[Federal Register Volume 82, Number 36 (Friday, February 24, 2017)]
[Notices]
[Pages 11692-11693]
[FR Doc No: 2017-03720]

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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

[Docket No. FMCSA-2017-0002]

Controlled Substances and Alcohol Use and Testing: J.B. Hunt
Transport, Inc., Schneider National Carriers, Inc., Werner Enterprises,
Inc., Knight Transportation, Inc., Dupre Logistics, Inc. and Maveric
Transportation, LLC Application for Exemption

AGENCY: Federal Motor Carrier Safety Administration (FMCSA), DOT.

ACTION: Notice of application for exemption; re-opening of comment
period.

-----------------------------------------------------------------------

SUMMARY: FMCSA re-opens the public comment period for the Agency's
January 19, 2017, notice announcing the application for exemption from
J.B. Hunt Transport, Inc. (J.B. Hunt), Schneider National Carriers,
Inc. (Schneider), Werner Enterprises, Inc. (Werner), Knight
Transportation, Inc. (Knight), Dupre Logistics, Inc. (Dupree), and
Maveric Transportation, LLC (Maverick) to allow hair analysis in lieu
of urine testing for pre-employment controlled substances testing of
commercial driver's license (CDL) holders. On January 23, 2017, the
American Federation of Labor and Congress of Industrial Organizations'
(AFL-CIO) Transportation Trades Department requested a 60-day extension
of the comment period. On February 7, 2017, the International
Brotherhood of Teamsters requested a 60-day extension of the comment
period. The Agency re-opens and extends the deadline for the submission
of public comments.

DATES: FMCSA re-opens and extends the comment period for the notice of
application for exemption published on January 19, 2017. You must
submit comments by April 25, 2017.

ADDRESSES: You may submit comments identified by Federal Docket
Management System Number FMCSA-2017-0002 by any of the following
methods:
     Federal eRulemaking Portal: www.regulations.gov. See the
Public Participation and Request for Comments section below for further
information.
     Mail: Docket Management Facility, U.S. Department of
Transportation, 1200 New Jersey Avenue SE., West Building, Ground
Floor, Room W12-140, Washington, DC 20590-0001.
     Hand Delivery or Courier: West Building, Ground Floor,
Room W12-140, 1200 New Jersey Avenue SE., between 9 a.m. and 5 p.m.
Monday through Friday, except Federal holidays.
     Fax: 1-202-493-2251.
    Each submission must include the Agency name and the docket number
for this notice. Note that DOT posts all comments received, without
change, to www.regulations.gov, including any personal information
included in a comment. Please see the Privacy Act heading below.
    Docket: For access to the docket to read background documents or
comments, go to www.regulations.gov at any time or visit Room W12-140
on the ground level of the West Building, 1200 New Jersey Avenue SE.,
Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal holidays. The on-line FDMS is available 24 hours each
day, 365 days each year.
    Privacy Act: In accordance with 5 U.S.C. 553(c), DOT solicits
comments from the public to better inform its rulemaking process. DOT
posts these comments, without edit, including any personal information
the commenter provides, to www.regulations.gov, as described in the
system of records notice (DOT/ALL-14 FDMS), which can be reviewed at
www.dot.gov/privacy.

FOR FURTHER INFORMATION CONTACT: For information concerning this
notice, contact Mr. Thomas Yager, Chief, FMCSA Driver and Carrier
Operations Division; Office of Carrier, Driver and Vehicle Safety
Standards; Telephone:<PHONE_NUMBER>. Email<EMAIL_ADDRESS>If you have
questions on viewing or submitting material to the docket, contact
Docket Services, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

I. Public Participation and Request for Comments

    FMCSA encourages you to participate by submitting comments and
related materials.

Submitting Comments

    If you submit a comment, please include the docket number for this
notice (FMCSA-2017-0002), indicate the specific section of this
document to which the comment applies, and provide a reason for
suggestions or recommendations. You may submit your comments and
material online or by fax, mail, or hand delivery, but please use only
one of these means. FMCSA recommends that you include your name and a
mailing address, an email address, or a phone number in the body of
your document so the Agency can contact you if it has questions
regarding your submission.
    To submit your comment online, go to www.regulations.gov and put
the docket number, ``FMCSA-2017-0002'' in the ``Keyword'' box, and
click ``Search.'' When the new screen appears, click on ``Comment
Now!'' button and type your comment into the text box in the following
screen. Choose whether you are submitting your comment as an individual
or on behalf of a third party, and then submit. If you submit your
comments by mail or hand delivery, submit them in an unbound format, no
larger than 8\1/2\ by 11 inches, suitable for copying and electronic
filing. If you submit comments by mail and would like to know that they
reached the facility, please enclose a stamped, self-addressed postcard
or envelope. FMCSA will consider all comments and material received
during the comment period before determining whether to grant this
application.

II. Background

    On January 19, 2017 (82 FR 6688), FMCSA published a notice of
application for exemption from J.B. Hunt, Schneider, Werner, Knight,
Dupre, and Maveric (Applicants). Applicants requested an exemption from
49 CFR 382.105 and 382.301 with specific authorization for obtaining
and releasing hair test results to comply with 49 CFR 391.23,
Investigations and inquiries. Under the exemption, Applicants would
conduct pre-

employment tests using hair analysis only, rather than hair analysis in
addition to urine testing, and individuals with negative test results
would be permitted to perform safety-sensitive functions for the
employer Applicants. Individuals testing positive would not be allowed
to perform safety-sensitive functions until the driver completes the
return-to-duty process under Subpart O of 49 CFR part 40. In addition,
the Applicants would share the positive hair testing results with
prospective employers in response to safety performance inquiries
required by 49 CFR 391.23.
    The Applicant carriers that would be covered by the exemption, if
granted, already use hair analysis as a method for pre-employment
controlled substances testing of drivers on a voluntary basis. However,
they also conduct urine testing for drugs because it is the only
screening method accepted under the Department's regulations. The
Applicants view their use of multiple screening methods as an
unnecessary and redundant financial burden. Also, the Applicants
consider urine testing to be less effective in pre-employment screening
for drugs than hair analysis.
    A copy of the exemption application and all supporting documents
submitted by the Applicants is available for review in the docket
referenced at the beginning of this notice.

Requests for Extension of the Comment Period

    On January 23, 2017, the AFL-CIO's Transportation Trades Department
requested that the Agency provide a 60-day extension of the comment
period. The International Brotherhood of Teamsters requested a 60-day
extension of the comment period on February 7, 2017. A copy of each
request is in the docket identified at the beginning of this notice.
    FMCSA acknowledges the Transportation Trades Department's and the
International Brotherhood of Teamsters' concerns. After reviewing the
requests, FMCSA hereby grants a 60-day re-opening of the comment period
to April 25, 2017, to provide all interested parties additional time to
respond to the notice of application for exemption.

    Issued on: February 21, 2017.
Larry W. Minor,
Associate Administrator for Policy.
[FR Doc. 2017-03720 Filed 2-23-17; 8:45 am]
 BILLING CODE 4910-EX-P


[Federal Register Volume 87, Number 24 (Friday, February 4, 2022)]
[Proposed Rules]
[Page 6449]
[FR Doc No: 2022-01928]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

21 CFR Part 203

[Docket No. FDA-2011-N-0446]

Removal of Certain Requirements Related to the Prescription Drug
Marketing Act; Opportunity for Public Comment; Withdrawal

AGENCY: Food and Drug Administration, Department of Health and Human
Services (HHS).

ACTION: Proposed rule; withdrawal.

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SUMMARY: The Food and Drug Administration (FDA, the Agency, or we) is
announcing the withdrawal of the proposed rule ``Removal of Certain
Requirements Related to the Prescription Drug Marketing Act;
Opportunity for Public Comment,'' published in the Federal Register on
July 14, 2011. FDA is taking this action because the proposed changes
are duplicative of another FDA proposed rulemaking, which is also being
published in this issue of the Federal Register, that is intended to
conform with newly established definitions and requirements set out by
the Drug Supply Chain Security Act of 2013 (DSCSA).

DATES: The proposed rule published July 14, 2011 (76 FR 41434), is
withdrawn as of February 4, 2022.

ADDRESSES: For access to the docket, go to https://www.regulations.gov
and insert the docket number found in brackets in the heading of this
document into the ``Search'' box and follow the prompts, and/or go to
the Dockets Management Staff, 5630 Fishers Lane, Rm. 1061, Rockville,
MD 20852.

FOR FURTHER INFORMATION CONTACT: Aaron Weisbuch, Center for Drug
Evaluation and Research, Office of Compliance, Food and Drug
Administration, 10903 New Hampshire Ave., Silver Spring, MD 20993, 301-
796-9362, [email protected].

