0 obj <> endobj 26 0 obj <>stream HTMk0:v`]30r˶{b+qܬ_G+vl֚#8aXpqkPNB)@,{,5w%A]3..{`U~$ЭޟqFq,of^n Co'2I%_+k0^+B,p"8o