[Federal Register Volume 79, Number 64 (Thursday, April 3, 2014)]
[Notices]
[Page 18678]
[FR Doc No: 2014-07432]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings

    Take notice that the Commission has received the following Natural
Gas Pipeline Rate and Refund Report filings:

Filings Instituting Proceedings

    Docket Numbers: RP14-640-000.
    Applicants: Tallgrass Interstate Gas Transmission, LLC.
    Description: Petition of Tallgrass Interstate Gas Transmission, LLC
for Limited Waiver of Tariff Provisions.
    Filed Date: 3/25/14.
    Accession Number: 20140325-5024.
    Comments Due: 5 p.m. ET 4/7/14.

    Docket Numbers: RP14-641-000.
    Applicants: Southern Star Central Gas Pipeline, Inc.
    Description: Vol 2--Negotiated Rate Agreement-BP Energy Company to
be effective 4/1/2014.
    Filed Date: 3/25/14.
    Accession Number: 20140325-5049.
    Comments Due: 5 p.m. ET 4/7/14.

    Docket Numbers: RP14-642-000.
    Applicants: Columbia Gas Transmission, LLC.
    Description: Negotiated Rate Service Agreement--WGL Amendment to be
effective 4/1/2014.
    Filed Date: 3/25/14.
    Accession Number: 20140325-5120.
    Comments Due: 5 p.m. ET 4/7/14.

    The filings are accessible in the Commission's eLibrary system by
clicking on the links or querying the docket number.
    Any person desiring to intervene or protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Regulations (18 CFR 385.211 and 385.214) on or before 5:00
p.m. Eastern time on the specified comment date. Protests may be
considered, but intervention is necessary to become a party to the
proceeding.
    eFiling is encouraged. More detailed information relating to filing
requirements, interventions, protests, service, and qualifying
facilities filings can be found at: http://www.ferc.gov/docs-filing/efiling/filing-req.pdf. For other information, call<PHONE_NUMBER>
(toll free). For TTY, call<PHONE_NUMBER>.

    Dated: March 26, 2014.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2014-07432 Filed 4-2-14; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 79, Number 150 (Tuesday, August 5, 2014)]
[Notices]
[Pages 45451-45452]
[FR Doc No: 2014-18528]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

[Docket No. USCG-2013-0240]

Change-1 to the Marine Safety Manual, Volume III

AGENCY: Coast Guard, DHS.

ACTION: Notice of availability.

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SUMMARY: The Coast Guard announces the availability of Change-1 to the
Marine Safety Manual (MSM), Volume III, Marine Industry Personnel, and
the corresponding Commandant Change Notice that highlights the changes
made to that manual. MSM Volume III provides information and
interpretations on international conventions and U.S. statutory and
regulatory issues relating to marine industry personnel. Change-1 is
presented in a new format to facilitate future revisions by creating
three distinct parts; Part A: Mariner Credentialing (Chapters 1-17),
Part B: Vessel Manning (legacy Chapters 20-26, now Chapters 1-7), and
Part C: Shipment and Service (legacy Chapters 18-19, now Chapters 1-2).
The Commandant Change Notice discusses the substantive changes to Part
B, Chapters 1 through 7. This Change includes revisions to Part C,
Chapters 1 and 2, to account for revised regulations, updated forms,
and reformatting. Part A will be reviewed and revised as part of a
separate initiative.

DATES: Unless specifically stated otherwise, Change-1 to Marine Safety
Manual, Volume III, Marine Industry Personnel, COMDTINST M16000.8B is
effective as of August 5, 2014. Documents discussed in this notice
should be available in the online docket within three business days of
today's publication. This change has been incorporated into the
electronic copy of the manual available on the Internet at http://www.uscg.mil/directives/listing_cim.asp?id=16000-16999. There will be
no hardcopy distribution of this change.

ADDRESSES: To view the documents mentioned in this notice, go to http://www.regulations.gov and use ``USCG-2013-0240'' as your search term.
Locate this notice in the search results, and use the filters on the
left side of the page to locate specific documents by type. If you do
not have access to the Internet, you may view the docket online by
visiting 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. We have an agreement
with the Department of Transportation to use the Docket Management
Facility.

FOR FURTHER INFORMATION CONTACT: For information about this document,
call or email Lieutenant Corydon Heard, Office of Commercial Vessel
Compliance (CG-CVC), U.S. Coast Guard; telephone<PHONE_NUMBER>, email
<EMAIL_ADDRESS>For information about viewing material in the
docket, call Cheryl Collins, Program Manager, Docket Operations,
telephone<PHONE_NUMBER>, toll free 1-800-647-5527.

SUPPLEMENTARY INFORMATION:

Background and Purpose

    The Marine Safety Manual, Volume III, Marine Industry Personnel,
COMDTINST M16000.8B, provides information and interpretations on
international conventions and U.S. statutory and regulatory issues
relating to marine industry personnel. The last revisions were released
on May 27, 1999. The primary reasons for these changes are to
incorporate the 2010 amendments to the International Convention on
Standards of Training, Certification and Watchkeeping for Seafarers,
1978, as amended (STCW Convention), update the provisions for vessel
manning, revise the discussion on the impact of multiple international
standards, to clarify the applicability of tonnage measurement systems
to U.S. flag vessels, and to include changes resulting from the
consolidation of merchant mariner qualification credentials. The Coast
Guard published two notices in the Federal Register announcing the
availability of the changes to Part B (legacy chapters 20-26) and
requested public comments (See 78 FR 48696 and 79 FR 14714) as well as
input from the Merchant Marine Personnel Advisory Committee.
    Specifically, the substantive changes announced in the initial
notice (August 9, 2013) included: (1) Updated provisions for vessel
manning, including guidance for the issuing of safe manning documents;
(2) clarified roles, responsibilities, and facilitation of
communications with the appropriate offices at Coast Guard Headquarters
in alignment with current Coast Guard organization; and (3) revised
discussion on the impact of multiple international standards, including
the Officer's Competency Certificates Convention (OCCC) 1936, the
International Convention for Safety of Life at Sea (SOLAS), the Global
Maritime Distress and Safety System (GMDSS), and the Principles of
Minimum Safe Manning (IMO Resolution A.1047(27)). Additionally, the
initial draft clarified the applicability of tonnage measurement
systems to U.S. flag vessels, and included changes resulting from the
consolidation of merchant mariner qualification credentials, including
the removal of references to the operated uninspected towing vessel
endorsement.
    The primary reasons for the supplemental notice (March 17, 2014)
were to announce the incorporation of the 2010 amendments to the STCW
Convention and to address the 15 public comments received from the
initial solicitation as well as input from the Merchant Marine
Personnel Advisory Committee.
    We received 12 public comment responses to the March 17, 2014
supplemental Federal Register notice. These comment responses contained
a total of approximately 29 specific recommendations, suggestions, and
other comments. We have created a comment matrix that provides a
summary of each comment and the corresponding Coast Guard response, as
well as internal Coast Guard comments. A copy of this comment matrix is
available for viewing in the public docket for this notice. For more
detailed information, please consult the actual public comment letters,
which are available in the docket. You may access the docket going to
http://www.regulations.gov, using ``USCG-2013-0240'' as your search
term, and following the instructions in the ADDRESSES section above.
    The basic ideas and principles encompassed in the initial and
supplemental drafts remain. Some commenters raised concerns and
objections over several proposed revisions to the MSM. In response to
these comments, the Coast Guard has made some additional revisions. The
Coast Guard notes, however, that the MSM (and any revisions made to the
MSM) reflect current law and regulation and are intended to provide
guidance and information to marine industry personnel. A brief
discussion of the comments is included below. For a more in-depth
discussion of the