SUPPLEMENTARY INFORMATION:

I. Background

    The Drug Quality and Security Act (DQSA) was enacted on November
27, 2013. The DQSA contains two titles: Title I, the Compounding
Quality Act, and Title II, the DSCSA (Pub. L. 113-54). The DSCSA
amended Chapter V of the Federal Food, Drug, and Cosmetic Act (FD&C
Act) by adding Subchapter H (Pharmaceutical Distribution Supply Chain),
sections 581 through 585 (21 U.S.C. 360eee through 360eee-4), and by
amending section 503(e) of the FD&C Act (21 U.S.C. 353(e)). As amended,
sections 503(e) and 583 of the FD&C Act require the Secretary to
establish national prescription drug wholesale distributor licensure
standards. In addition, section 582 of the FD&C Act establishes
prescription drug product tracing requirements for wholesale
distributors and their trading partners.
    On July 14, 2011, FDA proposed to remove Sec.  203.50(a) (21 CFR
203.50(a)). Before that rulemaking was finalized, the DSCSA was
enacted. Section 204 of the DSCSA amended section 503(e)(1) through (3)
of the FD&C Act with additional and different requirements for
wholesale distributors. The DSCSA also added new requirements for
wholesale distributors, including phased-in prescription drug tracing
requirements in section 582(c) of the FD&C Act. Because of the changes
to requirements for wholesale distributors under the DSCSA, the
Agency's proposed rule published on July 14, 2011, to remove Sec.
203.50(a), was never finalized.
    In its proposed rulemaking entitled ``Certain Requirements
Regarding Prescription Drug Marketing,'' published elsewhere in this
issue of the Federal Register, FDA will propose a rule that will seek
to amend part 203 (21 CFR part 203) to remove provisions no longer in
effect and incorporate conforming changes following enactment of the
DSCSA. In the proposed rulemaking, the Agency will clarify provisions
to avoid potential confusion with the new standards for wholesale
distribution established by the DSCSA. The amendments to part 203 in
the proposed rule will include the removal of Sec.  203.50 in its
entirety, rendering the proposed rule published July 14, 2011, removing
Sec.  203.50(a), obsolete.

II. Withdrawal of the Proposed Rule

    As result of these efforts, FDA is withdrawing the proposed rule
``Removal of Certain Requirements Related to the Prescription Drug
Marketing Act; Opportunity for Public Comment,'' published in the
Federal Register of July 14, 2011.
    The withdrawal of this proposed rule does not preclude the Agency
from reinstituting rulemaking concerning the issues addressed in the
proposal. Should we decide to undertake such rulemakings in the future,
we will re-propose the actions and provide new opportunities for
comment. Furthermore, this proposed rule is only intended to address
the withdrawal of the proposed rule on ``Removal of Certain
Requirements Related to the Prescription Drug Marketing Act;
Opportunity for Public Comment,'' published in the Federal Register of
July 14, 2011, and not any other pending proposals that the Agency has
issued or is considering. If you need additional information about the
subject matter of the withdrawn proposed rule, visit the Agency's
website at https://www.fda.gov for any current information on the
matter.

    Dated: January 24, 2022.
Janet Woodcock,
Acting Commissioner of Food and Drugs.
[FR Doc. 2022-01928 Filed 2-3-22; 8:45 am]
BILLING CODE 4164-01-P


[Federal Register: February 8, 2006 (Volume 71, Number 26)]
[Notices]
[Page 6466-6467]
[DOCID:fr08fe06-77]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. RP06-193-000]

Vector Pipeline L.P.; Notice of Tariff Filing

February 2, 2006.
    Take notice that on January 30, 2006, Vector Pipeline L.P.
(Vector), tendered for filing as part of its FERC Gas Tariff, Original
Volume No. 1, the tariff sheets listed on Appendix A to the filing,
with an effective date of March 1, 2006.
    Vector states that the filing is being made for the purpose of
making minor changes to various tariff sheets and revising the terms of
its Web Site Access Agreement.
    Any person desiring to intervene or to protest this filing must
file in accordance with Rules 211 and 214 of the Commission's Rules of
Practice and Procedure (18 CFR 385.211 and 385.214). Protests will be
considered by the Commission in determining the appropriate action to
be taken, but will not serve to make protestants parties to the
proceeding. Any person wishing to become a party must file a notice of
intervention or motion to intervene, as appropriate. Such notices,
motions, or protests must be filed in accordance with the provisions of
Sec.  154.210 of the Commission's regulations (18 CFR 154.210). Anyone
filing an intervention or protest must serve a copy of that document on
the Applicant. Anyone filing an intervention or protest on or before
the intervention or protest date need not serve motions to intervene or
protests on persons other than the Applicant.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper using the ``eFiling'' link at http://www.ferc.gov.
 Persons unable to file electronically should submit an

original and 14 copies of the protest or intervention to the Federal
Energy Regulatory Commission, 888 First Street, NE., Washington, DC
20426.
    This filing is accessible online at http://www.ferc.gov, using the

``eLibrary'' link and is available for review in the Commission's
Public Reference Room in Washington, DC.

 There is an ``eSubscription'' link on the Web site that enables
subscribers to receive e-mail notification when a document is added to
a subscribed docket(s). For assistance with any FERC Online service,
please e-mail<EMAIL_ADDRESS>or call<PHONE_NUMBER> (toll
free). For TTY, call<PHONE_NUMBER>.

Magalie R. Salas,
Secretary.
[FR Doc. E6-1704 Filed 2-7-06; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 81, Number 48 (Friday, March 11, 2016)]
[Notices]
[Page 13025]
[FR Doc No: 2016-05532]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

[Policy Statement No. PS-ANM100-1986-00051]

Policy Regarding Use of H-11 Bolts in Primary Structure on
Transport Airplanes

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of cancellation of policy statement.

-----------------------------------------------------------------------

SUMMARY: The Federal Aviation Administration (FAA) announces the
cancellation of Policy Statement Number PS-ANM100-1986-00051. The
policy statement is cancelled because it was superseded by an advisory
circular (AC) and is no longer necessary.

DATES: This policy statement is cancelled on March 11, 2016.

FOR FURTHER INFORMATION CONTACT: Ian Won, Federal Aviation
Administration, Transport Airplane Directorate, Transport Standards
Staff, Airframe and Cabin Safety Branch, 1601 Lind Avenue SW., Renton,
WA 98057-3356; telephone<PHONE_NUMBER>; fax<PHONE_NUMBER>; email:
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Background

    On May 16, 1986, the Manager, Transport Airplane Directorate,
Aircraft Certification Service, issued Policy Statement Number PS-
ANM100-1986-00051, Policy Regarding Use of H-11 Bolts in Primary
Structure on Transport Airplanes. This policy statement addressed the
adverse service history on H-11 bolts used in primary structure.
    The FAA issued AC 20-127, Use of Society of Automotive Engineers
(SAE) Class H11 Bolts, on July 8, 1987. The AC incorporates the same
guidance as the older policy statement. The FAA should have cancelled
the policy when they issued the AC but overlooked it.

Cancellation of Policy Statement

    As a result of the issuance of AC 20-127, Policy Statement Number
PS-ANM100-1986-00051 is no longer in effect and is herewith cancelled.

    Issued in Renton, Washington, on March 1, 2016.
Michael Kaszycki,
Acting Manager, Transport Airplane Directorate, Aircraft Certification
Service, ANM-100.
[FR Doc. 2016-05532 Filed 3-10-16; 8:45 am]
 BILLING CODE 4910-13-P


Ethephon Human Volunteer Studies The EPA Human Studies Review Board Meeting Rosslyn, VA 4 6 April, 2006 Dr. Neil Carmichael Global Head of Toxicology Bayer CropScience 6 April 2006 2 BCS Position on Human Volunteer Studies with Ethephon   These two studies date from another ( pre GLP era, 1970' s)

  BCS agrees there is no evidence that they are unethical   There is no institutional memory of these studies and archives are not traceable   The data are not consistent between the two studies.

  BCS can not defend the scientific robustness of the studies   BCS defers to EPA in the use of these studies


[Federal Register: November 9, 2009 (Volume 74, Number 215)]
[Notices]
[Page 57685-57686]
[DOCID:fr09no09-66]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2008-D-0233]

Guidance for Industry: Use of Nucleic Acid Tests to Reduce the
Risk of Transmission of West Nile Virus from Donors of Whole Blood and
Blood Components Intended for Transfusion; Availability

AGENCY:  Food and Drug Administration, HHS.

ACTION:  Notice.

-----------------------------------------------------------------------

SUMMARY:  The Food and Drug Administration (FDA) is announcing the
availability of a document entitled ``Guidance for Industry: Use of
Nucleic Acid Tests to Reduce the Risk of Transmission of West Nile
Virus from Donors of Whole Blood and Blood Components Intended for
Transfusion,'' dated November 2009. This guidance is intended for
establishments that collect Whole Blood and blood components intended
for transfusion. The document provides recommendations for testing of
donations of Whole Blood and blood components for West Nile Virus (WNV)
using an FDA-licensed donor screening assay. FDA believes that the use
of a licensed nucleic acid test (NAT) will reduce the risk of
transmission of WNV, and therefore recommends use of a licensed NAT to
screen donors of Whole Blood and blood components intended for
transfusion. The guidance announced in this notice finalizes the
recommendations as to Whole Blood and blood components contained in the
draft guidance ``Guidance for Industry: Use of Nucleic Acid Tests to
Reduce the Risk of Transmission of West Nile Virus from Donors of Whole
Blood and Blood Components Intended for Transfusion and Donors of Human
Cells, Tissues, and Cellular and Tissue-Based Products (HCT/Ps),''
dated April 2008. The recommendations as to HCT/P donor specimens
contained in the draft guidance are not being finalized at this time
because FDA believes additional public discussion is warranted.

DATES:  Submit electronic or written comments on agency guidances at
any time.

