[Federal Register Volume 88, Number 153 (Thursday, August 10, 2023)]
[Notices]
[Pages 54326-54329]
[FR Doc No: 2023-17145]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2023-N-0918]

Agency Information Collection Activities; Submission for Office
of Management and Budget Review; Comment Request; Food Labeling
Requirements

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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SUMMARY: The Food and Drug Administration (FDA) is announcing that a
proposed collection of information has been submitted to the Office of
Management and Budget (OMB) for review and clearance under the
Paperwork Reduction Act of 1995.

DATES: Submit written comments (including recommendations) on the
collection of information by September 11, 2023.

ADDRESSES: To ensure that comments on the information collection are
received, OMB recommends that written comments be submitted to https://www.reginfo.gov/public/do/PRAMain. Find this particular information
collection by selecting ``Currently under Review--Open for Public
Comments'' or by using the search function. The OMB control number for
this information collection is 0910-0381. Also include the FDA docket
number found in brackets in the heading of this document.

FOR FURTHER INFORMATION CONTACT: Domini Bean, Office of Operations,
Food and Drug Administration, Three White Flint North, 10 a.m.-12 p.m.,
11601 Landsdown St., North Bethesda, MD 20852,<PHONE_NUMBER>,
[email protected].

SUPPLEMENTARY INFORMATION: In compliance with 44 U.S.C. 3507, FDA has
submitted the following proposed collection of information to OMB for
review and clearance.

Food Labeling Requirements

OMB Control Number 0910-0381--Revision

    This information collection supports statutory and regulatory
requirements that govern food labeling, and information collection
recommendations discussed in associated Agency guidance. Sections 4, 5,
and 6 of the Fair Packaging and Labeling Act (FPLA) (15 U.S.C. 1453,
1454, and 1455) and sections 201, 301, 402, 403, 409, 411, 701, and 721
of the Federal Food, Drug, and Cosmetic Act (FD&C Act) (21 U.S.C. 321,
331, 342, 343, 348, 350, 371, and 379e), establish provisions under
which a food product shall be deemed to be misbranded if, among other
things, its label or labeling fails to bear certain required
information concerning the food product, is false or misleading in any
particular, or bears certain types of unauthorized claims. Implementing
regulations are codified in parts 101, 102, 104, and 105 (21 CFR parts
101, 102, 104, and 105). While regulations in part 101 set forth
general food labeling provisions, requirements pertaining to the common
or usual name for nonstandardized foods; guidelines for nutritional
quality to prescribe the minimum level or range of nutrient composition
appropriate for a given class of food; and requirements for foods for
special dietary use are found in parts 102, 104, and 105, respectively.
The requirements are intended to ensure the safety of food products
produced or sold in the United States and enable consumers to be
knowledgeable about the foods they purchase and include corresponding
information disclosure requirements, along with the reporting and
recordkeeping provisions, subject to enforcement by FDA.
    We provide information resources regarding food labeling under the
FD&C Act and its amendments on our website at https://www.fda.gov/food/food-labeling-nutrition. Food labeling is required for most prepared
foods, such as breads, cereals, canned and frozen foods, snacks,
desserts, drinks, etc. Nutrition labeling for raw produce (fruits and
vegetables) and fish is voluntary. We refer to these products as
``conventional'' foods. For detailed information on dietary supplement
labeling requirements visit our website at https://www.fda.gov/food/dietary-supplements. Nutrition labeling provides information for use by
consumers in selecting a nutritious diet. Other information enables
consumers to comparison shop. Ingredient information also enables
consumers to avoid substances to which they may be sensitive. Petitions
or other requests submitted to us provide the basis for us to permit
new labeling statements or to grant exemptions from certain labeling
requirements. Recordkeeping requirements enable us to monitor the basis
upon which certain label statements are made for food products and
whether those statements are in compliance with the requirements of the
FD&C Act or the FPLA. Requirements include general content and format
for the labeling of food packaging, including nutrition and ingredient
information. Additional regulations provide for specific nutrient
content claims.
    The information collection includes Form FDA 3570 entitled, ``Small
Business Nutrition Labeling Exemption Notice,'' for use as applicable
and available for download from our website at https://www.fda.gov/food/labeling-nutrition-guidance-documents-regulatory-information/small-business-nutrition-labeling-exemption-notice-model-form. We have
also developed the following guidance documents to assist respondents
with various aspects of the information collection:
     ``Guidance for Industry: Notification of a Health Claim or
Nutrient Content Claim Based on an Authoritative Statement of a
Scientific Body'' (June 1998). The guidance document is available from
our website at https://www.fda.gov/regulatory-information/search-fda-guidance-documents/guidance-industry-notification-health-claim-or-nutrient-content-claim-based-authoritative-statement. The guidance
document