individual comments submitted, please visit the docket for this notice
to view submitted comments and the public comment matrix.
    (1) The Coast Guard received several comments concerning revised
language to the towing vessel work site exclusion provision. These
comments generally objected to the use of the terms ``emergency'' and
``intermittent'' in the revised guidance and stated that use of these
terms with regard to dredging operations was not intended by Congress
when it provided guidance on work site exclusions. The Coast Guard
agrees with these comments that dredging operations were specifically
enumerated by Congress for this exclusion without further
qualification. The use of the terms ``emergency'' and ``intermittent''
were meant to apply to towing operations not involving dredging
operations seeking a work site exclusion and we stated so in the
supplemental draft of Part B, Chapter 7.
    (2) Multiple commenters expressed concern over the licensing
requirements for uninspected fish processing vessels between 200 GT and
less than 1600 GT (which entered into service prior to 1988).
Specifically, commenters were concerned that Part B, Chapter 7
overturns a 20-year-old policy interpretation and compliance actions by
the Coast Guard which allowed those fish processing vessels to operate
without a licensed assistant engineer. The text in Part B, Chapter 7 is
largely unchanged since the last revision of MSM III in 1999. However,
the special ``note'' in Part B, Chapter 7 incorporates and makes
specific reference to the December 2013 CG Message ``Engineer Officer
Endorsements on Uninspected Fishing Vessels'' (R 061640Z DEC 13) and
CG-543 Policy Letter 11-11 for relaxed enforcement measures on
Uninspected Commercial Fishing Vessels until January 1, 2015--unless
specified otherwise.
    (3) An additional commenter noted that the passage and
implementation of Public Law 98-89 necessitated the revision of the
regulations to refer to ``operation'' of a vessel rather than
``navigation'' of a vessel. The regulations were revised to refer to
``operation,'' however, the Coast guard has failed to provide adequate
guidance, particularly with respect to the minimum complement of
officers and crew necessary for the safe operation of vessels when they
are not in navigation. The Coast Guard acknowledges this comment and
appreciates the commenter's concerns. As explained in the legislative
history of Public Law 98-89, Congress intended the words ``operate on''
or ``on'' to replace the term ``navigate'' and it was intended ``to
cover all operations of a vessel when it is at the pier, idle in the
water, at anchor, or being propelled through the water.'' 1983 U.S.
Code Cong. and Adm. News, p. 924, 933. However, because of the number
and degree of varying operational scenarios it is difficult to develop
standardized scales for every manning permutation. For vessels not
carrying passengers--including those not underway--it is the
responsibility of the master to establish adequate watches (46 CFR
15.705(a)). To clarify this, revisions have been incorporated into Part
B, Chapter 5.
    Additional changes include: (1) General revisions to Part C,
Chapters 1 and 2 (legacy Chapters 18 and 19) to account for revised
regulations, updated forms and reformatting; (2) Added Common COI/SMD
Sample Endorsements to the Annex; and (3) Included a Forward at the
beginning as an opener. These additional changes were not considered to
be substantial, but were necessary to reflect revised regulations and
current practice.
    It should be noted that Change-1 is not intended to preempt or take
the place of separate policy initiatives regarding specific decisions
on appeal or future regulations. Future changes to the MSM may be
released if the Coast Guard promulgates new regulations or appeal
decisions, which may affect the guidance and information contained
within the MSM.
    If you discover a discrepancy between the manning or endorsements
specified by the Certificate of Inspection/Safe Manning Documentation
(COI/SMD) and the provisions of the MSM, Volume III, bring it to the
attention of the OCMI with a view toward aligning with the revised MSM
III.
    This notice is issued under authority of 5 U.S.C. 552(a).

    Dated: July 30, 2014.
Paul F. Thomas,
Rear Admiral, U.S. Coast Guard, Assistant Commandant for Prevention
Policy.
[FR Doc. 2014-18528 Filed 8-4-14; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register Volume 77, Number 175 (Monday, September 10, 2012)]
[Rules and Regulations]
[Pages 55416-55417]
[FR Doc No: 2012-22162]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 117

[Docket No. USCG-2012-0829]

Drawbridge Operation Regulations; Long Island, New York Inland
Waterway From East Rockaway Inlet to Shinnecock Canal, NY

AGENCY: Coast Guard, DHS.

ACTION: Notice of temporary deviation from regulations.

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SUMMARY: The Commander, First Coast Guard District, has issued a
temporary deviation from the regulation governing the operation of the
Loop Parkway Bridge, mile 0.7, across Long Creek, and the Meadowbrook
Parkway Bridge, mile 12.8, across Sloop Channel, at Hempstead, New
York. This deviation is necessary to facilitate the 2012 March of Dimes
Motorcycle Run. The deviation allows the two bridges listed above to
remain in the closed position during this public event.

DATES: This deviation is effective from 11 a.m. through 1 p.m. on
September 15, 2012.

ADDRESSES: Documents mentioned in this preamble as being available in
the docket are part of docket USCG-2012-0829 and are available online
at www.regulations.gov, inserting USCG-2012-0829 in the ``Keyword'' box
and then clicking ``Search''. This material is also available for
inspection or copying at the Docket Management Facility (M-30), U.S.
Department of Transportation, West Building Ground Floor, Room W12-140,
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,
call or email Ms. Judy Leung-Yee, Project Officer, First Coast Guard
District, telephone<PHONE_NUMBER><EMAIL_ADDRESS>If you
have questions on viewing the docket, call Renee V. Wright, Program
Manager, Docket Operations, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: The Loop Parkway Bridge, mile 0.7, across
Long Creek has a vertical clearance in the closed position of 21 feet
at mean high water and 25 feet at mean low water. The existing
drawbridge operation regulations are listed at 33 CFR 117.799(f).
    The Meadowbrook Parkway Bridge, mile 12.8, across Sloop Channel has
a vertical clearance in the closed position

of 22 feet at mean high water and 25 feet at mean low water. The
existing drawbridge operation regulations are listed at 33 CFR
117.799(h). Long Creek and Sloop Channel both are transited by
commercial fishing and recreational vessel traffic.
    The owner of the two bridges, the State of New York Department of
Transportation, requested bridge closures to facilitate a public event,
the 2012 March of Dimes Motorcycle Run.
    Under this temporary deviation the Loop Parkway Bridge and the
Meadowbrook Parkway Bridge may remain in the closed position between 11
a.m. and 1 p.m. on September 15, 2012, to facilitate a public event,
the 2012 March of Dimes Motorcycle Run.
    There are no alternate routes for vessel traffic; however, vessels
that can pass under the closed draws during this closure may do so at
any time. The bridges may be opened in the event of an emergency.
    In accordance with 33 CFR 117.35(e), the bridge must return to its
regular operating schedule immediately at the end of the designated
time period. This deviation from the operating regulations is
authorized under 33 CFR 117.35.