ADDRESSES:  Submit written requests for single copies of the guidance
to the Office of Communication, Outreach and Development (HFM-40),
Center for Biologics Evaluation and Research (CBER), Food and Drug
Administration, 1401 Rockville Pike, suite 200N, Rockville, MD 20852-
1448. Send one self-addressed adhesive label to assist the office in
processing your requests. The guidance may also be obtained by mail by
calling CBER at 1-800-835-4709 or<PHONE_NUMBER>. See the SUPPLEMENTARY
INFORMATION section for electronic access to the guidance document.
    Submit electronic comments on the guidance to http://
www.regulations.gov. Submit written comments on the guidance to the
Division of Dockets Management (HFA-305), Food and Drug Administration,
5630 Fishers Lane, rm. 1061, Rockville, MD 20852.

FOR FURTHER INFORMATION CONTACT: Denise S[aacute]nchez, Center for
Biologics Evaluation and Research (HFM-17), Food and Drug
Administration, 1401 Rockville Pike, suite 200N, Rockville, MD 20852-
1448,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

I. Background

    FDA is announcing the availability of a document entitled
``Guidance for Industry: Use of Nucleic Acid Tests to Reduce the Risk
of Transmission of West Nile Virus from Donors of Whole Blood and Blood
Components Intended for Transfusion,'' dated November 2009. The
guidance document provides

recommendations for testing donations of Whole Blood and blood
components for WNV using an FDA-licensed donor screening assay. The
recommendations in section III of the guidance apply to all donations
of Whole Blood (as defined in 21 CFR 640.1) and blood components for
transfusion.
    In the Federal Register of April 28, 2008 (73 FR 22958), FDA
announced the availability of the draft guidance ``Guidance for
Industry: Use of Nucleic Acid Tests to Reduce the Risk of Transmission
of West Nile Virus from Donors of Whole Blood and Blood Components
Intended for Transfusion and Donors of Human Cells, Tissues, and
Cellular and Tissue-Based Products (HCT/Ps),'' dated April 2008. The
draft guidance provided recommendations for testing donations of Whole
Blood and blood components and HCT/P donor specimens for WNV using an
FDA-licensed donor screening assay. FDA requested that comments on this
draft guidance be submitted within 90 days of publication. The 90-day
comment period ended on July 28, 2008. In addition, in the Federal
Register of July 7, 2008 (73 FR 38460), FDA requested the submission of
data from the 2008 WNV season relating to the criteria for converting
from minipool NAT (MP-NAT) to individual donation NAT (ID-NAT) by
January 31, 2009, and stated that we did not intend to finalize the
proposed recommendations on conversion from MP-NAT to ID-NAT until we
had obtained the additional data. At this time, there is insufficient
data to recommend uniform threshold criteria for switching from MP-NAT
screening to ID-NAT screening. Until we have sufficient data to support
the development of suitable uniform threshold criteria, we consider it
appropriate for each blood establishment to define its own threshold
criteria for switching from MP-NAT to ID-NAT screening and for
reverting to MP-NAT screening.
    Additionally, at this time, FDA is continuing to review public
comment on our recommendations for testing HCT/P donor specimens for
WNV. We believe additional public discussion is warranted. Therefore,
we are not finalizing our recommendations for HCT/Ps in this guidance.
We intend to seek additional public input and to issue guidance for
testing HCT/P donor specimens for WNV in the future.
    FDA received numerous comments on the draft guidance and those
comments were considered in finalizing the guidance. A summary of
changes follows. The guidance announced in this notice: (1) Finalizes
only the recommendations as to testing donations of Whole Blood and
blood components intended for transfusion for WNV; (2) allows
establishments that collect Whole Blood and blood components intended
for transfusion flexibility to define their own threshold criteria for
switching from MP-NAT to ID-NAT screening; (3) recommends that
establishments that collect Whole Blood and blood components intended
for transfusion switch from MP-NAT to ID-NAT screening as soon as
feasible with 48 hours of reaching the threshold, instead of 24 hours;
(4) recommends that establishments notify a blood donor of his or her
deferral and counsel the donor following an ID-NAT reactive donation,
rather than after additional testing on the reactive index donation;
and (5) removes Table 2 (Recommendations on Additional Testing of Blood
and Blood Components).
    The guidance is being issued in conformance with FDA's good
guidance practices regulation (21 CFR 10.115). The guidance represents
FDA's current thinking on this topic. It does not create or confer any
rights for or on any person and does not operate to bind FDA or the
public. An alternative approach may be used if such approach satisfies
the requirements of the applicable statutes and regulations.

II. Paperwork Reduction Act of 1995

    This guidance refers to previously approved collections of
information found in FDA regulations. These collections of information
are subject to review by the Office of Management and Budget (OMB)
under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). The
collections of information in 21 CFR part 312 have been approved under
OMB control number 0910-0014; the collections of information in 21 CFR
601.12 have been approved under OMB control number 0910-0338; the
collections of information in 21 CFR 606.100 have been approved under
OMB control number 0910-0116; the collections of information in 21 CFR
606.122 have been approved under OMB control number 0910-0116; and the
collections of information in 21 CFR 630.6 have been approved under OMB
control number 0910-0116.

III. Comments

    Interested persons may, at any time, submit to the Division of
Dockets Management (see ADDRESSES) electronic or written comments
regarding the guidance. Submit a single copy of electronic comments or
two paper copies of any mailed comments, except that individuals may
submit one paper copy. Comments are to be identified with the docket
number found in brackets in the heading of this document. A copy of the
guidance and received comments are available for public examination in
the Division of Dockets Management between 9 a.m. and 4 p.m., Monday
through Friday.

IV. Electronic Access

    Persons with access to the Internet may obtain the guidance at
either http://www.fda.gov/BiologicsBloodVaccines/
GuidanceComplianceRegulatoryInformation/Guidances/default.htm or http:/
/www.regulations.gov.

    Dated: November 3, 2009.
David Horowitz,
Assistant Commissioner for Policy.
[FR Doc. E9-26870 Filed 11-6-09; 8:45 am]

BILLING CODE 4160-01-S


[Federal Register Volume 83, Number 199 (Monday, October 15, 2018)]
[Notices]
[Pages 51987-51988]
[FR Doc No: 2018-22288]

=======================================================================
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SECURITIES AND EXCHANGE COMMISSION

Submission for OMB Review; Comment Request

Upon Written Request Copies Available From: Securities and Exchange
Commission, Office of FOIA Services, 100 F Street NE, Washington, DC
20549-2736

Extension:
    Form 11-K; SEC File No. 270-101, OMB Control No. 3235-0082

    Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') has submitted to the Office of Management
and Budget this request for extension of the previously approved
collection of information discussed below.
    Form 11-K (17 CFR 249.311) is the annual report designed for use by
employee stock purchase, savings and similar plans to comply with the
reporting requirements under Section 15(d) of the Securities and
Exchange Act of 1934 (the ``Exchange Act'') (15 U.S.C. 78o(d)). Section
15(d) establishes a periodic reporting obligation for every issuer of
securities registered under the Securities Act of 1933 (the
``Securities Act'') (15 U.S.C. 77a et seq.). Form 11-K provides
employees of an issuer with financial information so that they can
assess the performance of the stock plan or investment vehicle. The
information collected must be filed with the Commission and is publicly
available. Form 11-K takes approximately 30 hours per response and is
filed by 1,302 respondents for total of 39,060 burden hours (30 hours
per response x 1,302 responses).
    An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid control number.
    The public may view the background documentation for this
information collection at the following website, www.reginfo.gov .
Comments should be directed to: (i) Desk Officer for the Securities and
Exchange Commission, Office of Information and Regulatory Affairs,
Office of Management and Budget, Room 10102, New Executive Office
Building, Washington, DC 20503,

or by sending an email to: [email protected]; and (ii)
Charles Riddle, Acting Director/Chief Information Officer, Securities
and Exchange Commission, c/o Candace Kenner, 100 F Street NE,
Washington, DC 20549 or send an email to: [email protected]. Comments
must be submitted to OMB within 30 days of this notice.

    Dated: October 9, 2018.
Eduardo A. Aleman,
Assistant Secretary.
[FR Doc. 2018-22288 Filed 10-12-18; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 82, Number 207 (Friday, October 27, 2017)]
[Notices]
[Pages 49914-49918]
[FR Doc No: 2017-23375]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-81922; File No. SR-IEX-2017-37]

Self-Regulatory Organizations; Investors Exchange LLC; Notice of
Filing and Immediate Effectiveness of Proposed Rule Change To Amend
Rule 11.152 To Add Provisions Related to Market Maker Withdrawals of
Quotations in Securities Listed on the Investors Exchange

October 23, 2017.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that, on October 19, 2017, the Investors Exchange LLC (``IEX'' or
the ``Exchange'') filed with the Securities and Exchange Commission
(the ``Commission'') the proposed rule change as described in Items I
and II below, which Items have been prepared by the self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------

I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    Pursuant to the provisions of Section 19(b)(1) under the Securities
Exchange Act of 1934 (``Act''),\4\ and Rule 19b-4 thereunder,\5\
Investors Exchange LLC (``IEX'' or ``Exchange'') is filing with the
Commission a proposed rule change to amend Rule 11.152 to add
provisions related to Market Maker withdrawals of quotations in
securities listed on IEX, remove an incorrect cross reference in
paragraph (c), and to correct a typographical error in a cross-
reference in paragraph (d). The Exchange has designated this proposal
as ``non-controversial'' and provided the Commission with the notice
required by Rule 19b-4(f)(6)(iii) under the Act.\6\ The text of the
proposed rule change is available at the Exchange's Web site at
www.iextrading.com, at the principal office of the Exchange, and at the
Commission's Public Reference Room.
---------------------------------------------------------------------------

    \4\ 15 U.S.C. 78s(b)(1).
    \5\ 17 CFR 240.19b-4.
    \6\ 17 CFR 240.19b-4(f)(6)(iii).
---------------------------------------------------------------------------

II. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

    In its filing with the Commission, the self-regulatory organization
included

statements concerning the purpose of and basis for the proposed rule
change and discussed any comments it received on the proposed rule
change. The text of these statement [sic] may be examined at the places
specified in Item IV below. The self-regulatory organization has
prepared summaries, set forth in Sections A, B, and C below, of the
most significant aspects of such statements.