discusses section 403(r)(2) and (r)(3) (21 U.S.C. 343(r)(2) and (3)) of
the FD&C Act and was issued to provide instruction on the submission of
information to FDA during the initial phase of implementing these new
provisions.
     ``Questions and Answers: Labeling of Dietary Supplements
as Required by the Dietary Supplement and Nonprescription Drug Consumer
Protection Act'' (September 2009). The guidance document is available
from our website at https://www.fda.gov/regulatory-information/search-fda-guidance-documents/guidance-industry-questions-and-answers-regarding-labeling-dietary-supplements-required-dietary. The guidance
document communicates content elements and FDA enforcement of labeling
requirements in section 403(y) of the FD&C Act.
     ``Substantiation for Dietary Supplement Claims Made Under
Section 403(r)(6) of the Federal Food, Drug, and Cosmetic Act''
(January 2009). The guidance document is available from our website at
https://www.fda.gov/regulatory-information/search-fda-guidance-documents/guidance-industry-substantiation-dietary-supplement-claims-made-under-section-403r-6-federal-food. The guidance document discusses
FDA recommendations regarding claims under section 403(r)(6) of the
FD&C Act.
    For operational efficiency, we are revising the information
collection to account for burden that may result from activities
associated with the labeling of certain beers, currently approved in
OMB Control No. 0910-0728. The Tobacco Tax and Trade Bureau is
responsible for the dissemination and enforcement of regulations with
respect to the labeling of distilled spirits, certain wines, and malt
beverages issued in the Federal Alcohol Administration Act. However,
and as discussed in the guidance document ``Labeling of Certain Beers
Subject to the Labeling Jurisdiction of the Food and Drug
Administration'' (December 2014), certain bottled or otherwise packaged
beers are subject to section 403 of the FD&C Act. The guidance document
is available for download from our website at https://www.fda.gov/regulatory-information/search-fda-guidance-documents/guidance-industry-labeling-certain-beers-subject-labeling-jurisdiction-food-and-drug-administration and provides recommendations regarding applicable
labeling requirements for products under FDA's jurisdiction.
    We are also revising the information collection to include new
requirements applicable to the gluten-free labeling of fermented or
hydrolyzed foods established through rulemaking (RIN 0910-AH00) and
approved in OMB Control No. 0910-0817.
    Description of Respondents: Respondents to this information
collection are manufacturers, packers, and distributors of food
products, as well as certain food retailers, such as supermarkets and
restaurants, subject to statutory and regulatory food labeling
requirements.
    In the Federal Register of April 12, 2023 (88 FR 22045), we
published a 60-day notice soliciting comment on the proposed collection
of information. No comments were received.
    We estimate the burden of this collection of information as
follows:

                                 Table 1--Estimated Annual Reporting Burden \1\
----------------------------------------------------------------------------------------------------------------
                                                        Number of
     21 CFR section; activity          Number of      responses per     Total annual   Average  burden    Total
                                      respondents       respondent       responses      per  response     hours
----------------------------------------------------------------------------------------------------------------
101.9(c)(6)(i); dietary fiber.....               28                1               28                1        28
101.9(j)(18) and 101.36(h)(2);               10,000                1           10,000                8    80,000
 procedure for small business
 nutrition labeling exemption
 notice using Form FDA 3570.......
101.12(h); petitions to establish                 1                1                1               80        80
 or amend referenced amounts
 customarily consumed (RACC)......
101.69; petitions for nutrient                    3                1                3               25        75
 content claims...................
101.70; petitions for health                      5                1                5               80       400
 claims...........................
101.108; written proposal for                     1                1                1               40        40
 requesting temporary exemptions
 from certain regulations for the
 purpose of conducting food
 labeling experiments.............
                                   -----------------------------------------------------------------------------
    Total.........................  ...............  ...............           10,038  ...............    80,623
----------------------------------------------------------------------------------------------------------------
\1\ There are no capital costs or operating and maintenance costs associated with this collection of
  information.