    Dated: August 23, 2012.
Gary Kassof,
Bridge Program Manager, First Coast Guard District.
[FR Doc. 2012-22162 Filed 9-7-12; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register Volume 83, Number 166 (Monday, August 27, 2018)]
[Notices]
[Pages 43666-43667]
[FR Doc No: 2018-18420]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings #1

    Take notice that the Commission received the following exempt
wholesale generator filings:

    Docket Numbers: EG18-122-000.
    Applicants: Green River Wind Farm Phase 1, LLC.
    Description: Notice of Self-Certification of Exempt Wholesale
Generator Status for Green River Wind Farm Phase 1, LLC.
    Filed Date: 8/17/18.
    Accession Number: 20180817-5034.
    Comments Due: 5 p.m. ET 9/7/18.

    Take notice that the Commission received the following electric
rate filings:

    Docket Numbers: ER18-2231-000.
    Applicants: Duke Energy Carolinas, LLC.
    Description: Sec.  205(d) Rate Filing: DEC Revised Depreciation
Rates to be effective 8/1/2018.
    Filed Date: 8/16/18.
    Accession Number: 20180816-5123.
    Comments Due: 5 p.m. ET 9/6/18.

    Docket Numbers: ER18-2232-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: Sec.  205(d) Rate Filing: Revisions to OA Sections RE
Confidentiality of Data and Information to be effective 10/15/2018.
    Filed Date: 8/16/18.
    Accession Number: 20180816-5136.
    Comments Due: 5 p.m. ET 9/6/18.

    Docket Numbers: ER18-2233-000.
    Applicants: Ohio Power Company, AEP Ohio Transmission Company,
Inc., PJM Interconnection, L.L.C.
    Description: Sec.  205(d) Rate Filing: AEP Ohio et al. submits
ILDSA, Service Agreement No. 1336 btwn AEPSC and Buckeye to be
effective 7/17/2018.
    Filed Date: 8/17/18.
    Accession Number: 20180817-5020.
    Comments Due: 5 p.m. ET 9/7/18.

    Docket Numbers: ER18-2234-000.
    Applicants: Public Service Company of Colorado.
    Description: Sec.  205(d) Rate Filing: 2018-08-17 Spring Canyon,
Tri-State

IA-440-0.0.0-Filing to be effective 10/17/2018.
    Filed Date: 8/17/18.
    Accession Number: 20180817-5023.
    Comments Due: 5 p.m. ET 9/7/18.

    Docket Numbers: ER18-2236-000.
    Applicants: Parrey, LLC.
    Description: Sec.  205(d) Rate Filing: Amended and Restated
Henrietta Shared Facilities Agreement No. 1 Filing to be effective 8/
17/2018.
    Filed Date: 8/17/18.
    Accession Number: 20180817-5043.
    Comments Due: 5 p.m. ET 9/7/18.

    Docket Numbers: ER18-2237-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: Sec.  205(d) Rate Filing: Amendment to ISA, SA No.
2826, Queue No. None (Consent) to be effective 6/1/2011.
    Filed Date: 8/17/18.
    Accession Number: 20180817-5044.
    Comments Due: 5 p.m. ET 9/7/18.

    Docket Numbers: ER18-2238-000.
    Applicants: Midcontinent Independent System Operator, Inc.
    Description: Sec.  205(d) Rate Filing: 2018-08-17_SA 3154 ATC-ACEC
Project Commitment Agreement (Hancock) to be effective 10/17/2018.
    Filed Date: 8/17/18.
    Accession Number: 20180817-5050.
    Comments Due: 5 p.m. ET 9/7/18.

    Docket Numbers: ER18-2239-000.
    Applicants: Midcontinent Independent System Operator, Inc.
    Description: Sec.  205(d) Rate Filing: 2018-08-17_SA 3155 ATC-ACEC
Project Commitment Agreement (Springwater) to be effective 10/17/2018.
    Filed Date: 8/17/18.
    Accession Number: 20180817-5052.
    Comments Due: 5 p.m. ET 9/7/18.

    Docket Numbers: ER18-2240-000.
    Applicants: Yavi Energy, LLC.
    Description: Baseline eTariff Filing: MBR Application to be
effective 10/1/2018.
    Filed Date: 8/17/18.
    Accession Number: 20180817-5073.
    Comments Due: 5 p.m. ET 9/7/18.

    Docket Numbers: ER18-2241-000.
    Applicants: Garnet Wind, LLC.
    Description: Baseline eTariff Filing: MBR Application to be
effective 10/1/2018.
    Filed Date: 8/17/18.
    Accession Number: 20180817-5080.
    Comments Due: 5 p.m. ET 9/7/18.

    Docket Numbers: ER18-2242-000.
    Applicants: California Independent System Operator Corporation.
    Description: Sec.  205(d) Rate Filing: 2018-08-17 Energy Storage
and Distributed Energy Resource Phase 2 Amendment to be effective 11/1/
2018.
    Filed Date: 8/17/18.
    Accession Number: 20180817-5085.
    Comments Due: 5 p.m. ET 9/7/18.

    Docket Numbers: ER18-2243-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Sec.  205(d) Rate Filing: Morgan Transformer Project
Cost Allocation (Part 1) to be effective 10/16/2018.
    Filed Date: 8/17/18.
    Accession Number: 20180817-5141.
    Comments Due: 5 p.m. ET 9/7/18.

    Docket Numbers: ER18-2244-000.
    Applicants: Arizona Public Service Company.
    Description: Sec.  205(d) Rate Filing: Rate Schedule No. 217,
Exhibit B Revisions to be effective 10/17/2018.
    Filed Date: 8/17/18.
    Accession Number: 20180817-5142.
    Comments Due: 5 p.m. ET 9/7/18.

    Docket Numbers: ER18-2245-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Sec.  205(d) Rate Filing: Morgan Transformer Project
Cost Allocation (Part 2) to be effective 10/16/2018.
    Filed Date: 8/17/18.
    Accession Number: 20180817-5143.
    Comments Due: 5 p.m. ET 9/7/18.

    Take notice that the Commission received the following electric
securities filings:

    Docket Numbers: ES18-56-000.
    Applicants: GridLiance High Plains LLC.
    Description: Application for Authorization under Section 204 of the
Federal Power Act of GridLiance High Plains LLC.
    Filed Date: 8/16/18.
    Accession Number: 20180816-5159.
    Comments Due: 5 p.m. ET 9/6/18.

    The filings are accessible in the Commission's eLibrary system by
clicking on the links or querying the docket number.
    Any person desiring to intervene or protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Regulations (18 CFR 385.211 and 385.214) on or before 5:00
p.m. Eastern time on the specified comment date. Protests may be
considered, but intervention is necessary to become a party to the
proceeding.
    eFiling is encouraged. More detailed information relating to filing
requirements, interventions, protests, service, and qualifying
facilities filings can be found at: http://www.ferc.gov/docs-filing/efiling/filing-req.pdf. For other information, call<PHONE_NUMBER>
(toll free). For TTY, call<PHONE_NUMBER>.