A. Self-Regulatory Organization's Statement of the Purpose of, and the
Statutory Basis for, the Proposed Rule Change

1. Purpose
Background
    On June 17, 2016, the Commission granted IEX's application for
registration as a national securities exchange under Section 6 of the
Act including approval of rules applicable to the qualification,
listing and delisting of companies on the Exchange. The Exchange plans
to begin a listing program in the fourth quarter of 2017 and is
proposing to amend Rule 11.152 to add provisions related to Market
Maker withdrawals of quotations in securities listed on IEX.
    IEX Rules 11.150 through 11.154 contain provisions applicable to
IEX Market Makers, including registration, quotation obligations,
withdrawal of quotations, voluntary termination of registration, and
suspension and termination of quotations. Pursuant to Rule 11.151 a
Member registered as a Market Maker is required to maintain a two-sided
quotation within the designated percentage of the National Best Bid
(``NBB'') and National Best Offer (``NBO''),\7\ as appropriate.
---------------------------------------------------------------------------

    \7\ As defined by Regulation NMS Rule 600(b)(42). 17 CFR
242.600.
---------------------------------------------------------------------------

    IEX Rule 11.152 governs the requirements for a Market Maker to
obtain excused withdrawal status thereby temporarily suspending its
obligation to comply with the two-sided quotation obligation of Rule
11.151. Specifically, Rule 11.152 provides the ability for a Market
Maker to obtain excused withdrawal status under the following
circumstances:
     Systemic equipment problems--An IEX Market Maker that
wishes to obtain excused withdrawal status based on a market maker's
systemic equipment problems, such as defects in an IEX Market Maker's
software or hardware systems or connectivity problems associated with
the circuits connecting Exchange systems with the IEX Market Maker's
systems, shall contact IEX Market Operations. IEX Market Operations may
grant excused withdrawal status based on systemic equipment problems
for up to five (5) business days, unless extended by IEX Market
Operations.
     For securities listed on exchanges other than IEX--An IEX
Market Maker that wishes to withdraw quotations shall contact IEX
Regulation to obtain excused withdrawal status prior to withdrawing its
quotations. Excused withdrawal status based on illness, vacations or
physical circumstances beyond the Market Maker's control may be granted
for up to five (5) business days, unless extended by IEX Regulation.
Excused withdrawal status based on investment activity or advice of
legal counsel, accompanied by a representation that the condition
necessitating the withdrawal of quotations is not permanent in nature,
may, upon written request, be granted for not more than sixty (60)
days. The withdrawal of quotations because of pending news, a sudden
influx of orders or price changes, or to effect transactions with
competitors shall not normally constitute acceptable reasons for
granting excused withdrawal status, unless IEX has initiated a trading
halt for Market Makers in the security, pursuant to IEX Rule 11.280.\8\
---------------------------------------------------------------------------

    \8\ Note, as described further below, the Exchange proposes to
delete the final clause of this provision, which provides an
exception for a trading halt initiated for Market Makers pursuant to
IEX Rule 11.280. IEX Rule 11.280 (Limit Up-Limit Down Plan and
Trading Halts), does not include a provision regarding a halt for
Market Makers, and thus the cross-reference has no practical effect.
---------------------------------------------------------------------------

     Failure to maintain a clearing arrangement--Excused
withdrawal status may be granted to an IEX Market Maker that fails to
maintain a clearing arrangement with a registered clearing agency or
with a Member of such an agency and is withdrawn from participation in
the trade reporting service of the Exchange, thereby terminating its
registration as an IEX Market Maker.\9\
---------------------------------------------------------------------------

    \9\ However, if IEX finds that the IEX Market Maker's failure to
maintain a clearing arrangement is voluntary, the withdrawal of
quotations will be considered voluntary and unexcused.
---------------------------------------------------------------------------

    Other than for systemic equipment problems, a Market Maker that
wishes to withdraw quotations in a security shall contact IEX
Regulation to obtain excused withdrawal status prior to withdrawing its
quotations. Withdrawals of quotations shall be granted by IEX
Regulation only upon satisfying one of the conditions specified in Rule
11.152, as described above.
Proposed Rule Change
    IEX proposes to amend paragraph (c) of Rule 11.152 to add
provisions for a Market Maker to obtain excused withdrawal status for
securities listed on IEX. As proposed, a Market Maker in a security
listed on IEX may obtain excused withdrawal status, thereby temporarily
suspending its obligation to comply with the two-sided quotation
obligation of Rule 11.151, under the following circumstances:
     Circumstances beyond the Market Maker's control--Excused
withdrawal status based on circumstances beyond the IEX Market Maker's
control,\10\ other than systemic equipment problems, may be granted for
up to five (5) business days, unless extended by IEX Regulation.
---------------------------------------------------------------------------

    \10\ Such circumstances would include, without limitation,
unpredictable events such as jury duty, bomb threats or other
physical security issues, the birth of a child, or sudden illness.
---------------------------------------------------------------------------

     Legal or regulatory requirements--Excused withdrawal
status based on demonstrated legal or regulatory requirements,\11\
supported by appropriate documentation and accompanied by a
representation that the condition necessitating the withdrawal of
quotations is not permanent in nature, may, upon notification, be
granted for not more than sixty (60) days (unless such request is
required to be made pursuant to proposed amendments to paragraph (e)
related to the Member that operates the Market Maker acting as a
manager, distribution participant or affiliated purchaser of a
distribution in the security for which it seeks excused withdrawal
status).
---------------------------------------------------------------------------

    \11\ Such requirements would include, for example, possession of
material nonpublic information regarding the security in question
for which the Market Maker is seeking excused withdrawal status.
---------------------------------------------------------------------------

     Religious holidays--Excused withdrawal status based on
religious holidays may be granted only if written notice is received by
IEX one business day in advance and is approved by IEX.
     Vacation--Excused withdrawal status based on vacation may
be granted only if: (A) The written request for withdrawal is received
by IEX one business day in advance, and is approved by IEX; (B) The
request includes a list of securities for which withdrawal is
requested; and (C) The request is made by an IEX Market Maker that
meets the definition of a ``Small Firm Member'' pursuant to Definition
Y of the FINRA Restated Certification of Incorporation, even if the IEX
Market Maker is not a FINRA member.\12\
---------------------------------------------------------------------------

    \12\ In the event that FINRA's definition of a ``Small Firm
Member'' is changed, IEX will file a rule change to address any such
change in proposed Rule 11.152(c)(1)(C).
---------------------------------------------------------------------------

    As proposed, the withdrawal of quotations because of pending news,
a sudden influx of orders or price

