[Federal Register Volume 68, Number 178 (Monday, September 15, 2003)]
[Notices]
[Page 54034]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 03-23418]


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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-48460; File Nos. SR-NASD-2002-162; SR-NYSE-2002-36]


Self-Regulatory Organizations; Notice of Extension of Comment 
Period for the Amendments to Proposed Rule Changes by the National 
Association of Securities Dealers, Inc. and New York Stock Exchange, 
Inc. Relating to Supervisory Control Amendments

September 8, 2003.
    On August 16, 2002, the New York Stock Exchange (``NYSE'' or 
``Exchange''), and on November 4, 2002, the National Association of 
Securities Dealers, Inc. (``NASD''), filed with the Securities and 
Exchange Commission (``SEC'' or ``Commission'') proposed rule changes 
pursuant to section 19(b)(1) of the Securities Exchange Act of 1934 
(``Act'')\1\ and Rule 19b-4 thereunder,\2\ regarding the supervisory 
and supervisory control procedures of member firms. A complete 
description of the proposed rule changes is found in the notices of 
filing, which were published in the Federal Register on November 27, 
2002.\3\ On April 28, 2003, the NYSE submitted Amendment No. 2 to the 
proposed rule change, and on August 7, 2003, the NYSE filed Amendment 
No. 3 to the proposed rule change. On August 5, 2003, the NASD filed 
Amendment No. 1 to the proposed rule change, and on August 7, 2003, the 
NASD filed Amendment No. 2 to the proposed rule change. A complete 
description of these amendments is found in the notices thereof, which 
were published in the Federal Register on August 13, 2003.\4\
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release Nos. 46858 (November 20, 
2002), 67 FR 70994 (SR-NYSE-2002-36) and 46859 (November 20, 2002), 
67 FR 70990 (SR-NASD-2002-162); see also Securities Exchange Act 
Release No. 46858A (November 27, 2002, 67 FR 72261 (SR-NYSE-2002-36 
Correction).
    \4\ See Securities Exchange Act Release Nos. 48298 (August 7, 
2003), 68 FR 48421 (SR-NASD-2002-162) and 48299 (August 7, 2003), 68 
FR 48431 (SR-NYSE-2002-36).
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    To give the public additional time to comment on the amendments to 
the proposed rule changes, the Commission has decided to extend the 
comment periods pursuant to section 19(b)(2) of the Act.\5\ Accordingly 
the comment periods shall be extended until October 3, 2003.
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    \5\ 15 U.S.C. 78s(b)(2).
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    Interested persons are invited to submit written data, views, and 
arguments concerning the foregoing, including whether the amendments 
are consistent with the Act. Persons making written submissions should 
file six copies thereof with the Secretary, Securities and Exchange 
Commission, 450 Fifth Street, NW., Washington, DC 20549-0609. Copies of 
the submission, all subsequent amendments, all written statements with 
respect to the proposed rule changes that are filed with the 
Commission, and all written communications relating to the proposed 
rule changes between the Commission and any person other than those 
that may be withheld from the public in accordance with the provisions 
of 5 U.S.C. 552, will be available for inspection and copying in the 
Commission's Public Reference Room. Copies of such filings will also be 
available for inspection and copying at the principal office of the 
NASD or NYSE. All submissions should refer to File No. SR-NASD-2002-162 
or SR-NYSE-2002-36 and should be submitted by October 3, 2003.

    For the Commission, by the Division of Market Regulation, 
pursuant to delegated authority.\6\
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    \6\ 17 CFR 200.30-3(a)(12).

Margaret H. McFarland,
Deputy Secretary.
[FR Doc. 03-23418 Filed 9-12-03; 8:45 am]
BILLING CODE 8010-01-P