Proposed Rule Change Amending Forms of Broker Letters

SEC Release No. 34-63855

February 7, 2011

The SEC declared immediately effective an NYSE proposal to amend the forms of letters contained in NYSE Rule 451, and Sections 905.02-03 of the Listed Company Manual. The amendments revise the letters which brokers are required to distribute to clients regarding whether or not they may vote shares in which the broker is the record holder but the client is the beneficial owner.

Cross References

NYSE Rule 451

NYSE Listed Company Manual § 905

Dodd-Frank § 957