changes, or to effect transactions with competitors shall not
constitute acceptable reasons for granting excused withdrawal status.
    The Exchange also proposes to amend paragraph (e) of Rule 11.152,
which is currently reserved, to add provisions to provide that excused
withdrawal status may be granted to an IEX Market Maker that is a
distribution participant or an affiliated purchaser in order to comply
with SEC Rule 101 or 104 under the Act. As proposed, such excused
withdrawal status may be granted under the following conditions:
     Subparagraph (e)(1) of Rule 11.152 provides that a member
acting as a manager (or in a similar capacity) of a distribution of a
security that is a subject security or reference security under SEC
Rule 101 and any member that is a distribution participant or an
affiliated purchaser in such a distribution that does not have a
manager shall provide written notice to IEX Regulation and the Market
Regulation Department of FINRA no later than the business day prior to
the first entire trading session of the one-day or five-day restricted
period under SEC Rule 101, unless later notification is necessary under
the specific circumstances.
    [cir] The notice required by subparagraph (e)(1) shall be provided
by submitting a completed Underwriting Activity Report that includes a
request on behalf of each IEX Market Maker that is a distribution
participant or an affiliated purchaser to withdraw the IEX Market
Maker's quotations and includes the contemplated date and time of the
commencement of the restricted period.
    [cir] The managing underwriter shall advise each IEX Market Maker
that it has been identified as a distribution participant or an
affiliated purchaser to IEX Regulation and that its quotations will be
automatically withdrawn, unless a market maker that is a distribution
participant (or an affiliated purchaser of a distribution participant)
notifies IEX Regulation as required by subparagraph (e)(2) of Rule
11.152 of its intention not to participate in the prospective
distribution in order to avoid having its quotations withdrawn.
Further, subparagraph (e)(3) provides that if an IEX Market Maker that
is a distribution participant withdraws its quotations in an IEX-listed
security in order to comply with any provision of SEC Rules 101 or 104
and promptly notifies IEX Regulation of its action, the withdrawal
shall be deemed an excused withdrawal. In addition, subparagraph (e)(3)
provides that nothing in the subparagraph shall prohibit IEX from
taking such action as is necessary under the circumstances against a
Member and its associated persons for failure to contact IEX Regulation
to obtain an excused withdrawal as required by subparagraphs (a) and
(e) of Rule 11.152.
    [cir] Subparagraph (e)(5) of Rule 11.152 provides that a member
acting as a manager (or in a similar capacity of a distribution subject
to subparagraph (e)(1)) of Rule 11.152 shall submit a request on the
Underwriting Activity Report to IEX Regulation and the Market
Regulation Department of FINRA to rescind the excused withdrawal status
of distribution participants and affiliated purchasers, which request
shall include the date and time of the pricing of the offering, the
offering price, and the time the offering terminated, and, if not in
writing, shall be confirmed in writing no later than the close of
business the day the offering terminates.
    As noted above, the Exchange proposes to delete the final clause of
the final sentence in Rule 11.152(c) (described above), which states
that the withdrawal of quotations because of pending news, a sudden
influx of orders or price changes, or to effect transactions with
competitors shall not normally constitute acceptable reasons for
granting excused withdrawal status, but provides an exception for a
trading halt initiated for Market Makers pursuant to IEX Rule 11.280.
IEX Rule 11.280 (Limit Up-Limit Down Plan and Trading Halts), does not
include a provision granting the Exchange authority to halt trading for
Market Makers, and thus the cross-reference has no practical
effect.\13\ The Exchange further proposes to make a conforming change
to the preceding clause of the final sentence in Rule 11.152(c), to
remove the qualifying term ``normally'' with regard to the
circumstances that will not constitute acceptable reasons for granting
excused withdrawal status, because such qualification is no longer
necessary or applicable after the Exchange removed the exception for a
trading halt initiated for Market Makers, as described above. The
proposed deletion is designed to avoid any potential confusion amongst
market makers regarding the reasons the Exchange would find acceptable
for granting excused withdrawal status, and make the Exchanges rules
more clear, concise, and accurate. Moreover, pursuant to Rule
11.151(a)(2), in the event a security is subject to a trading halt, the
Market Maker's pricing obligations are suspended, and do not re-
commence until after the first regular way transaction on the primary
listing market in the security following such halt, as reported by the
responsible single plan processor.
---------------------------------------------------------------------------

    \13\ The Exchange notes that this provision was inadvertently
included in the Exchange's original rule set, and is substantially
similar to Nasdaq Rule 4619(c)(2), which provides an identical
exception for a trading halt initiated for Nasdaq market makers
pursuant to Nasdaq Rule 4120.
---------------------------------------------------------------------------

    Finally, IEX proposes to correct a typographical [sic] in a cross-
reference in paragraph (d) of Rule 11.152. As described above,
paragraph (d) provides that excused withdrawal status may be granted to
an IEX Market Maker that fails to maintain a clearing arrangement with
a registered clearing agency or with a Member of such an agency and is
withdrawn from participation in the trade reporting service of the
Exchange, thereby terminating its registration as an IEX Market Maker.
Paragraph (d) also provides that if IEX finds that the Market Maker's
failure to maintain a clearance arrangement is voluntary, the
withdrawal of quotations will be considered voluntary and unexcused
pursuant to Rule 2.190. However, the reference to Rule 2.190 is
incorrect and should instead reference Rule 11.153 which provides that
a Market Maker may voluntarily terminate its registration in a security
by withdrawing its two-sided quotation from the Exchange, and also
describes the timeframes for registration after such a termination,
including in the case of failure to maintain a clearance arrangement.
Rule 2.190 governs voluntary termination of rights as a Member, which
is not relevant to the provisions of paragraph (d), which relate to
treating a voluntary failure to maintain a clearance arrangement as a
voluntary termination of Market Maker registration. Accordingly, the
Exchange proposes to correct this typographical error.
    As proposed, the amendments to IEX Rule 11.152 would substantially
conform the Rule to Nasdaq Stock Market LLC (``Nasdaq'') Rule 4619,
with minor nonsubstantive differences in terminology. Further, the
proposed changes to IEX Rule 11.152(e) do not include provisions for
passive market making pursuant to Rule 103 of Regulation M, which only
applies to Nasdaq registered market makers.\14\
---------------------------------------------------------------------------

    \14\ 17 CFR 242.103.
---------------------------------------------------------------------------

2. Statutory Basis
    IEX believes that the proposed rule change is consistent with the
provisions of Section 6 of the Act \15\ in general, and furthers the
objectives of Section 6(b)(5) \16\ of the Act in particular, in that

it is designed to prevent fraudulent and manipulative acts and
practices, to promote just and equitable principles of trade, to remove
impediments to and perfect the mechanism of a free and open market and
a national market system, and, in general, to protect investors and the
public interest. The Exchange believes that the proposed rule change
supports these objectives because it is designed to provide
appropriate, objective and transparent criteria for an IEX Market Maker
in securities listed on IEX to withdraw its quotations and obtain
excused withdrawal status. The Exchange further believes that the
proposed rule change is consistent with the protection of investors and
the public interest because the criteria to obtain excused withdrawal
status accommodate legitimate issues that may be periodically
encountered by IEX Market Makers that warrant an excused withdrawal,
and are not designed to enable IEX Market Makers to avoid or circumvent
their market making obligations through inappropriate excused
withdrawals. The proposed changes to IEX Rule 11.152 are substantially
similar to existing provisions of Nasdaq Rule 4619, subject to several
minor differences described below. Thus, the Exchange does not believe
that this rule change raises any new or novel issues not already
considered by the Commission. Further, the Exchange believes that the
proposed rule change is reasonable, equitable, and not unfairly
discriminatory because all IEX Market Makers will be subject to the
same requirements for excused withdrawals in securities listed on IEX.
---------------------------------------------------------------------------

    \15\ 15 U.S.C. 78f.
    \16\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    Specifically, the Exchange believes that it is consistent with the
protection of investors and the public interest to allow a Market Maker
to obtain excused withdrawal status based on circumstances outside the
Market Maker's control for up to five business days, unless extended by
IEX Regulation, to provide appropriate accommodation for unpredictable
events such as jury duty, bomb threats or other physical security
issues, the birth of a child, or sudden illness. While the Exchange
anticipates that Market Makers will utilize automated algorithms and
other systemic tools to comply with the applicable quoting
requirements, such systemic tools nonetheless must be overseen by one
or more individuals who may experience unpredictable events that
require time off. The Exchange believes that the permitted time period
of up to five business days, unless extended, is reasonable and
comports with the length of time that unpredictable events generally
last. The proposed amendments to Rule 11.152(c) in this regard are
substantially identical to Nasdaq Rule 4619 (c) except for
nonsubstantive terminology differences to refer to IEX rather than
Nasdaq.
    The Exchange additionally believes that it is consistent with the
protection of investors and the public interest to allow a Market Maker
to obtain excused withdrawal status based on demonstrated legal or
regulatory requirements, for not more than 60 days, as described in the
Purpose section to provide appropriate relief when a Market Maker is
prohibited from trading in a particular security, such as if a Market
Maker is in possession of material nonpublic information regarding a
security in which it is registered. The Exchange believes that 60 days
is a reasonable amount of time for the legal or regulatory requirement
to be resolved, and that if it persists beyond that time period it
would be appropriate for the Market Maker to terminate its registration
in the security in question. The proposed amendments to Rule 11.152(c)
in this regard are substantially identical to Nasdaq Rule 4619(c)
except for nonsubstantive terminology differences to refer to IEX
rather than Nasdaq.
    The Exchange also believes that it is consistent with the
protection of investors and the public interest to allow a Market Maker
to obtain excused withdrawal status based on religious holidays to
provide for such observances by the individual(s) overseeing Market
Maker systemic tools in the case of religious holidays when IEX is
open. The proposed amendments to Rule 11.152(c) in this regard are
substantially identical to Nasdaq Rule 4619(c) except for
nonsubstantive terminology differences to refer to IEX rather than
Nasdaq.
    The Exchange further believes that it is consistent with the
protection of investors and the public interest to allow a Market Maker
to obtain excused withdrawal status based on vacation, but to limit
such excused withdrawals to the circumstances described in the Purpose
section, including that the Market Maker meets the definition of a
FINRA Small Firm Member, even if the IEX Market Maker is not a FINRA
member. The Exchange believes that Market Makers should generally be
able to manage staff vacations so that it can oversee its market making
activity, but recognizes that smaller firms may not have adequate staff
in this regard. The Exchange notes that Nasdaq Rule 4619 provides
similar relief for vacations, but limits such relief to a market maker
with three or fewer Nasdaq level 3 terminals, which it believes is
designed to similarly identify smaller firms. Since IEX Market Makers
will not use Nasdaq terminals to connect to IEX, the Exchange believes
that reference to the FINRA definition of a Small Member Firm is an
appropriate alternative measure to account for smaller firms that serve
as IEX Market Makers. Other than this difference, the proposed
amendments to Rule 11.152(c) in this regard are substantially identical
to Nasdaq Rule 4619(c) except for nonsubstantive terminology
differences to refer to IEX rather than Nasdaq.
    Further, the Exchange believes that it is consistent with the
protection of investors and the public interest to allow a Market Maker
to obtain excused withdrawal status in order to comply with SEC Rule
101 or 104 under the Act on the conditions described in the Purpose
section. The Exchange notes that Rules 101 and 104 are part of
Regulation M, which governs the activities of underwriters, issuers,
selling security holders, and others in connection with offerings of
securities, and is intended to preclude manipulative conduct by persons
with an interest in the outcome of an offering.\17\ The proposed
amendments to IEX Rule 11.152(e) are designed to facilitate IEX Market
Makers' compliance with SEC Rules 101 and 104 and support the
objectives of Regulation M generally. The proposed changes to IEX Rule
11.152(e) in this regard are substantially identical to Nasdaq Rule
4619(e) except that they do not include provisions for passive market
making pursuant to Rule 103 of Regulation M, which only applies to
Nasdaq registered market makers, as discussed in the Purpose section.
---------------------------------------------------------------------------