    Dated: August 17, 2018.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2018-18420 Filed 8-24-18; 8:45 am]
 BILLING CODE 6717-01-P


PAPERWORK REDUCTION ACT SUBMISSION Please read the instructions before completing this form. For additional forms or assistance in completing this form, contact your agency s Paperwork Clearance Officer. Send two copies of this form, the collection instrument to be reviewed, the Supporting Statement, and any additional documentation to: Office of Information and Regulatory Affairs, Office of Management and Budget, Docket Library, Room 10102, 725 17th Street NW Washington, DC 20503.

1. Agency/ Subagency originating request 2. OMB control number b. None U. S. Environmental Protection Agency, Office of Air and a.   2 0 6 0 Radiation 3. Type of information collection ( check one) 4. Type of review requested ( check one)

a. X New collection a. X Regular b. Revision of a currently approved collection b. Emergency  Approval requested by: / /

c. Extension of a currently approved collection c. Delegated d. Reinstatement, without change, of a previously 5. Small entities approved collection for which approval has expired Will this information collection have a significant economic impact on a e. Reinstatement, with change, of a previously substantial number of small entities? Yes X No approved collection for which approval has expired f. Existing collection in use without OMB control 6. Requested expiration date number a. X Three years from approval date For b   f, note Item A2 of Supporting Statement Instructions b. Other Specify: /

7. Title National Emission Standards for Hazardous Air Pollutants for Automobile and Light duty Truck Surface Coating ( Proposed Rule)

8. Agency form number( s) ( if applicable)

ICR 2045.01 9. Keywords Clean Air Act, Environmental Protection Air Pollution Control,

10. Abstract Owners or operators of automobile and light duty truck surface coating facilities must submit notifications and reports and maintain records required by the general provisions ( 40 CFR Part 63, Subpart A) and maintain records of specific information needed to determine if compliance has been achieved.

11. Affected public 12. Obligation to respond ( Mark primary with " P" and all others that apply with " X") ( Mark primary with " P" and all others that apply with " X")

a. Individuals or households d. Farms a. Voluntary b. P Business or other for profit e. Federal Government b. Required to obtain or retain benefits c. Not for profit institutions f. State, Local or Tribal c. P Mandatory Government 13. Annual reporting and recordkeeping hour burden 14. Annual reporting and recordkeeping cost burden ( in thousands of dollars)

a. Number of respondents 65 a. Total annualized capital/ startup costs $ 0 b. Total annual responses 313 b. Total annual costs ( O& M) $ 1 1. Percentage of these responses c. Total annualized cost requested $ 1 collected electronically 33 % d. Current OMB inventory $ 0 c. Total annual hours requested 1 e. Difference $ 1 d. Current OMB inventory 0 f. Explanation of difference e. Difference 1 1. Program change $ 1 f. Explanation of difference 2. Adjustment 1. Program change 1 2. Adjustment 15. Purpose of information collection 16. Frequency of recordkeeping or reporting ( check all that apply)

( Mark primary with " P" and all others that apply with " X") a. X Recordkeeping b. Third party disclosure a. Application for benefits e. Program planning or c. X Reporting b. Program evaluation management 1. X On occasion 2. X Weekly c. General purpose statistics f. Research 3. Monthly 4. Quarterly d. Audit g. P Regulatory or compliance 5. X Semi annually 6. Annually compliance 7. Biennially 8. Other ( describe)

17. Statistical methods 18. Agency contact ( person who can best answer questions regarding the Does this information collection employ statistical methods? content of this submission)

Yes X No Name: David Salman, ESD Phone: 919 541 0859 OMB 83 I 10/ 95


[Federal Register Volume 86, Number 244 (Thursday, December 23, 2021)]
[Notices]
[Pages 73029-73033]
[FR Doc No: 2021-27819]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-93815; File No. SR-CboeEDGX-2021-052]

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice
of Filing of a Proposed Rule Change To Amend Rule 25.3, Which Governs
the Exchange's Minor Rule Violation Plan, in Connection With Certain
Minor Rule Violations and Applicable Fines

December 17, 2021.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that, on December 6, 2021, Cboe EDGX Exchange, Inc. (the ``Exchange''
or ``EDGX'') 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\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------

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

    Cboe EDGX Exchange, Inc. (the ``Exchange'' or ``EDGX Options'')
proposes to amend Rule 25.3, which governs the Exchange's Minor Rule
Violation Plan (``MRVP''), in connection with certain minor rule
violations and applicable fines. The text of the proposed rule change
is provided in Exhibit 5.
    The text of the proposed rule change is also available on the
Exchange's website (http://markets.cboe.com/us/options/regulation/rule_filings/edgx/), at the Exchange's Office of the Secretary, and at
the Commission's Public Reference Room.

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 Exchange 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. The Exchange 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, the Proposed Rule Change

1. Purpose
    The Exchange proposes to amend its MRVP in Rule 25.3 in connection
with certain minor rule violations and applicable fines. Rule 25.3
provides for disposition of specific violations through assessment of
fines in lieu of conducting a formal disciplinary proceeding.\3\
Current Rule 25.3(a)-(g) sets forth a list of specific Exchange Rules
under which an Options Member, associated person of an Options Member,
or registered or non-registered employee of an Options Member may be
subject to a fine for violations of such Rules and the applicable fines
that may be imposed by the Exchange. Specifically, the proposed rule
change amends Rule 25.3 by: (1) Eliminating the violation of Rule
22.6(a) in Rule 25.3(c), which currently imposes fines for violations
of Rules 22.6(a) through (c) (Market Maker Quotations); (2) relocating
violations of Rule 22.6(b) (regarding Market Maker initial quote volume
requirements) and Rule 22.6(c) (regarding Market Maker two-sided quote
requirements) to Rule 25.3(d),\4\ which currently imposes fines for
violations of Rule 22.6(d) (regarding Market Maker continuous quoting
obligations) so that a single MRVP provision governs violations of a
Market Maker's quoting obligations; and (3) updating the fine schedule
applicable to minor rule violations related to a Market Maker Quoting
Obligations (i.e., Rules 22.6(b)-(d), as proposed) in Rule 25.3(d).
---------------------------------------------------------------------------

    \3\ The Exchange may, with respect to any such violation,
proceed under Rule 8.15 (Imposition of Fines for Minor Violation(s)
of Rules) and impose the fine set forth in Rule 25.3(a)-(g).
    \4\ As a result of the proposed elimination or relocation of the
rule violations listed under Rule 25.3(c), the proposed rule change
ultimately eliminates Rule 25.3(c) from the MRVP and subsequently
renumbers current Rules 25.3(d), 25.3(e), 25.3(f) and 25.3(g) to
Rules 25.3(c), 25.3(d), 25.3(e) and 25.3(f), respectively
---------------------------------------------------------------------------