                                                    Table 2--Estimated Annual Recordkeeping Burden\1\
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                     Number of
            21 CFR section; activity                Number of       records per      Total annual        Average burden per recordkeeping         Total
                                                  recordkeepers     recordkeeper       records                                                    hours
--------------------------------------------------------------------------------------------------------------------------------------------------------
101.9(c)(6)(iii); added sugars \2\.............           31,283                1           31,283  1.........................................    31,283
101.9(c)(6)(i); dietary fiber \2\..............           31,283                1           31,283  1.........................................    31,283
101.9(c)(6)(i)(A) \2\; soluble fiber...........           31,283                1           31,283  1.........................................    31,283
101.9(c)(6)(i)(B); insoluble fiber \2\.........           31,283                1           31,283  1.........................................    31,283
101.9(c)(8); vitamin E \3\.....................           31,283                1           31,283  1.........................................    31,283
101.9(c)(8); folate/folic acid \3\.............           31,283                1           31,283  1.........................................    31,283
New Products...................................              216                1              216  1.........................................       216
101.12(e); recordkeeping to document the basis                25                1               25  1.........................................        25
 for density-adjusted RACC.
101.13(q)(5); recordkeeping to document the              300,000              1.5          450,000  0.75 (45 minutes).........................   337,500
 basis for nutrient content claims.
101.14(d)(2); recordkeeping to document                  300,000              1.5          450,000  0.75 (45 minutes).........................   337,500
 nutrition information related to health claims
 for food products.
101.22(i)(4); recordkeeping to document                       25                1               25  1.........................................        25
 supplier certifications for flavors designated
 as containing no artificial flavors.
101.100(d)(2); recordkeeping pertaining to                 1,000                1            1,000  1.........................................     1,000
 agreements that form the basis for an
 exemption from the labeling requirements of
 section 403(c), (e), (g)-(i), (k), and (q) of
 the FD&C Act.
101.7(t); recordkeeping pertaining to                        100                1              100  1.........................................       100
 disclosure requirements for food not
 accurately labeled for quality of contents.

101.91; Documentation necessary to verify                  5,000               56          280,000  0.45 (~27 minutes)........................   126,000
 compliance with gluten free labeling.
                                                --------------------------------------------------------------------------------------------------------
    Total......................................  ...............  ...............        1,369,064  ..........................................   990,064
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ There are no capital costs or operating and maintenance costs associated with this collection of information.

    Our estimate reflects the cumulative average burden we attribute to
the reporting and recordkeeping requirements found in the applicable
regulations; individual collection activities may not be evenly
distributed among respondents and/or the corresponding requirements.

                           Table 3--Estimated Annual Third-Party Disclosure Burden \1\
----------------------------------------------------------------------------------------------------------------
                                                    Number of
   21 CFR section; activity       Number of      disclosures per     Total annual    Average burden  Total hours
                                 respondents        respondent       disclosures     per disclosure
----------------------------------------------------------------------------------------------------------------
101.3, 101.22, parts 102 and            25,000               1.03           25,750  0.5 (30               12,875
 104; statement of identity                                                          minutes).
 labeling requirements.
101.4, 101.22, 101.100, parts           25,000               1.03           25,750  1..............       25,750
 102, 104 and 105; ingredient
 labeling requirements.
101.5; requirement to specify           25,000               1.03           25,750  0.25 (15               6,438
 the name and place of                                                               minutes).
 business of the
 manufacturer, packer, or
 distributor and, if the food
 producer is not the
 manufacturer of the food
 product, its connection with
 the food product.
101.9, 101.13(n),                       25,000               1.03           25,750  4..............      103,000
 101.14(d)(3), 101.62, and
 part 104; labeling
 requirements for disclosure
 of nutrition information.
101.9(g)(9) and 101.36(f)(2);               12                  1               12  4..............           48
 alternative means of
 compliance permitted.
101.10; requirements for               300,000                1.5          450,000  0.25 (15             112,500
 nutrition labeling of                                                               minutes).
 restaurant foods.
101.12(b); RACC for baking                  29                2.3               67  1..............           67
 powder, baking soda, and
 pectin.
101.12(e); adjustment to the                25                  1               25  1..............           25
 RACC of an aerated food
 permitted.
101.12(g); requirement to                5,000                  1            5,000  1..............        5,000
 disclose the serving size
 that is the basis for a
 claim made for the product
 if the serving size on which
 the claim is based differs
 from the RACC.
101.13(d)(1) and 101.67;                   200                  1              200  1..............          200
 requirements to disclose
 nutrition information for
 any food product for which a
 nutrient content claim is
 made.
101.13(j)(2) and (k), 101.54,            5,000                  1            5,000  1..............        5,000
 101.56, 101.60, 101.61, and
 101.62; additional
 disclosure required if the
 nutrient content claim
 compares the level of a
 nutrient in one food with
 the level of the same
 nutrient in another food..
101.13(q)(5); requirement              300,000                1.5          450,000  0.75 (45             337,500
 that restaurants disclose                                                           minutes).
 the basis for nutrient
 content claims made for
 their food.
101.14(d)(2); general                  300,000                1.5          450,000  0.75 (45             337,500
 requirements for disclosure                                                         minutes).
 of nutrition information
 related to health claims for
 food products.
101.15; requirements                       160                 10            1,600  8..............       12,800
 pertaining to prominence of
 required statements and use
 of foreign language.
101.22(i)(4); supplier                      25                  1               25  1..............           25
 certifications for flavors
 designated as containing no
 artificial flavors.
101.30 and 102.33; labeling              1,500                  5            7,500  1..............        7,500
 requirements for fruit or
 vegetable juice beverages.
101.36; nutrition labeling of              300                 40           12,000  4.025..........       48,300
 dietary supplements.
101.42 and 101.45; nutrition             1,000                  1            1,000  0.5 (30                  500
 labeling of raw fruits,                                                             minutes).
 vegetables, and fish.
101.45(c); databases of                      5                  4               20  4..............           80
 nutrient values for raw
 fruits, vegetables, and fish.
101.79(c)(2)(i)(D);                      1,000                  1            1,000  0.25 (15                 250
 disclosure requirements for                                                         minutes).
 food labels that contain a
 folate/neural tube defect
 health claim.
101.79(c)(2)(iv); disclosure               100                  1              100  0.25 (15                  25
 of amount of folate for food                                                        minutes).
 labels that contain a folate/
 neural tube defect health
 claim.
101.100(d); disclosure of                1,000                  1            1,000  1..............        1,000
 agreements that form the
 basis for exemption from the
 labeling requirements of
 section 403(c), (e), (g),
 (h), (i), (k), and (q) of
 the FD&C Act.
101.7 and 101.100(h);                   25,000               1.03           25,750  0.5 (30               12,875
 disclosure requirements for                                                         minutes).
 food not accurately labeled
 for quantity of contents and
 for claiming certain
 labeling exemptions.
Nutritional labeling for new               500                  1              500  2..............        1,000
 products.
``Labeling of Certain Beers                 12                  1               12  1..............           12
 Subject to the Labeling
 Jurisdiction of the Food and
 Drug Administration''.
                              ----------------------------------------------------------------------------------
    Total....................  ...............  .................  ...............  ...............    1,030,270
----------------------------------------------------------------------------------------------------------------
\1\ There are no capital costs or operating and maintenance costs associated with this collection of
  information.