    \17\ Securities Exchange Act Release No. 34-38067 (January 3,
1997), 62 FR 520 (File No. S7-11-96).
---------------------------------------------------------------------------

    In addition, the Exchange believes that it is consistent with the
Act to delete the final clause of Rule 11.152(c), as well as the
related qualifying language in the preceding clause, because the
proposed deletion is designed to avoid any potential confusion amongst
market makers regarding the reasons the Exchange would find acceptable
for granting excused withdrawal status, and make the Exchanges rules
more clear, concise, and accurate.
    Finally, the Exchange believes that it is consistent with the Act
to correct the cross-reference typographical error in paragraph (d) of
Rule 11.152 to promote clarity and consistency among market
participants thereby facilitating investor protection and the public
interest. The

corrected cross-reference is substantially identical to the cross
reference in Nasdaq Rule 4619(d) to Nasdaq Rule 4620, which in turn is
substantially identical to IEX Rule 11.153.

B. Self-Regulatory Organization's Statement on Burden on Competition

    IEX does not believe that the proposed rule change will result in
any burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Act. The proposed rule change is
designed to provide appropriate, objective and transparent criteria for
Market Maker excused withdrawals in securities listed on IEX. The
Exchange does not believe that the proposed rule change will result in
any burden on intramarket competition because all Market Makers will be
subject to the same criteria. The Exchange also does not believe that
the proposed rule change will result in any burden on intermarket
competition, since Nasdaq has substantially similar criteria for
excused withdrawals and other exchanges are free to adopt comparable
criteria. The Exchange also believes that the proposed rule change will
serve to promote clarity and consistency, as noted in the Statutory
Basis section, thereby reducing burdens on competition and facilitating
investor protection.

C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others

    Written comments were neither solicited nor received.

III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action

    Because the proposed rule change does not (i) significantly affect
the protection of investors or the public interest; (ii) impose any
significant burden on competition; and (iii) become operative for 30
days from the date on which it was filed, or such shorter time as the
Commission may designate if consistent with the protection of investors
and the public interest, the proposed rule change has become effective
pursuant to Section 19(b)(3)(A) of the Act \18\ and Rule 19b-4(f)(6)
thereunder.\19\
---------------------------------------------------------------------------

    \18\ 15 U.S.C. 78s(b)(3)(A).
    \19\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires the Exchange to give the Commission written notice of the
Exchange's intent to file the proposed rule change, along with a
brief description and text of the proposed rule change, at least
five business days prior to the date of filing of the proposed rule
change, or such shorter time as designated by the Commission. The
Exchange has satisfied this requirement.
---------------------------------------------------------------------------

    A proposed rule change filed under Rule 19b-4(f)(6) \20\ normally
does not become operative for 30 days after the date of filing.
However, pursuant to Rule 19b-4(f)(6)(iii),\21\ the Commission may
designate a shorter time if such action is consistent with the
protection of investors and the public interest. The Exchange has asked
the Commission to waive the 30-day operative delay so that the proposal
may become operative immediately upon filing. The Commission believes
that waiver of the operative delay is consistent with the protection of
investors and the public interest because the Exchange's proposed rule
change will conform IEX's rules to a substantially similar provision in
the rules of Nasdaq, and the Exchange's proposal does not raise any new
or novel issues. Accordingly, the Commission hereby waives the 30-day
operative delay requirement and designates the proposed rule change as
operative upon filing.\22\
---------------------------------------------------------------------------

    \20\ 17 CFR 240.19b-4(f)(6).
    \21\ 17 CFR 240.19b-4(f)(6)(iii).
    \22\ For purposes only of waiving the 30-day operative delay,
the Commission has also considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings to
determine whether the proposed rule should be approved or disapproved.

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views, and
arguments concerning the foregoing, including whether the proposed rule
change is consistent with the Act. Comments may be submitted by any of
the following methods:

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to [email protected]. Please include
File Number SR-IEX-2017-37 on the subject line.

Paper Comments

     Send paper comments in triplicate to Secretary, Securities
and Exchange Commission, 100 F Street NE., Washington, DC 20549-1090.

All submissions should refer to File Number SR-IEX-2017-37. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change 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 Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549, on official business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of the filing also will be available
for inspection and copying at the principal office of the Exchange. All
comments received will be posted without change. Persons submitting
comments are cautioned that we do not redact or edit personal
identifying information from comment submissions. You should submit
only information that you wish to make available publicly. All
submissions should refer to File Number SR-IEX-2017-37, and should be
submitted on or before November 17, 2017.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\23\
Eduardo A. Aleman,
Assistant Secretary.
---------------------------------------------------------------------------

    \23\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

[FR Doc. 2017-23375 Filed 10-26-17; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 85, Number 16 (Friday, January 24, 2020)]
[Notices]
[Page 4319]
[FR Doc No: 2020-01187]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER20-820-000]

Blythe Solar IV, LLC; Supplemental Notice That Initial Market-
Based Rate Filing Includes Request for Blanket Section 204
Authorization

    This is a supplemental notice in the above-referenced Blythe Solar
IV, LLC's application for market-based rate authority, with an
accompanying rate tariff, noting that such application includes a
request for blanket authorization, under 18 CFR part 34, of future
issuances of securities and assumptions of liability.
    Any person desiring to intervene or to protest should file with the
Federal Energy Regulatory Commission, 888 First Street NE, Washington,
DC 20426, in accordance with Rules 211 and 214 of the Commission's
Rules of Practice and Procedure (18 CFR 385.211 and 385.214). Anyone
filing a motion to intervene or protest must serve a copy of that
document on the Applicant.
    Notice is hereby given that the deadline for filing protests with
regard to the applicant's request for blanket authorization, under 18
CFR part 34, of future issuances of securities and assumptions of
liability, is February 6, 2020.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://www.ferc.gov. To facilitate electronic service, persons with internet
access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the
eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically should submit an original and
5 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First Street NE, Washington, DC 20426.
    The filings in the above-referenced proceeding are accessible in
the Commission's eLibrary system by clicking on the appropriate link in
the above list. They are also available for electronic review in the
Commission's Public Reference Room in Washington, DC. There is an
eSubscription link on the website that enables subscribers to receive
email notification when a document is added to a subscribed docket(s).
For assistance with any FERC Online service, please email
<EMAIL_ADDRESS>or call<PHONE_NUMBER> (toll free). For
TTY, call<PHONE_NUMBER>.

    Dated: January 17, 2020.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2020-01187 Filed 1-23-20; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register Volume 80, Number 59 (Friday, March 27, 2015)]
[Rules and Regulations]
[Pages 16281-16283]
[FR Doc No: 2015-07139]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket Number USCG-2015-0189]
RIN 1625-AA00

Safety Zone; Vessel Fire and Escort, Port of New York, NJ, NY

AGENCY: Coast Guard, DHS.

ACTION: Temporary final rule.

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SUMMARY: The Coast Guard is establishing a temporary safety zone on the
navigable waters of the Port of New York for the transit of the M/V
GREY SHARK. This action is necessary to provide for the safety of life
on navigable waters during the transit of the vessel in distress due to
a shipboard fire and ongoing damage control operations. Entering into,
transiting through, remaining, anchoring or mooring within this safety
zone is prohibited unless authorized by the Captain of the Port (COTP)
New York.

DATES: This rule is effective without actual notice from March 27, 2015
until April 1, 2015. For the purposes of enforcement, actual notice
will be used from the date the rule was signed, March 18, 2015 until
April 1, 2015.

ADDRESSES: Documents mentioned in this preamble are part of docket
[USCG-2015-0189]. To view documents mentioned in this preamble as being
available in the docket, go to http://www.regulations.gov, type the
docket number in the ``SEARCH'' box and click ``SEARCH.'' Click on Open
Docket Folder on the line associated with this rulemaking. You may also
visit the Docket Management Facility in Room W12-140 on the ground
floor of the Department of Transportation West Building, 1200 New
Jersey Avenue SE., Washington, DC 20590, between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays.

FOR FURTHER INFORMATION CONTACT: If you have questions on this rule,
contact LT Douglas Neumann, Waterways Management Division, Coast Guard
Sector New York,<PHONE_NUMBER><EMAIL_ADDRESS>If you
have questions on viewing or submitting material to the docket, call
Cheryl Collins, Program Manager, Docket Operations, telephone (202)
366-9826.

