International Securities Exchange LLC Files for Registration as a National Securities Exchange (Amendment No. 1 to Application)
SECURITIES AND EXCHANGE COMMISSION
The International Securities Exchange LLC ("ISE") has submitted an amendment to its Form 1 application 1 under the Securities Exchange Act of 1934 ("Exchange Act"). The ISE is seeking registration as a national securities exchange under Section 6 of the Exchange Act.2 A copy of the ISE's Amendment No. 1 to the Form 1, including all exhibits, is available in the Commission's Public Reference Room, File No. 10-127, and on the Commission's website at http://www.sec.gov/rules/othrindx.htm. The Commission received approximately 21 comment letters in response to the original notice publication of the ISE's Form 1,3 several of which raised substantive issues. The ISE has responded to these comments by amending its Form 1 application and the exhibits thereto, as well as providing a detailed explanation of its governance provisions and trading rules.
(Release No. 34-42042; File No. 10-127)
October 20, 1999
International Securities Exchange LLC; Notice of Filing of Amendment No. 1 to the Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934
The Commission is publishing notice of Amendment No. 1 to the ISE's filing to afford interested persons an opportunity to submit additional written comments. The Commission will take these comments into consideration in making its determination about whether to grant ISE's request to be registered as an exchange. The Commission shall grant such registration if it finds that the requirements of the Exchange Act and the rules and regulations thereunder are satisfied.4
Interested persons should submit three copies of their written data, views and opinions to Jonathan G. Katz, Secretary, Securities and Exchange Commission, 450 Fifth Street, N.W., Washington, D.C. 20549-0609. Comments may also be submitted electronically at the following e-mail address: email@example.com. Comments must be received on or before [insert date 21 days after date of publication in the Federal Register]. All comment letters should refer to File No. 10-127; this file number should be included on the subject line if comments are submitted using e-mail. All submissions will be available for public inspection and copying at the Commission's Public Reference Room, Room 1024, 450 Fifth Street, N.W., Washington, D.C. 20549. Electronically submitted comment letters will be posted on the Commission's Internet website (http://www.sec.gov).
For questions regarding this release, contact: Sheila Slevin, Assistant Director, at (202) 942-0796, Christine Richardson, Attorney, at (202) 942-0748, or Joseph Morra, Attorney, at (202) 942-0781; Division of Market Regulation, Securities and Exchange Commission, 450 Fifth Street, N.W., Washington, D.C. 20549-1001.
By the Commission.
Jonathan G. Katz
1See Letter to Jonathan Katz, Secretary, Commission, from David Krell, President and CEO, ISE, dated September 24, 1999 ("Amendment No. 1").
2See Letter to Michael Walinskas, Deputy Associate Director, Division of Market Regulation, Commission, from David Krell, President and CEO, ISE, dated February 1, 1999 ("ISE Form 1").
3See Exchange Act Release No. 41439 (May 24, 1999), 64 FR 29367 (June 1, 1999). Copies of the comment letters are available in the Public Reference Room at the Commission and are contained in File No. 10-127.
4Section 19(a)(1) of the Exchange Act, 15 U.S.C. 78s(a)(1).
A complete copy of the ISE's Amendment to Form 1 is available for viewing on this site, in PDF format. Note: This is a large file (1.9 MB; 94 pages). Please wait for it to download completely. If you have trouble viewing the file on line, you may want to try saving the file from the link and viewing it locally.
View the Amendment to ISE's Form 1 now