    These estimates reflect our continued experience with the
information collection. We have made nominal adjustments to reflect the
addition of burden associated with gluten and certain bottled or
otherwise packaged beer; petition submissions received since our last
evaluation of the information collection; and informal communications
with industry regarding food product labeling.

    Dated: August 7, 2023.
Lauren K. Roth,
Associate Commissioner for Policy.
[FR Doc. 2023-17145 Filed 8-9-23; 8:45 am]
BILLING CODE 4164-01-P


[Federal Register: July 16, 2010 (Volume 75, Number 136)]
[Notices]
[Page 41507]
[DOCID:fr16jy10-67]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Internal Agency Docket No. FEMA-1899-DR; Docket ID FEMA-2010-0002]

New York; Amendment No. 1 to Notice of a Major Disaster
Declaration

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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SUMMARY: This notice amends the notice of a major disaster for the
State of New York (FEMA-1899-DR), dated April 16, 2010, and related
determinations.

DATES: Effective Date: July 9, 2010.

FOR FURTHER INFORMATION CONTACT: Peggy Miller, Recovery Directorate,
Federal Emergency Management Agency, 500 C Street, SW., Washington, DC
20472,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: Notice is hereby given that the incident
period for this declared disaster is now March 13, 2010, through and
including March 31, 2010.

The following Catalog of Federal Domestic Assistance Numbers (CFDA)
are to be used for reporting and drawing funds: 97.030, Community
Disaster Loans; 97.031, Cora Brown Fund; 97.032, Crisis Counseling;
97.033, Disaster Legal Services; 97.034, Disaster Unemployment
Assistance (DUA); 97.046, Fire Management Assistance Grant; 97.048,
Disaster Housing Assistance to Individuals and Households In
Presidentially Declared Disaster Areas; 97.049, Presidentially
Declared Disaster Assistance--Disaster Housing Operations for
Individuals and Households; 97.050, Presidentially Declared Disaster
Assistance to Individuals and Households--Other Needs; 97.036,
Disaster Grants--Public Assistance (Presidentially Declared
Disasters); 97.039, Hazard Mitigation Grant.

W. Craig Fugate,
Administrator, Federal Emergency Management Agency.
[FR Doc. 2010-17401 Filed 7-15-10; 8:45 am]
BILLING CODE 9111-23-P


[Federal Register Volume 76, Number 67 (Thursday, April 7, 2011)]
[Notices]
[Pages 19344-19345]
[FR Doc No: 2011-8371]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings 1

    Take notice that the Commission received the following electric
rate filings:
    Docket Numbers: ER09-1549-003; ER10-426-004; ER09-172-007; ER09-
173-007; ER06-1355-007; ER09-174-006; ER11-2201-001
    Applicants: First Wind Energy Marketing, LLC
    Description: Supplemental Information to Triennial Market-Based
Rate Update Filings of First Wind Energy, LLC.
    Filed Date: 03/31/2011
    Accession Number: 20110331-5330
    Comment Date: 5 p.m. Eastern Time on Thursday, April 21, 2011