SUPPLEMENTARY INFORMATION:

Table of Acronyms

COTP Captain of the Port
DHS Department of Homeland Security
FR Federal Register

NPRM Notice of Proposed Rulemaking

A. Regulatory History and Information

    The Coast Guard is issuing this temporary final rule without prior
notice and opportunity to comment pursuant to authority under section
4(a) of the Administrative Procedure Act (APA) (5 U.S.C. 553(b)). This
provision authorizes an agency to issue a rule without prior notice and
opportunity to comment when the agency for good cause finds that those
procedures are ``impracticable, unnecessary, or contrary to the public
interest.'' Under 5 U.S.C. 553(b)(B), the Coast Guard finds that good
cause exists for not publishing a notice of proposed rulemaking (NPRM)
with respect to this rule because the safety zone is required for an
emergency response to escort the vessel into port after a shipboard
fire, for which the Coast Guard had no advance notice. Therefore
publishing an NPRM and taking public comments prior to issuing a rule
would be impracticable and contrary to the public interest.
    Under 5 U.S.C. 553(d)(3), the Coast Guard finds that good cause
exists for making this rule effective less than 30 days after
publication in the Federal Register. For the same reasons discussed in
the preceding paragraph, delaying the effective date of this rule would
be impracticable and contrary to the public interest.

B. Basis and Purpose

    The legal basis for this temporary rule is 33 U.S.C. 1231; 46
U.S.C. Chapter 701, 3306, 3703; 50 U.S.C. 191, 195; 33 CFR 1.05-1,
6.04-1, 6.04-6, and 160.5; Public Law 107-295, 116 Stat. 2064;
Department of Homeland Security Delegation No. 0170.1, which
collectively authorize the Coast Guard to define regulatory safety
zones.
    On March 17, 2015 U.S. Coast Guard Sector New York was made aware
that the M/V Grey Shark intended to enter the Port of New York after
suffering a shipboard fire and encountering rough weather. The M/V Grey
Shark was placed under tow and escorted by the Coast Guard Cutter
Seneca to Gravesend Bay Anchorage at the mouth of the Port of New York
until the vessel proceeds to its final destination to safely mitigate
the fire and ongoing damage control operations. After examination of
the facts by Coast Guard personnel, it was determined by the Captain of
the Port (COTP), Sector New York, that Coast Guard emergency response
was necessary to protect the public and environment from a potential
hazard to navigation.

C. Discussion of the Temporary Final Rule

    For the reasons discussed above, the COTP is establishing a
temporary safety zone of 150 yards around the M/V Grey Shark as the
vessel proceeds to its final destination to safely mitigate the fire
and ongoing damage control operations. No vessel may enter, transit,
moor, or anchor within safety zone during the period of enforcement
unless authorized by the COTP or designated representative. The COTP
will cause public notifications to be made by all appropriate means
including but not limited to Broadcast Notice to Mariners.

D. Regulatory Analyses

    We developed this rule after considering numerous statutes and
executive orders related to rulemaking. Below we summarize our analyses
based on these statutes and executive orders.

1. Regulatory Planning and Review

    This rule is not a significant regulatory action under section 3(f)
of Executive Order 12866, Regulatory Planning and Review, as
supplemented by Executive Order 13563, Improving Regulation and
Regulatory Review, and does not require an assessment of potential
costs and benefits under section 6(a)(3) of Executive Order 12866 or
under section 1 of Executive Order 13563. The Office of Management and
Budget has not reviewed it under those Orders.
    The Coast Guard determined that this rule is not a significant
regulatory action for the following reasons: The safety zone will be
relatively short in duration and covers only a small portion of the
navigable waterways. Furthermore, vessels may transit the navigable
waterway outside of the safety zone. Moreover, vessels desiring entry
into the safety zone may be authorized to do so by the COTP or a COTP's
designated representative. Advanced public notifications will also be
made to the local maritime community by Broadcast Notice to Mariners.

2. Impact on Small Entities

    The Regulatory Flexibility Act of 1980 (RFA), 5 U.S.C. 601-612, as
amended, requires federal agencies to consider the potential impact of
regulations on small entities during rulemaking. The term ``small
entities'' comprises small businesses, not-for-profit organizations
that are independently owned and operated and are not dominant in their
fields, and governmental jurisdictions with populations of less than
50,000. The Coast Guard certifies under 5 U.S.C. 605(b) that this rule
will not have a significant economic impact on a substantial number of
small entities.
    This rule would affect the following entities, some of which might
be small entities: The owners or operators of vessels intending to
transit or anchor in Gravesend Bay Anchorage.
    This safety zone would not have a significant economic impact on a
substantial number of small entities for the following reasons. This
safety zone would be activated, and thus subject to enforcement, for a
limited period of time. Vessel traffic could pass safely around the
safety zone.

3. Assistance for Small Entities

    Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Pub. L. 104-121), we want to assist small
entities in understanding this rule. If the rule would affect your
small business, organization, or governmental jurisdiction and you have
questions concerning its provisions or options for compliance, please
contact the person listed in the FOR FURTHER INFORMATION CONTACT,
above.
    Small businesses may send comments on the actions of Federal
employees who enforce, or otherwise determine compliance with, Federal
regulations to the Small Business and Agriculture Regulatory
Enforcement Ombudsman and the Regional Small Business Regulatory
Fairness Boards. The Ombudsman evaluates these actions annually and
rates each agency's responsiveness to small business. If you wish to
comment on actions by employees of the Coast Guard, call 1-888-REG-FAIR
(1-888-734-3247). The Coast Guard will not retaliate against small
entities that question or complain about this rule or any policy or
action of the Coast Guard.

4. Collection of Information

    This rule will not call for a new collection of information under
the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).

5. Federalism

    A rule has implications for federalism under Executive Order 13132,
Federalism, if it has a substantial direct effect on the States, on the
relationship between the national government and the States, or on the
distribution of power and responsibilities among the various levels of
government. We have analyzed this rule under that Order and determined
that this rule does not have implications for federalism.

6. Protest Activities

    The Coast Guard respects the First Amendment rights of protesters.
Protesters are asked to contact the person listed in the FOR FURTHER
INTFORMATION CONTACT section to coordinate protest activities so that
your message can be received without jeopardizing the safety or
security of people, places or vessels.

7. Unfunded Mandates Reform Act

    The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538)
requires Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, the Act addresses actions that may
result in the expenditure by a State, local, or tribal government, in
the aggregate, or by the private sector of $100,000,000 (adjusted for
inflation) or more in any one year. Though this rule will not result in
such an expenditure, we do discuss the effects of this rule elsewhere
in this preamble.

8. Taking of Private Property

    This rule will not cause a taking of private property or otherwise
have taking implications under Executive Order 12630, Governmental
Actions and Interference with Constitutionally Protected Property
Rights.

9. Civil Justice Reform

    This rule meets applicable standards in sections 3(a) and 3(b)(2)
of Executive Order 12988, Civil Justice Reform, to minimize litigation,
eliminate ambiguity, and reduce burden.

10. Protection of Children

    We have analyzed this rule under Executive Order 13045, Protection
of Children from Environmental Health Risks and Safety Risks. This rule
is not an economically significant rule and does not create an
environmental risk to health or risk to safety that may
disproportionately affect children.

11. Indian Tribal Governments

    This rule does not have tribal implications under Executive Order
13175, Consultation and Coordination with Indian Tribal Governments,
because it does not have a substantial direct effect on one or more
Indian tribes, on the relationship between the Federal Government and
Indian tribes, or on the distribution of power and responsibilities
between the Federal Government and Indian tribes.

12. Energy Effects

    This action is not a ``significant energy action'' under Executive
Order 13211, Actions Concerning Regulations That Significantly Affect
Energy Supply, Distribution, or Use.

13. Technical Standards

    This rule does not use technical standards. Therefore, we did not
consider the use of voluntary consensus standards.

14. Environment

    We have analyzed this rule under Department of Homeland Security
Management Directive 023-01 and Commandant Instruction M16475.lD, which
guide the Coast Guard in complying with the National Environmental
Policy Act of 1969 (NEPA)(42 U.S.C. 4321-4370f), and have determined
that this action is one of a category of actions that do not
individually or cumulatively have a significant effect on the human
environment. This rule involves the establishment of a safety zone.
This rule is categorically excluded from further review under paragraph
34(g) of Figure 2-1 of the Commandant Instruction. An environmental
analysis checklist supporting this determination and a Categorical
Exclusion Determination are available in the docket where indicated
under ADDRESSES. We seek any comments or information that may lead to
the discovery of a significant environmental impact from this rule.

List of Subjects in 33 CFR Part 165

    Harbors, Marine safety, Navigation (water), Reporting and
recordkeeping requirements, Security measures, Waterways.

    For the reasons discussed in the preamble, the Coast Guard amends
33 CFR part 165 as follows:

PART 165--REGULATED NAVIGATION AREAS AND LIMITED ACCESS AREAS

0
1. The authority citation for part 165 continues to read as follows:

    Authority:  33 U.S.C. 1231; 46 U.S.C. Chapter 701, 3306, 3703;
50 U.S.C. 191, 195; 33 CFR 1.05-1, 6.04-1, 6.04-6, and 160.5; Pub.
L. 107-295, 116 Stat. 2064; and Department of Homeland Security
Delegation No. 0170.1.

0
2. Add Sec.  165.T01-0189 to read as follows:

Sec.  165.T01-0189  Safety Zone; M/V Grey Shark, New York Harbor.