    First, the proposed rule change eliminates the violation of 22.6(a)
currently in Rule 25.3(c) of the MRVP. Specifically, Rule 22.6(a)
requires a Market Maker to submit bids and offers that are firm for all
orders. The Exchange no longer believes violations of Rule 22.6(a) to
be minor in nature and therefore proposes to remove it from the list of
rules in Rule 25.3 eligible for a minor rule fine disposition.
Particularly, the Exchange believes that violations of Rule 22.6(a) may
directly impact trading on the Exchange, the maintenance of a fair and
orderly market and customer protections because honoring firm
quotations is vital in promoting efficient functioning of intermarket
price priority and trading in general. Pursuant to Rule 25.3, the
Exchange is not required to proceed under said Rules as to any rule
violation and may, whenever such action is deemed appropriate, commence
a disciplinary proceeding under Chapter VIII (Discipline) rules as to
any such violation. The Exchange notes that the proposed rule change is
consistent with the MRVP of its affiliated options exchange, Cboe
Exchange, Inc. (``Cboe Options''), which recently filed a proposal,
approved by the Commission,\5\ to no longer include such violations as
eligible for a minor rule disposition on Cboe Options for the same
reason--it no longer believed violations of the firm quote requirement
to be minor in nature.
---------------------------------------------------------------------------

    \5\ See Securities Exchange Act Release No. 92702 (August 18,
2021), 86 FR 47346 (August 24, 2021) (SR-CBOE-2021-045) (Notice of
Filing and Order Granting Accelerated Approval of a Proposed Rule
Change To Amend Rule 13.15, Which Governs the Exchange's Minor Rule
Violation Plan).
---------------------------------------------------------------------------

    The proposed rule change next relocates violations of Rules 22.6(b)
and (c), currently in Rule 25.3(c) of the MRVP, to Rule 25.3(d) (Rule
25.3(c), as amended) \6\ of the MRVP. The Exchange notes that Rule 22.6
governs Market Maker quoting obligations on the Exchange and, more
specifically, Rule 22.6(b) requires a Market Maker to submit initial
quotes that contain certain volume and Rule 22.6(c) requires a Market
Maker to submit two-sided quotes. As stated above, Rule 25.3(d)
currently imposes certain fines for a Market Maker's failure to meet
the continuous quoting obligations in Rule 22.6(d). By relocating
violations of Rules 22.6(b) and (c) to join violations of Rule 22.6(d)
in Rule 25.3(d) of the MRVP, the proposed rule change amends the MRVP
to impose the same fine schedule for violations of a Market Maker's
quoting obligations. The proposed rule change subsequently renames Rule
25.3(d) as ``Market Maker Quoting Obligations''. The Exchange notes
that the proposed rule change is consistent, and intended to harmonize
to the extent possible, with the MRVP of the Exchange's affiliated
options exchange, Cboe Exchange, Inc. (``Cboe Options''), which imposes
the one fine schedule for a market maker's failure to meet its quoting
obligations on Cboe Options, including failure to meet continuous
quoting requirements and failure to meet initial quote volume
requirements.\7\ The Exchange's affiliated options exchanges, Cboe BZX
Exchange, Inc. (``BZX Options'') and Cboe C2 Exchange, Inc. (``C2''),
also intend to file a proposal to update their MRVPs in connection with
the violations of market maker quoting requirements on BZX Options and
C2, to the extent possible, in an identical manner.
---------------------------------------------------------------------------

    \6\ See supra note 4.
    \7\ See Cboe Options Rule 13.15(g)(9).
---------------------------------------------------------------------------

    Additionally, while current Rule 25.3(c) provides that each
paragraph of such sections subject to this Rule shall be treated
separately for purposes of determining the number of cumulative
violations, the corresponding Cboe Options MRVP provision applicable to
violations of market maker quoting obligations does not contain this
language and Cboe Options may aggregate violations across sections
governing market maker quoting obligations. Therefore, in order to
harmonize the process for imposing minor rule violation fines for
market maker violation of quoting obligations across the Exchange and
its affiliated options exchanges,\8\ the proposed rule change does not
relocate such language currently in 25.3(c) to Rule 25.3(d), and, as a
result, the Exchange will likewise be able to choose to aggregate
violations across sections governing market maker quoting obligations.
Additionally, the Exchange notes that Rule 25.3(d) already permits the
Exchange to aggregate violations of a Market Maker's continuous quoting
obligations into a single offense. Specifically, Rule 25.3(d) provides
that violations occurring during a calendar month are aggregated and
sanctioned as a single offense. To accommodate the addition of the
Market Maker two-sided quote and initial quote volume requirements to
Rule 25.3(d) and harmonize Rule 25.3(d) with that of Cboe Option's
corresponding MRVP provision, the proposed rule change updates this
language to provide that violations occurring during a calendar

month may be aggregated and sanctioned as a single offense.\9\ The
proposed rule change also updates the fine schedule heading in Rule
25.3(d) to reflect that fines may be imposed per the number of
offenses, rather than violations, which more accurately reflects the
manner in which the Exchange aggregates violations as a single offense
under Rule 25.3(d), currently and as proposed.
---------------------------------------------------------------------------

    \8\ As indicated above, BZX Options intends to file a proposal
to update its MRVP in connection with violations of market maker
quoting requirements on BZX Options in an identical manner.
    \9\ The Exchange also notes that the current provision requiring
the Exchange to aggregate and sanction violations as a single
offense, applicable to violations of a Market Maker's continuous
quoting obligations, currently conflicts with Rule 22.6(d) and a
Market Maker's continuous quoting obligations. Specifically,
pursuant to Rule 22.6(d)(1), the Exchange determines compliance by a
Market Maker with the continuous quoting obligation in Rule 22.6(d)
on a monthly basis; however, determining compliance with the
continuous quoting obligations on a monthly basis does not relieve a
Market Maker from meeting this obligation on a daily basis, nor does
it prohibit the Exchange from taking disciplinary action against a
Market Maker for failing to meet this obligation each trading day.
Therefore, the Exchange believes that, notwithstanding the proposed
relocation of Rules 22.6(b) and (c) to Rule 25.3(d), it should have
the flexibility to be able to separately charge for violations of a
Market Maker's continuous quoting obligations on a monthly basis and
a daily basis.
---------------------------------------------------------------------------

    The proposed rule change next amends the fine schedule in Rule
25.3(d) (Rule 25.3(c), as amended) \10\ applicable to Market Makers for
violations of their quoting obligations (Rules 22.6(b)-(d), as
proposed) in order to harmonize, to the extent possible, this MRVP
provision with the corresponding Cboe Options MRVP provision applicable
to violations of a market makers quoting obligations on Cboe Options.
The current fine schedule in Rule 25.3(d), currently applicable to
violations of a Market Maker's continuous quoting obligations, sets
forth the following:
---------------------------------------------------------------------------

    \10\ See supra note 4.
---------------------------------------------------------------------------

    For the first violation during any rolling 24-month period (i.e.,
one period),\11\ the fine schedule imposed by Rule 25.3(d) currently
permits the Exchange to give a Letter of Caution. For a second
violation during the same period, the fine schedule currently permits
the Exchange to apply a fine of $1,000. For a third violation in the
same period, the fine schedule currently permits the Exchange to apply
a fine of $25,000. For a fourth violation in the same period, the fine
schedule currently permits the Exchange to apply a fine of $5,000.
Finally, for five or more violations in the same period, the fine
schedule currently permits the Exchange to proceed with formal
disciplinary action.
---------------------------------------------------------------------------

    \11\ See Rule 25.3, which provides that a subsequent violation
is calculated on the basis of a rolling 24-month period
(``Period'').
---------------------------------------------------------------------------