    Docket Numbers: ER10-1508-002
    Applicants: Tampa Electric Company
    Description: Tampa Electric Company submits tariff filing per 35:
Compliance Filing--Available Transfer Capability (ATC) to be effective
3/30/2011.
    Filed Date: 03/31/2011
    Accession Number: 20110331-5268
    Comment Date: 5 p.m. Eastern Time on Thursday, April 21, 2011

    Docket Numbers: ER10-3168-001
    Applicants: ArcLight Energy Marketing, LLC
    Description: ArcLight Energy Marketing, LLC Notice of Non-Material
Change in Status.
    Filed Date: 03/31/2011
    Accession Number: 20110331-5258
    Comment Date: 5 p.m. Eastern Time on Thursday, April 21, 2011

    Docket Numbers: ER11-2046-002
    Applicants: MATEP LLC
    Description: MATEP LLC submits tariff filing per 35: MATEP Second
Substitute MBR Tariff to be effective 3/2/2011.
    Filed Date: 03/31/2011
    Accession Number: 20110331-5310
    Comment Date: 5 p.m. Eastern Time on Thursday, April 21, 2011

    Docket Numbers: ER11-2530-002
    Applicants: Pacific Gas and Electric Company
    Description: Pacific Gas and Electric Company submits tariff filing
per 35: Errata to Correct Compliance Filing: SVP IA to be effective 2/
28/2011.
    Filed Date: 03/31/2011
    Accession Number: 20110331-5318
    Comment Date: 5 p.m. Eastern Time on Thursday, April 21, 2011

    Docket Numbers: ER11-2588-002
    Applicants: Power Receivable Finance, LLC
    Description: Power Receivable Finance, LLC submits tariff filing
per 35: PRF Second Substitute MBR Tariff to be effective 2/28/2011.
    Filed Date: 03/31/2011
    Accession Number: 20110331-5311
    Comment Date: 5 p.m. Eastern Time on Thursday, April 21, 2011

    Docket Numbers: ER11-2715-001
    Applicants: Interstate Power and Light Company
    Description: Interstate Power and Light Company submits tariff
filing per 35.17(b): IPL O & T Agreement--Updated Exhibits 1, 2 and 5
to be effective 3/21/2011.
    Filed Date: 03/31/2011
    Accession Number: 20110331-5316
    Comment Date: 5 p.m. Eastern Time on Thursday, April 21, 2011

    Docket Numbers: ER11-3254-000
    Applicants: Nevada Power Company
    Description: Nevada Power Company submits tariff filing per 35.15:
Rate Schedule No. 52 Cancellation to be effective 6/1/2011.
    Filed Date: 03/31/2011
    Accession Number: 20110331-5221
    Comment Date: 5 p.m. Eastern Time on Thursday, April 21, 2011

    Docket Numbers: ER11-3255-000
    Applicants: Westar Energy, Inc.
    Description: Westar Energy, Inc. submits tariff filing per
35.13(a)(2)(iii): KEPCo, Changes to Attachment F to be effective 6/1/
2011.
    Filed Date: 03/31/2011
    Accession Number: 20110331-5225
    Comment Date: 5 p.m. Eastern Time on Thursday, April 21, 2011

    Docket Numbers: ER11-3256-000
    Applicants: Midwest Independent Transmission System Operator, Inc.,
ALLETE, Inc.
    Description: Midwest Independent Transmission System Operator, Inc.
submits tariff filing per 35.13(a)(2)(iii): Allete-Bison LGIAs filing
to be effective 4/1/2011.
    Filed Date: 03/31/2011
    Accession Number: 20110331-5249
    Comment Date: 5 p.m. Eastern Time on Thursday, April 21, 2011

    Docket Numbers: ER11-3257-000
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool, Inc. submits tariff filing per
35.13(a)(2)(iii): 1822R2 Kanas Power Pool NITSA and NOAS to be
effective 3/1/2011.
    Filed Date: 03/31/2011
    Accession Number: 20110331-5257
    Comment Date: 5 p.m. Eastern Time on Thursday, April 21, 2011

    Docket Numbers: ER11-3258-000
    Applicants: New England Power Company

    Description: New England Power Company submits tariff filing per
35.1: Construction Service Agreement between NEP and Peabody Municipal
Light Plant to be effective 3/31/2011.
    Filed Date: 03/31/2011
    Accession Number: 20110331-5266
    Comment Date: 5 p.m. Eastern Time on Thursday, April 21, 2011

    Docket Numbers: ER11-3259-000
    Applicants: Westar Energy, Inc.
    Description: Westar Energy, Inc. submits tariff filing per
35.13(a)(2)(iii): Missouri Joint Municipal Electric Utility Commission
Balancing Area Services to be effective 3/1/2011.
    Filed Date: 03/31/2011
    Accession Number: 20110331-5314
    Comment Date: 5 p.m. Eastern Time on Thursday, April 21, 2011