    (a) Location. The following area is a safety zone: 150 yards from
the M/V Grey Shark.
    (b) Effective and enforcement period. This rule will be effective
and enforced from 7:00 p.m. on March 17, 2015 to 11:59 p.m. on April 1,
2015.
    (c) Definitions. The following definitions apply to this section: A
``designated representative'' is any Coast Guard commissioned, warrant
or petty officer of the U.S. Coast Guard who has been designated by the
COTP, Sector New York, to act on his behalf. The designated
representative may be on an official patrol vessel or may be on shore
and will communicate with vessels via VHF-FM radio or loudhailer.
``Official patrol vessels'' may consist of any Coast Guard, Coast Guard
Auxiliary, state, or local law enforcement vessels assigned or approved
by the COTP Sector New York. In addition, members of the Coast Guard
Auxiliary may be present to inform vessel operators of this regulation.
    (d) Regulations. (1) The general regulations contained in 33 CFR
165.23 apply.
    (2) In accordance with the general regulations in 33 CFR 165.23,
entry into or movement within this zone is prohibited unless authorized
by the Captain of the Port, New York
    (3) Operators of vessels desiring to enter or operate within the
safety zone should contact the Sector New York Vessel Traffic Center
via VHF channel 16 to obtain permission to do so.
    (4) Any vessel given permission to enter or operate in the safety
zone must comply with all directions given to them by the COTP Sector
New York or a designated on-scene representative.
    (5) Upon being hailed by a U.S. Coast Guard vessel by siren, radio,
flashing light or other means, the operator of the vessel shall proceed
as directed.

    Dated: March 18, 2015.
G. Loebl,
Captain, U.S. Coast Guard, Captain of the Port New York.
[FR Doc. 2015-07139 Filed 3-26-15; 8:45 am]
 BILLING CODE 9110-04-P


[Federal Register Volume 79, Number 199 (Wednesday, October 15, 2014)]
[Notices]
[Pages 61913-61915]
[FR Doc No: 2014-24454]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-73316; File No. SR-FINRA-2014-040]

Self-Regulatory Organizations; Financial Industry Regulatory
Authority, Inc.; Notice of Filing and Immediate Effectiveness of a
Proposed Rule Change To Revise the Operative Date for Deletion of Rule
7740 Pursuant to SR-FINRA-2014-032

October 7, 2014.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on September 25, 2014, Financial Industry Regulatory Authority, Inc.
(``FINRA'') filed with the Securities and Exchange Commission (``SEC''
or ``Commission'') the proposed rule change as described in Items I and
II below, which Items have been prepared by FINRA. FINRA has designated
the proposed rule change as constituting a ``non-controversial'' rule
change under paragraph (f)(6) of Rule 19b-4 under the Act,\3\ which
renders the proposal effective upon receipt of this filing by the
Commission. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    FINRA is proposing to revise the operative date for the deletion of
Rule 7740 (Historical Research and Administrative Reports) pursuant to
SR-FINRA-2014-032. The proposed rule change would not make any changes
to the text of FINRA rules.

II. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

    In its filing with the Commission, FINRA included statements
concerning

the purpose of and basis for the proposed rule change and discussed any
comments it received on the proposed rule change. The text of these
statements may be examined at the places specified in Item IV below.
FINRA has prepared summaries, set forth in sections A, B, and C below,
of the most significant aspects of such statements.

A. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, Proposed Rule Change

1. Purpose
    On July 2, 2014, FINRA filed for immediate effectiveness proposed
rule change SR-FINRA-2014-032 to amend Rule 7710 relating to fees for
the OTC Reporting Facility (``ORF'') and delete Rule 7740.\4\ Rule 7740
sets forth the fees to be paid by the purchaser of historical research
reports regarding OTC Bulletin Board (``OTCBB'') securities through the
OTCBB Web site.
---------------------------------------------------------------------------

    \4\ See Securities Exchange Act Release No. 72595 (July 11,
2014), 79 FR 41711 (July 17, 2014) (Notice of Filing and Immediate
Effectiveness; SR-FINRA-2014-032).
---------------------------------------------------------------------------

    By its terms, SR-FINRA-2014-032 will be operative upon migration of
the ORF to FINRA's Multi-Product Platform (``MPP''). At the time of the
filing of SR-FINRA-2014-032, the ORF was scheduled to migrate to the
MPP on September 15, 2014. In response to requests by the industry,
FINRA recently delayed the migration of the ORF from September 15, 2014
to November 17, 2014.\5\ As such, the amendments to Rule 7710 relating
to fees for the ORF will be operative on the revised migration date of
November 17, 2014.
---------------------------------------------------------------------------

    \5\ See ``Revised Migration Date for New OTC Reporting Facility
Technology Platform,'' available at www.finra.org/Industry/Compliance/MarketTransparency/ORF/Notices/P580334.
---------------------------------------------------------------------------

    However, with respect to deletion of Rule 7740, FINRA is proposing
that the operative date be September 30, 2014. On that date, FINRA's
vendor that generates and bills for the historical research reports
under Rule 7740 will migrate to a new technology platform and will no
longer provide these services to FINRA. Because FINRA contemplated
migration of the ORF to the MPP, and the elimination of these reports,
as of September 15, 2014, FINRA did not make arrangements to connect to
the vendor's new technology platform. As such, the historical research
reports will not be produced as of September 30, 2014. (The last date
to order a report would be September 29, 2014.) As noted in SR-FINRA-
2014-032, the quotation activity through the OTCBB has decreased in
recent years and as such, the value of these reports has declined
significantly. In fact, some reports in recent months have been
generated with substantially all zeroes. Accordingly, the number of
requests for reports continues to decrease. For example, there were 274
requests for reports pursuant to Rule 7740 in 2012, 103 in 2013 and 57
through August 2014.
    FINRA has filed the proposed rule change for immediate
effectiveness and has requested that the Commission waive the
requirement that the proposed rule change not become operative for 30
days after the date of the filing. The operative date will be the date
of filing of the proposed rule change.
2. Statutory Basis
    FINRA believes that the proposed rule change is consistent with the
provisions of Section 15A(b)(6) of the Act,\6\ which requires, among
other things, that FINRA rules must be designed to prevent fraudulent
and manipulative acts and practices, to promote just and equitable
principles of trade, and, in general, to protect investors and the
public interest. FINRA believes the proposed rule change is consistent
with the Act in that it ensures that FINRA rules accurately reflect the
functionality of its systems and will avoid the potential confusion of
having a fee rule in FINRA's manual for reports that FINRA no longer
provides.
---------------------------------------------------------------------------

    \6\ 15 U.S.C. 78o-3(b)(6).
---------------------------------------------------------------------------

B. Self-Regulatory Organization's Statement on Burden on Competition

    FINRA does not believe that the proposed rule change will result in
any burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Act. As noted in SR-FINRA-2014-032,
with the deletion of Rule 7740, FINRA is eliminating fees for
historical research reports that are of little value today and not
relied on by market participants as a source of market data.

C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants or Others

    Written comments were neither solicited nor received.

III. Date of Effectiveness of the Proposed Rule Change and Timing for
Commission Action

    Because the foregoing proposed rule change does not: (i)
Significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \7\ and Rule 19b-
4(f)(6) thereunder.\8\
---------------------------------------------------------------------------

    \7\ 15 U.S.C. 78s(b)(3)(A).
    \8\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

    A proposed rule change filed under Rule 19b-4(f)(6) \9\ normally
does not become operative prior to 30 days after the date of the
filing. However, pursuant to Rule 19b-4(f)(6)(iii),\10\ the Commission
may designate a shorter time if such action is consistent with the
protection of investors and the public interest. FINRA has asked the
Commission to waive the 30-day operative delay so that the proposal may
become operative upon filing. The Commission believes that waiving the
30-day operative delay is consistent with the protection of investors
and the public interest. FINRA is proposing to change the deletion date
of Rule 7740 due to the reports' unavailability as a result of a third-
party vendor's platform change. The Commission believes it is in the
interest of investors to implement this change immediately. The reports
referenced in Rule 7740 will be unavailable before the 30-day operative
delay is complete and, by making the filing operative immediately, this
will provide the most notice of this change to the firms. Therefore,
the Commission hereby waives the 30-day operative delay and designates
the proposal operative upon filing.\11\
---------------------------------------------------------------------------

    \9\ 17 CFR 240.19b-4(f)(6).
    \10\ 17 CFR 240.19b-4(f)(6)(iii).
    \11\ For purposes only of waiving the 30-day operative delay,
the Commission has considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings to
determine whether the proposed rule should be approved or disapproved.

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views and
arguments concerning the foregoing, including whether the proposed rule
change is consistent with the Act. Comments may be submitted by any of
the following methods:

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-FINRA-2014-040 on the subject line.

Paper Comments

     Send paper comments in triplicate to Brent J. Fields,
Secretary, Securities and Exchange Commission, 100 F Street NE.,
Washington, DC 20549.

All submissions should refer to File Number SR-FINRA-2014-040. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change 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 Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549, on official business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of such filing also will be available
for inspection and copying at the principal office of FINRA. All
comments received will be posted without change; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make available publicly. All
submissions should refer to File Number SR-FINRA-2013-040 and should be
submitted on or before November 5, 2014.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\12\
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    \12\ 17 CFR 200.30-3(a)(12).
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Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-24454 Filed 10-14-14; 8:45 am]
BILLING CODE 8011-01-P