    The proposed rule change updates the fine schedule to provide that,
during any rolling 24-month period, the Exchange may continue to give a
Letter of Caution for a first offense,\12\ may apply a fine of $1,500
for a second offense,\13\ may apply a fine of $3,000 for a third
offense, and may proceed with formal disciplinary action for subsequent
offenses. As described above, and as is the case for all rule
violations covered under Rule 25.3, the Exchange may determine that it
is appropriate to commence a formal disciplinary proceeding for a
violation of Market Maker quoting obligations and may choose to proceed
under the Exchange's formal disciplinary rules rather than its MRVP.
The Exchange may continue to aggregate similar violations generally if
the conduct was unintentional, there was no injury to public investors,
or the violations resulted from a single systemic problem or cause that
has been corrected, .and treat such violations as a single offense.\14\
---------------------------------------------------------------------------

    \12\ As stated herein, the proposed rule change also updates the
fine schedule heading to reflect that fines may be imposed per the
number of offenses, rather than violations, which more accurately
reflects the manner in which the Exchange aggregates violations as a
single offense under Rule 25.3(d), currently and as proposed.
    \13\ Any fine imposed pursuant to the Exchange's MRVP that does
not exceed $2,500 and is not contested shall not be publicly
reported, except as may be required by Rule 19d-1 under the Act or
as may be required by any other regulatory authority. See Rule
8.15(a).
    \14\ See Rule 8.15(a).
---------------------------------------------------------------------------

    The Exchange believes it is appropriate to increase the fine
amounts for a second and third offense and to remove the fine imposed
for a fourth offense and proceed with formal disciplinary proceedings
for subsequent offenses following a third offense. Particularly, the
Exchange believes that applying a higher fine per second and third
offenses in connection with a Market Maker's quoting obligations \15\
and, ultimately, formal disciplinary proceedings for any subsequent
offenses during a rolling 24-month period, will allow the Exchange to
levy progressively larger fines and greater penalties (i.e., formal
disciplinary proceedings following a third offense) against repeat-
offenders. The Exchange believes this fine structure may serve to more
effectively deter repeat-offenders while continuing to provide
reasonable warning for a first offense during a rolling 24-month
period. The Exchange notes that the proposed fine schedule for
violations of a Market Maker's quoting obligations is identical to the
fine schedule under the MRVP of Cboe Options for market maker
violations of quoting obligations on Cboe Options, including a
continuous quoting requirement and initial volume requirement. The
Exchange further notes that the proposed change is intended to provide
for consistency across the Exchange's MRVP and the MRVPs of its
affiliated options exchanges, Cboe Options, BZX Options and Cboe C2
Exchange, Inc. (``C2''), as BZX Options and C2 also intend to file
proposals to update their minor rule violation fines for violations of
market maker quoting requirements on their exchanges in an identical
manner.
---------------------------------------------------------------------------

    \15\ The proposed fine amounts are also an increase from the
fines in Rule 25.3(c) currently imposed for violations of Market
Maker initial quote volume and two-sided requirements. The Exchange
notes, however, that Rule 25.3(c) currently imposes fines per
violation whereas Rule 25.3(d) imposes fines per offense, which may
be cumulative violations of Market Maker quoting obligations, as
proposed.
---------------------------------------------------------------------------

2. Statutory Basis
    The Exchange believes the proposed rule change is consistent with
the Securities Exchange Act of 1934 (the ``Act'') and the rules and
regulations thereunder applicable to the Exchange and, in particular,
the requirements of Section 6(b) of the Act.\16\ Specifically, the
Exchange believes the proposed rule change is consistent with the
Section 6(b)(5) \17\ requirements that the rules of an exchange be
designed to prevent fraudulent and manipulative acts and practices, to
promote just and equitable principles of trade, to foster cooperation
and coordination with persons engaged in regulating, clearing,
settling, processing information with respect to, and facilitating
transactions in securities, 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 the proposed rule change is consistent with the Section
6(b)(5) \18\ requirement that the rules of an exchange not be designed
to permit unfair discrimination between customers, issuers, brokers, or
dealers.
---------------------------------------------------------------------------

    \16\ 15 U.S.C. 78f(b).
    \17\ 15 U.S.C. 78f(b)(5).
    \18\ Id.
---------------------------------------------------------------------------

    The Exchange believes that the proposed rule change to remove the
firm quote requirement, which it no longer considers violations of
which to be minor in nature, as eligible for a minor rule fine
disposition under its MRVP, will assist the Exchange in preventing
fraudulent and manipulative acts and practices and promoting just and
equitable principles of trade, and will serve to remove impediments to
and perfect the mechanism of a free and open market and a national
market

system, and, in general, protect investors and the public interest.
Particularly, the Exchange believes that violations of the firm quote
requirement may directly impact trading on the Exchange, maintenance of
a fair and orderly market, and customer protection. As such, the
Exchange does not believe violations of this rule to be minor in nature
and, instead, should be handled under its formal disciplinary rules,
rather than imposing fines pursuant to its MRVP. Also, and as stated
above, the proposed rule change is consistent with the MRVP of its
affiliated options exchange, Cboe Options, which, for the same reasons
provided herein, no longer includes violations of the firm quote
requirement as eligible for a minor rule disposition on Cboe
Options.\19\
---------------------------------------------------------------------------

    \19\ See supra note 5.
---------------------------------------------------------------------------

    The Exchange believes that the proposed rule change to apply the
same MRVP fine schedule for violations of a Market Makers quoting
obligations pursuant to Rule 22.6 (i.e., Rules 22.6(b)-(d)) and the
same process for imposing such fines--that is, permitting the Exchange
to aggregate violations of such Market Maker obligations into a single
offense--will assist the Exchange in preventing fraudulent and
manipulative acts and practices and promoting just and equitable
principles of trade by uniformly imposing penalties and procedures for
failure to satisfy obligations governed by the same Rule. Additionally,
the Exchange believes the proposed rule change will serve to remove
impediments to and perfect the mechanism of a free and open market and
a national market system, and, in general, protect investors and the
public interest because it is intended to harmonize the Exchange's MRVP
in connection with Market Maker quoting obligations with that of Cboe
Options, as well as BZX Options,\20\ thereby providing consistent
structures and procedures across MRVP provisions applicable to market
maker obligations on the affiliated options exchanges.
---------------------------------------------------------------------------

    \20\ See supra note 8.
---------------------------------------------------------------------------

    The Exchange also believes that the proposed rule change, in
connection with the fine schedule for violations of a Market Maker's
quoting obligations in Rule 25.3(d), as proposed, to increase the fine
amounts for a second and third offense \21\ and to remove the fine
imposed for a fourth offense and proceed with formal disciplinary
proceedings for subsequent offenses following a third offense will
assist the Exchange in preventing fraudulent and manipulative acts and
practices and promoting just and equitable principles of trade, and
will serve to remove impediments to and perfect the mechanism of a free
and open market and a national market system, and, in general, protect
investors and the public interest. Particularly, the Exchange believes
that applying a higher fine per second and third offenses and,
ultimately, formal disciplinary proceedings for any subsequent offenses
during a rolling 24-month period, will allow the Exchange to levy
progressively larger fines and greater penalties (i.e., formal
disciplinary proceedings following a third offense) against repeat-
offenders which may serve to more effectively deter repeat-offenders
while providing reasonable warning for a first offense during a rolling
24-month period. The Exchange believes that more effectively deterring
repeat-offenders, while continuing to make first instance offenders
aware of their quoting obligation violations and the subsequent
consequences for continued failure, will, in turn, further motivate
Market Makers to continue to uphold their quoting obligations,
providing liquid markets to the benefit of all investors. The Exchange
again notes that the proposed fine schedule is consistent with the fine
schedule under Cboe Options' MRVP applicable to violations of Market
Maker quoting requirements on Cboe Options, including a continuous
quoting requirement and initial quote volume requirement. As described
above, BZX Options and C2 intend to file proposals to update their
minor rule violation fines applicable to violations of market maker
quoting obligations in the same manner as Cboe Options and as proposed
herein. As such, the proposed rule change is also designed to benefit
investors by providing from consistent penalties across the MRVPs of
the Exchange and its affiliated options exchanges.
---------------------------------------------------------------------------