    Docket Numbers: ER11-3260-000
    Applicants: New England Power Pool Participants Committee
    Description: New England Power Pool Participants Committee submits
tariff filing per 35.13(a)(2)(iii): April 2011 Membership Filing to be
effective 3/1/2011.
    Filed Date: 03/31/2011
    Accession Number: 20110331-5321
    Comment Date: 5 p.m. Eastern Time on Thursday, April 21, 2011

    Docket Numbers: ER11-3261-000
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool, Inc. submits tariff filing per
35.13(a)(2)(iii): 1066R3 Northeast Texas Electric Coop. NITSA NOA to be
effective 3/1/2011.
    Filed Date: 03/31/2011
    Accession Number: 20110331-5324
    Comment Date: 5 p.m. Eastern Time on Thursday, April 21, 2011

    Any person desiring to intervene or to protest in any of the above
proceedings 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) on or before 5 p.m. Eastern time on the specified comment
date. It is not necessary to separately intervene again in a subdocket
related to a compliance filing if you have previously intervened in the
same docket. 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. Anyone filing a motion to
intervene or protest must serve a copy of that document on the
Applicant. In reference to filings initiating a new proceeding,
interventions or protests submitted on or before the comment deadline
need not be served on persons other than the Applicant.
    As it relates to any qualifying facility filings, the notices of
self-certification [or self-recertification] listed above, do not
institute a proceeding regarding qualifying facility status. A notice
of self-certification [or self-recertification] simply provides
notification that the entity making the filing has determined the
facility named in the notice meets the applicable criteria to be a
qualifying facility. Intervention and/or protest do not lie in dockets
that are qualifying facility self-certifications or self-
recertifications. Any person seeking to challenge such qualifying
facility status may do so by filing a motion pursuant to 18 CFR
292.207(d)(iii). Intervention and protests may be filed in response to
notices of qualifying facility dockets other than self-certifications
and self-recertifications.
    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
14 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First St., NE., Washington, DC 20426.
    The filings in the above proceedings are accessible in the
Commission's eLibrary system by clicking on the appropriate link in the
above list. They are also 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 dockets(s). For assistance
with any FERC Online service, please e-mail<EMAIL_ADDRESS>
or call<PHONE_NUMBER> (toll free). For TTY, call<PHONE_NUMBER>.

    Dated: April 01, 2011.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2011-8371 Filed 4-6-11; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register: August 26, 2009 (Volume 74, Number 164)]
[Notices]
[Page 43191-43193]
[DOCID:fr26au09-128]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-60548; File No. SR-NYSEAMEX-2009-44]

Self-Regulatory Organizations; Notice of Filing and Immediate
Effectiveness of Proposed Rule Change by NYSE AMEX LLC Amending the
Permissible Expiration Dates for Flexible Exchange Options

August 20, 2009.
    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 August 7, 2009, NYSE Amex LLC (``NYSE Amex'' 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.
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    \1\ 15 U.S.C.78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to its rules regarding permissible expiration
dates for Flexible Exchange Options (``FLEX Options'').\4\ The text of
the proposed rule change is available on the Exchange's Web site at
http://www.nyse.com, at the Exchange's principal office and at the
Commission's Public Reference Room.
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    \4\ FLEX Options provide investors with the ability to customize
basic option features including size, expiration date, exercise
style, and certain exercise prices. FLEX Options can be FLEX Index
Options or FLEX Equity Options. FLEX Index Options Series may be
approved and open for trading on any index that has been approved
for Non-FLEX Options trading on the Exchange. FLEX Equity Options
may be on underlying securities that have been approved by the
Exchange in accordance with NYSE Amex Rule 915, which includes but
is not limited to stock options and exchange-traded fund options.
Both FLEX Index Options and FLEX Equity Options are subject to the
FLEX rules in Section 15.
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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 those statements may be examined at
the places specified in Item IV below. The Exchange has prepared
summaries, set forth in sections A, B, and C below, of the most
significant parts of such statements.

