approved collection of information SECURITIES AND EXCHANGE must be submitted to OMB within 30
discussed below. COMMISSION days of this notice.
Rule 17a–4 requires approximately Dated: February 4, 2005.
6,900 active, registered exchange Submission for OMB Review;
Margaret H. McFarland,
members, brokers and dealers (‘‘broker- Comment Request
Deputy Secretary.
dealers’’) to preserve for prescribed
periods of time certain records required Upon Written Request, Copies Available [FR Doc. E5–572 Filed 2–9–05; 8:45 am]
to be made by Rule 17a–3 and other From: Securities and Exchange BILLING CODE 8010–01–P
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Federal Register / Vol. 70, No. 27 / Thursday, February 10, 2005 / Notices 7129
necessary filings and paying any Commission determines to order a prepared summaries, set forth in
associated fees to continue listing the hearing on the matter. Sections A, B, and C below, of the most
Security on the Exchange; and (iv) that For the Commission, by the Division of significant aspects of such statements.
the Security currently trades on the Market Regulation, pursuant to delegated A. Self-Regulatory Organization’s
Over-the-Counter Market on the Pink authority.6
Statement of the Purpose of, and the
Sheets. Jonathan G. Katz,
Statutory Basis for, the Proposed Rule
The Issuer stated in its application Secretary. Change
that it has complied with BSE [FR Doc. E5–563 Filed 2–9–05; 8:45 am]
procedures for delisting by filing the BILLING CODE 8010–01–P 1. Purpose
required documents governing the
withdrawal of securities from listing Under Section 107A of the Company
and registration on the BSE. SECURITIES AND EXCHANGE Guide, the Exchange may approve for
The Issuer’s application relates solely COMMISSION listing and trading securities that cannot
to withdrawal of the Security from be readily categorized under the listing
listing on the BSE and from registration [Release No. 34–51133; File No. SR–Amex– criteria for common and preferred
2004–101] stocks, bonds, debentures, or warrants.3
under Section 12(b) of the Act,4 and
shall not affect its obligation to be The Amex proposes to list for trading
Self-Regulatory Organizations; Notice
registered under Section 12(g) of the under Section 107A of the Company
of Filing and Order Granting
Act.5 Guide notes issued by Citigroup, linked
Accelerated Approval of a Proposed
Any interested person may, on or to the performance of the DJIA (the
Rule Change by the American Stock
before March 1, 2005, comment on the ‘‘DJIA Notes’’ or ‘‘Notes’’).4 The DJIA is
Exchange LLC Relating to the Listing
facts bearing upon whether the and Trading of Notes Linked to the determined, calculated and maintained
application has been made in Performance of the Dow Jones solely by Dow Jones.5 The Notes will
accordance with the rules of the BSE, Industrial Average provide for a multiplier of 300%
and what terms, if any, should be (‘‘Upside Participation Rate’’) of any
imposed by the Commission for the February 3, 2005. positive performance of the DJIA during
protection of investors. All comment Pursuant to Section 19(b)(1) of the such term subject to a maximum
letters may be submitted by either of the Securities Exchange Act of 1934 payment amount or ceiling expected to
following methods: (‘‘Act’’),1 and Rule 19b–4 thereunder,2 be 5.7%, which will be determined at
notice is hereby given that on December the time of issuance (‘‘Capped Value’’).6
Electronic Comments 10, 2004, the American Stock Exchange
• Send an e-mail to rule- LLC (‘‘Amex’’ or ‘‘Exchange’’) filed with 3 See Securities Exchange Act Release No. 27753
comments@sec.gov. Please include the the Securities and Exchange (March 1, 1990), 55 FR 8626 (March 8, 1990) (order
approving File No. SR–Amex–89–29).
File Number 1–12451 or; Commission (‘‘SEC’’ or ‘‘Commission’’) 4 Citigroup Global Markets Holdings, Inc.
the proposed rule change as described (‘‘Citigroup’’) and Dow Jones & Co. (‘‘Dow Jones’’)
Paper Comments in Items I and II below, which Items have entered into a non-exclusive license agreement
• Send paper comments in triplicate have been prepared by the Exchange. providing for the use of the DJIA by Citigroup and
to Jonathan G. Katz, Secretary, The Commission is publishing this certain affiliates and subsidiaries in connection
with certain securities including these Notes. Dow
Securities and Exchange Commission, notice to solicit comments on the Jones is not responsible and will not participate in
450 Fifth Street, NW., Washington, DC proposed rule change from interested the issuance and creation of the Notes.
20549–0609. persons and is approving the proposal 5 The DJIA is a price-weighted index comprised
All submissions should refer to File on an accelerated basis. of 30 common stocks chosen by the editors of the
Number 1–12451. This file number Wall Street Journal (‘‘WSJ’’) as representative of the
I. Self-Regulatory Organization’s broad market of U.S. industry. A price-weighted
should be included on the subject line index refers to an index that assigns weights to
Statement of the Terms of Substance of
if e-mail is used. To help us process and component stocks based on the price per share
the Proposed Rule Change
review your comments more efficiently, rather than total market capitalization of such
please use only one method. The The Exchange proposes to list and component stock. The corporations represented in
the DJIA tend to be leaders within their respective
Commission will post all comments on trade under Section 107A of the Amex industries and their stocks are typically widely held
the Commission’s Internet Web site Company Guide (‘‘Company Guide’’), by individuals and institutional investors. Changes
(http://www.sec.gov/rules/delist.shtml). notes linked to the performance of the in the composition of the DJIA are made solely by
Comments are also available for public Dow Jones Industrial Average (‘‘DJIA’’ the editors of the WSJ. In addition, changes to the
common stocks included in the DJIA tend to be
inspection and copying in the or ‘‘Index’’). made infrequently with most substitutions the
Commission’s Public Reference Room. II. Self-Regulatory Organization’s result of mergers and other extraordinary corporate
All comments received will be posted Statement of the Purpose of, and actions. However, over time, changes are made to
without change; we do not edit personal more accurately represent the broad market of U.S.
Statutory Basis for, the Proposed Rule industry. In choosing a new corporation for the
identifying information from Change DJIA, the editors of the WSJ focus on the leading
submissions. You should submit only industrial companies with a successful history of
information that you wish to make In its filing with the Commission, the growth and wide interest among investors. Dow
available publicly. Amex included statements concerning Jones, publisher of the WSJ, is not affiliated with
the purpose of, and basis for, the Citigroup and has not participated in any way in
The Commission, based on the the creation of the Notes. The number of common
information submitted to it, will issue proposed rule change and discussed any stocks in the DJIA has remained at 30 since 1928,
an order granting the application after comments it received on the proposed and, in an effort to maintain continuity, the
the date mentioned above, unless the rule change. The text of these statements constituent corporations represented in the DJIA
may be examined at the places specified have been changed on a relatively infrequent basis.
6 Telephone conversation between Jeff Burns,
December 20, 2004, the Exchange granted the in Item III below. The Exchange has
Associate General Counsel, Amex, and Florence E.
request and extended the Issuer’s time to either Harmon, Senior Special Counsel, Division of
respond or voluntarily delist until January 14, 2005. 6 17 CFR 200.30–3(a)(1). Market Regulation (‘‘Division’’), SEC, dated January
4 15 U.S.C. 78l(b). 1 15 U.S.C. 78s(b)(1). 31, 2005 (as to expected amount payable at maturity
5 15 U.S.C. 78l(g). 2 17 CFR 240.19b–4. under various scenarios).
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