    \21\ See supra note 15.
---------------------------------------------------------------------------

    The Exchange further believes that the proposed rule changes to
Rule 25.3 are consistent with Section 6(b)(6) of the Act,\22\ which
provides that members and persons associated with members shall be
appropriately disciplined for violation of the provisions of the rules
of the exchange, by expulsion, suspension, limitation of activities,
functions, and operations, fine, censure, being suspended or barred
from being associated with a member, or any other fitting sanction. As
noted, the proposed rule change removes a Rule listed as eligible for a
minor rule fine disposition under the Exchange's MRVP that the Exchange
no longer believes violations of which are minor in nature and is more
appropriately disciplined through the Exchange's formal disciplinary
procedures, amends the MRVP provisions so that the same fine schedule,
and process to impose such fines, uniformly applies to violations of a
Market Maker's quoting obligations in Rule 22.6, and amends the fine
schedule applicable to Market Maker failures to meet their quoting
obligations in a manner that appropriately sanctions such failures.
---------------------------------------------------------------------------

    \22\ 15 U.S.C. 78f(b)(6).
---------------------------------------------------------------------------

    The Exchange also believes that the proposed change is designed to
provide a fair procedure for the disciplining of members and persons
associated with members, consistent with Sections 6(b)(7) and 6(d) of
the Act.\23\ Rule 25.3, currently and as amended, does not preclude an
Options Member, associated person of an Options Member, or registered
or non-registered employee of an Options Member from contesting an
alleged violation and receiving a hearing on the matter with the same
procedural rights through a litigated disciplinary proceeding.
---------------------------------------------------------------------------

    \23\ 15 U.S.C. 78f(b)(7) and 78f(d).
---------------------------------------------------------------------------

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. The proposed rule change is
not intended to address competitive issues but rather is concerned
solely with amending its MRVP in connection with rules eligible for a
minor rule fine disposition and with the fine schedule for Market Maker
failures to meet their quoting obligations. The Exchange believes the
proposed rule changes, overall, will strengthen the Exchange's ability
to carry out its oversight and enforcement functions and deter
potential violative conduct.

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

    The Exchange neither solicited nor received comments on the
proposed rule change.

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

    Within 45 days of the date of publication of this notice in the
Federal Register or within such longer period up to 90 days (i) as the
Commission may designate if it finds such longer period

to be appropriate and publishes its reasons for so finding or (ii) as
to which the self-regulatory organization consents, the Commission
will:
    (A) By order approve or disapprove the proposed rule change, or
    (B) institute proceedings to determine whether the proposed rule
change should be 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-CboeEDGX-2021-052 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-CboeEDGX-2021-052. 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 website (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 website 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-CboeEDGX-2021-052, and should be
submitted on or before January 13, 2022.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\24\
---------------------------------------------------------------------------

    \24\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-27819 Filed 12-22-21; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 82, Number 202 (Friday, October 20, 2017)]
[Notices]
[Page 48841]
[FR Doc No: 2017-22745]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Internal Agency Docket No. FEMA-4337-DR; Docket ID FEMA-2017-0001]

Florida; Amendment No. 12 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 declaration
for the State of Florida (FEMA-4337-DR), dated September 10, 2017, and
related determinations.

DATES: This amendment was issued October 11, 2017.

FOR FURTHER INFORMATION CONTACT: Dean Webster, Office of Response and
Recovery, Federal Emergency Management Agency, 500 C Street SW.,
Washington, DC 20472,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: The notice of a major disaster declaration
for the State of Florida is hereby amended to include the following
areas among those areas determined to have been adversely affected by
the event declared a major disaster by the President in his declaration
of September 10, 2017.

    Citrus, Columbia, Hernando, Polk, and Suwannee Counties for
Public Assistance [Categories C-G] (already designated for
Individual Assistance and assistance for debris removal and
emergency protective measures [Categories A and B], including direct
federal assistance, under the Public Assistance program).
    Gadsden, Liberty, and Madison Counties for Public Assistance
[Categories C-G] (already designated for debris removal and
emergency protective measures [Categories A and B], including direct
federal assistance, under the Public Assistance program).

    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.

Brock Long,
Administrator, Federal Emergency Management Agency.
[FR Doc. 2017-22745 Filed 10-19-17; 8:45 am]
BILLING CODE 9111-23-P


[Federal Register: May 14, 2008 (Volume 73, Number 94)]
[Notices]
[Page 27837-27838]
[DOCID:fr14my08-84]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2007-E-0399] (formerly Docket No. 2007E-0145)

Determination of Regulatory Review Period for Purposes of Patent
Extension; INVEGA

AGENCY: Food and Drug Administration, HHS.

ACTION:  Notice.

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

SUMMARY:  The Food and Drug Administration (FDA) has determined the
regulatory review period for INVEGA and is publishing this notice of
that determination as required by law. FDA has made the determination
because of the submission of an application to the Director of Patents
and Trademarks, Department of Commerce, for the extension of a patent
which claims that human drug product.

ADDRESSES:  Submit written comments and petitions to the Division of
Dockets Management (HFA-305), Food and Drug Administration, 5630
Fishers Lane, rm. 1061, Rockville, MD 20852. Submit electronic comments
to http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Beverly Friedman, Office of Regulatory
Policy, Food and Drug Administration, 10903 New Hampshire Ave., Bldg.
51, rm. 6222, Silver Spring, MD 20993-0002,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: The Drug Price Competition and Patent Term
Restoration Act of 1984 (Public Law 98-417) and the Generic Animal Drug
and Patent Term Restoration Act (Public Law 100-670) generally provide
that a patent may be extended for a period of up to 5 years so long as
the patented item (human drug product, animal drug product, medical
device, food additive, or color additive) was subject to regulatory
review by FDA before the item was marketed. Under these acts, a
product's regulatory review period forms the basis for determining the
amount of extension an applicant may receive.
    A regulatory review period consists of two periods of time: A
testing phase and an approval phase. For human drug products, the
testing phase begins when the exemption to permit the clinical
investigations of the human drug product becomes effective and runs
until the approval phase begins. The approval phase starts with the
initial submission of an application to market the human drug product
and continues until FDA grants permission to market the drug product.
Although only a portion of a regulatory review period may count toward
the actual amount of extension that the Director of Patents and
Trademarks may award (for example, half the testing phase must be
subtracted as well as any time that may have occurred before the patent
was issued), FDA's determination of the length of a regulatory review
period for a human drug product will include all of the testing phase
and approval phase as specified in 35 U.S.C. 156(g)(1)(B).
    FDA recently approved for marketing the human drug product INVEGA
(paliperidone). INVEGA is indicated for the treatment of schizophrenia.
Subsequent to this approval, the Patent and Trademark Office received a
patent term restoration application for INVEGA (U.S. Patent No.
5,158,952) from Janssen, L.P., and the Patent and Trademark Office
requested FDA's assistance in determining this patent's eligibility for
patent term restoration. In a letter dated July 23, 2007, FDA advised
the Patent and Trademark Office that this human drug product had
undergone a regulatory review period and that the approval of INVEGA
represented the first permitted commercial marketing or use of the
product. Thereafter, the Patent and