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

1. Purpose
    The purpose of this proposal is to modify the permissible
expiration dates for FLEX Options. These options are governed by
Trading of Option Contracts, Section 15 (Flexible

Exchange Options) pursuant to the Rules of NYSE Amex LLC. Under current
NYSE Amex Rule 903G, FLEX options may not expire on any business day
that fall on, or within two business days of, a third Friday-of-the-
month expiration day for any Non-FLEX Options (an ``Expiration
Friday'').\5\ However, subject to aggregation requirements \6\ for cash
settled options, the current FLEX Rules do permit the expiration of
FLEX Options on the same day that Non-FLEX quarterly index options
(``QIX'') expire.
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    \5\ For example, under the current rule, a FLEX Option could
expire on the Tuesday before Expiration Friday, but could not expire
on the Wednesday or Thursday before Expiration Friday. Similarly, a
FLEX Option could expire on the Wednesday after Expiration Friday,
but could not expire on the Monday or Tuesday after Expiration
Friday. This restriction is hereinafter referred to as the ``three
business day'' expiration restriction.
    \6\ See NYSE Amex Rule 906G(a)(ii).
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    The Exchange is now proposing to eliminate the expiration date
restriction so that FLEX Options may expire on any given business day.
Although the expiration date restrictions would be eliminated, the
Exchange notes that position and exercise limits under applicable NYSE
Amex rules will continue to apply. FLEX Index Options remain subject to
position limits under Rules 904 and 904C, as applicable. Additionally,
all FLEX Options remain subject to the position reporting requirements
of NYSE Amex Rule 906. Moreover, the Exchange has the authority,
pursuant to Rule 461, to impose additional margin requirements as
deemed advisable.
    Beyond the above described position limit and reporting
requirements for FLEX Options that expire on Expiration Friday, the
proposed rule change includes an aggregation requirement under NYSE
Amex Rule 906G for position limit purposes. Specifically, for as long
as the options positions remain open, positions in FLEX Options that
expire on Expiration Friday shall be aggregated with positions in Non-
FLEX options on the same underlying (e.g., the same underlying security
in the case of a FLEX Equity Option and the same underlying index in
the case of a FLEX Index Option) (referred to as ``Comparable Non-FLEX
options''). Such FLEX Options and comparable Non-FLEX options would be
subject to the position and exercise limits that are applicable to the
Non-FLEX Options.\7\ The aggregation requirement would apply to both
cash and physically settled options.
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    \7\ Position Limits for Non-FLEX equity options are governed by
Rule 904; Exercise Limits for Non-FLEX equity options are governed
by Rule 905. Position Limits for Non FLEX index options are governed
by Rule 904 and 904C; Exercise Limits for Non Flex index options are
governed by Rule 905 and 905C.
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    In addition, in the case of FLEX Index Options only, the proposed
rule change provides that FLEX Index Options expiring on or within two
business days of an Expiration Friday may not have an exercise
settlement value on the expiration date determined by reference to the
closing price of the index or specified averages. Therefore, the
exercise settlement value on such expiration dates may only be
determined by a.m. settlement values. These limitations on exercise
settlement value calculations are intended to serve as a safeguard
against potential adverse effects that might be associated with triple
witching.\8\
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    \8\ The expiration of the contracts for stock index futures,
stock index options, and stock options all expire on the same days
occurring on the third Friday of March, June, September, and
December (which is referred to as ``triple witching''). The
Exchange's proposed limitations on p.m. exercise settlement values
and exercise settlement values based on a specified average would
apply during triple witching expirations, as well as on all other
Expiration Fridays.
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    In conjunction with the elimination of the expiration date
restriction, the proposed rule change also states that, provided the
options on an underlying security or index are otherwise eligible for
FLEX trading, FLEX Options will be permitted in puts and calls that do
not have the same exercise style, same expiration date and same
exercise price as Non-FLEX Options that are already available for
trading on the same underlying security or index. The proposed rule
change also provides that FLEX options will be permitted before (but
not after) the options are listed for trading as Non-FLEX Options. Once
and if an option series is listed for trading as a Non-FLEX Option
series, (i) all existing open positions established under the FLEX
Trading procedures shall be fully fungible with transactions in the
respective Non-FLEX Options series, and (ii) any further trading in the
series would be as Non-FLEX options subject to the Non-FLEX trading
procedures and rules, as governed by Section 900NY.
    For example, a FLEX trader could establish a FLEX Options position
in a European-style, a.m. settled Mini-Nasdaq 100 Index (``MNX'') 210
Call Option Series with an expiration of August 19, 2011 (which will be
an Expiration Friday). In such instance, once and if the Non-FLEX,
European-style, a.m.-settled MNX 210 Call Option Series that expires on
August 19, 2011 is listed for trading, the established FLEX Option
position would be fully fungible with transactions in the Non-FLEX
Option series. Any further trading in the series would be as Non-FLEX
Options subject to the Non-FLEX trading procedures.
    The Exchange will report any undue effects or unanticipated
consequences that may occur due to the elimination of the blackout
period.
    NYSE Amex believes that expanding the eligible dates for FLEX
expirations is important and necessary to the Exchange's efforts to
create a product and market that provides ATP Holders and investors
interested in FLEX-type options with an improved but comparable
alternative to the over-the-counter (``OTC'') market in customized
options, which can take on contract characteristics similar to FLEX
options but are not subject to the same restrictions (such as the three
business day expiration restriction or the p.m. settlement
restriction).\9\ By expanding the eligible expiration dates for FLEX
Options, market participants will now have greater flexibility in
determining whether to execute their customized options in an exchange
environment or in the OTC market. NYSE Amex believes market
participants benefit from being able to trade these customized options
in an exchange environment in several ways, including, but not limited
to, the following: (1) Enhanced efficiency in initiating and closing
out positions; (2) increased market transparency; and (3) heightened
contra-party creditworthiness because of the role of The Options
Clearing Corporation (``OCC'') as issuer and guarantor of FLEX Options.
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    \9\ Through a Regulatory Services Agreement (``RSA'') between
NYSE Regulation, Inc. (``NYSE Regulation'') and NYSE Amex, staff of
NYSE Regulation conducts, among other things, surveillances of the
NYSE Amex options trading platform for purposes of monitoring
compliance with the relevant trading rules by NYSE Amex
participants. NYSE Amex represents that, through this RSA, there are
appropriate surveillances in place to monitor transactions in FLEX
options.
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2. Statutory Basis
    The proposed rule change is consistent with Section 6(b) \10\ of
the Securities Exchange Act of 1934 (the ``Act''), in general, and
furthers the objectives of Section 6(b)(5) \11\ in particular in that
it is designed to promote just and equitable principles of trade, to
foster cooperation and coordination with persons engaged in
facilitating transactions in securities, remove impediments to and
perfect the mechanisms 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 will

provide ATP Holders \12\ and investors with additional opportunities to
trade customized options in an exchange environment.
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    \10\ 15 U.S.C. 78f(b).
    \11\ 15 U.S.C. 78f(b)(5).
    \12\ See NYSE Amex Rule 900.2NY(5).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act.

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

    No written comments were solicited or received with respect to the
proposed rule change.

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

    The Exchange has filed the proposed rule change pursuant to Section
19(b)(3)(A)(iii) of the Act \13\ and Rule 19b-4(f)(6) thereunder.\14\
Because the foregoing rule 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, provided that the self-regulatory organization
has given the Commission written notice of its intent to file 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,\15\ the proposed rule change has become effective
pursuant to Section 19(b)(3)(A) of the Act \16\ and Rule 19b-4(f)(6)
thereunder.\17\
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    \13\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \14\ 17 CFR 240.19b-4(f)(6).
    \15\ The Exchange has fulfilled this five day requirement.
    \16\ 15 U.S.C. 78s(b)(3)(A).
    \17\ 17 CFR 240.19b-4(f)(6).
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    Under Rule 19b-4(f)(6) of the Act,\18\ a proposal does not become
operative for 30 days after the date of its filing, or such shorter
time as the Commission may designate if consistent with the protection
of investors and the public interest.
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    \18\ Id.
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    The Exchange has requested that the Commission waive the 30-day
operative date. The Exchange believes that waiver of the 30-day
operative date will: (i) Permit the Exchange to offer investors
additional opportunities to trade customized options in response to
recent member requests; and (ii) level the current competitive
landscape by permitting the Exchange to implement changes similar to
those recently implemented by another self-regulatory organization. The
Commission believes that waiving the 30-day operative delay is
consistent with the protection of investors and the public interest,
and thus designates the proposal as operative upon filing.\19\ The
Commission notes that the Exchange's proposal is based on a similar
proposed rule change adopted by the Chicago Board Options Exchange.\20\
That proposal was subject to full notice and comment and no comments
were received. Based on this, the Commission believes that it is
appropriate to designate the proposal operative upon filing.
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    \19\ For purposes only of waiving the operative date of this
proposal, the Commission has considered the proposed rule's impact
on efficiency, competition, and capital formation. See 15 U.S.C.
78c(f). See also 17 CFR 200.30-3(a)(59).
    \20\ Securities Exchange Act Release No. 59417 (February 18,
2009), 74 FR 8591 (February 25, 2009) (SR-CBOE-2008-115).
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    At any time within 60 days of the filing of the proposed rule
change, the Commission may summarily abrogate 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.

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 e-mail to<EMAIL_ADDRESS>Please include
File Number SR-NYSEAMEX-2009-44 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSEAMEX-2009-44. This
file number should be included on the subject line if e-mail 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 inspection
and copying in the Commission's Public Reference Room, 100 F Street,
NE., Washington, DC 20549-1090 on official business days between the
hours of 10 a.m. and 3 p.m. Copies of the filing will also be available
for inspection and copying at the NYSE's principal office and on its
Internet Web site at http://www.nyse.com. 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-NYSEAMEX-2009-44 and should be submitted
on or before September 16, 2009.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\21\
Florence E. Harmon,
Deputy Secretary.
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    \21\ 17 CFR 200.30-3(a)(12).
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[FR Doc. E9-20545 Filed 8-25-09; 8:45 am]

BILLING CODE 8010-01-P