Trademark Office requested that FDA determine the product's regulatory
review period.
    FDA has determined that the applicable regulatory review period for
INVEGA is 1,406 days. Of this time, 1,021 days occurred during the
testing phase of the regulatory review period, while 385 days occurred
during the approval phase. These periods of time were derived from the
following dates:
    1. The date an exemption under section 505(i) of the Federal Food,
Drug, and Cosmetic Act (the act) (21 U.S.C. 355(i)) became effective:
February 14, 2003. The applicant claims February 13, 2003, as the date
the investigational new drug application (IND) became effective.
However, FDA records indicate that the original IND was withdrawn
within 30 days of the submission date. The IND effective date was
February 14, 2003, which was 30 days after FDA receipt of the request
to reinstate the IND.
    2. The date the application was initially submitted with respect to
the human drug product under section 505(b) of the act: November 30,
2005. FDA has verified the applicant's claim that the new drug
application (NDA) for INVEGA (NDA 21-999) was initially submitted on
November 30, 2005.
    3. The date the application was approved: December 19, 2006. FDA
has verified the applicant's claim that NDA 21-999 was approved on
December 19, 2006.
    This determination of the regulatory review period establishes the
maximum potential length of a patent extension. However, the U.S.
Patent and Trademark Office applies several statutory limitations in
its calculations of the actual period for patent extension. In its
application for patent extension, this applicant seeks 896 days of
patent term extension.
    Anyone with knowledge that any of the dates as published are
incorrect may submit to the Division of Dockets Management (see
ADDRESSES) written or electronic comments and ask for a redetermination
by July 14, 2008. Furthermore, any interested person may petition FDA
for a determination regarding whether the applicant for extension acted
with due diligence during the regulatory review period by November 10,
2008. To meet its burden, the petition must contain sufficient facts to
merit an FDA investigation. (See H. Rept. 857, part 1, 98th Cong., 2d
sess., pp. 41-42, 1984.) Petitions should be in the format specified in
21 CFR 10.30.
    Comments and petitions should be submitted to the Division of
Dockets Management. Three copies of any mailed information are to be
submitted, except that individuals may submit one copy. Comments are to
be identified with the docket number found in brackets in the heading
of this document. Comments and petitions may be seen in the Division of
Dockets Management between 9 a.m. and 4 p.m., Monday through Friday.
    Please note that on January 15, 2008, the FDA Division of Dockets
Management Web site transitioned to the Federal Dockets Management
System (FDMS). FDMS is a Government-wide, electronic docket management
system. Electronic comments or submissions will be accepted by FDA
through FDMS only.

    Dated: April 28, 2008.
Jane A. Axelrad,
Associate Director for Policy, Center for Drug Evaluation and Research.
[FR Doc. E8-10685 Filed 5-13-08; 8:45 am]

BILLING CODE 4160-01-S


[Federal Register Volume 85, Number 168 (Friday, August 28, 2020)]
[Notices]
[Page 53385]
[FR Doc No: 2020-18985]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2020-N-0001]

Vaccines and Related Biological Products Advisory Committee;
Notice of Meeting

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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SUMMARY: The Food and Drug Administration (FDA or Agency) announces a
forthcoming public advisory committee meeting of the Vaccines and
Related Biological Products Advisory Committee. The general function of
the committee is to provide advice and recommendations to the Agency on
FDA's regulatory issues. The meeting will be open to the public.

DATES: The meeting will be held on October 22, 2020, from 10 a.m.
Eastern Time to 5 p.m. Eastern Time.

ADDRESSES: Please note that due to the impact of this COVID-19
pandemic, all meeting participants will be joining this advisory
committee meeting via an online teleconferencing platform. Answers to
commonly asked questions including information regarding special
accommodations due to a disability, visitor parking, and transportation
may be accessed at: https://www.fda.gov/AdvisoryCommittees/AboutAdvisoryCommittees/ucm408555.htm. The online web conference
meeting will be available at the following links: Main at https://collaboration.fda.gov/vrbpac102220/ and overflow at https://collaboration.fda.gov/vrbpac102220overflow/.

FOR FURTHER INFORMATION CONTACT: Prabhakara Atreya or Monique Hill,
Center for Biologics Evaluation and Research, Food and Drug
Administration, 10903 New Hampshire Ave., Bldg. 71, Rm. 6306, Silver
Spring, MD 20993-0002,<PHONE_NUMBER><EMAIL_ADDRESS>or
301-796-4620<EMAIL_ADDRESS>respectively, or FDA Advisory
Committee Information Line, 1-800-741-8138<PHONE_NUMBER> in the
Washington, DC area). A notice in the Federal Register about last
minute modifications that impact a previously announced advisory
committee meeting cannot always be published quickly enough to provide
timely notice. Therefore, you should always check the Agency's website
at https://www.fda.gov/AdvisoryCommittees/default.htm and scroll down
to the appropriate advisory committee meeting link, or call the
advisory committee information line to learn about possible
modifications before coming to the meeting.

SUPPLEMENTARY INFORMATION:
    Agenda: The meeting presentations will be heard, viewed, captioned,
and recorded through an online teleconferencing platform. In open
session, the committee will discuss, in general, the development,
authorization and/or licensure of vaccines to prevent COVID-19. No
specific application will be discussed at this meeting.
    FDA intends to make any background material available to the public
no later than 2 business days before the meeting. If FDA is unable to
post the background material on its website prior to the meeting, any
background material will be made publicly available on FDA's website at
the time of the advisory committee meeting. Any background material and
the link to the online teleconference meeting room will be available at
https://www.fda.gov/AdvisoryCommittees/Calendar/default.htm. Scroll
down to the appropriate advisory committee meeting link. The meeting
will include slide presentations with audio components to allow the
presentation of materials in a manner that most closely resembles an
in-person advisory committee meeting.
    Procedure: Interested persons may present data, information, or
views, orally or in writing, on issues pending before the committee.
Written submissions may be made to the contact person on or before
October 15, 2020. Oral presentations from the public will be scheduled
between approximately 2:30 p.m. Eastern Time and 3:30 p.m. Eastern
Time. Those individuals interested in making formal oral presentations
should notify the contact person and submit a brief statement of the
general nature of the evidence or arguments they wish to present, the
names and addresses of proposed participants, and an indication of the
approximate time requested to make their presentation on or before
October 7, 2020. Time allotted for each presentation may be limited. If
the number of registrants requesting to speak is greater than can be
reasonably accommodated during the scheduled open public hearing
session, FDA may conduct a lottery to determine the speakers for the
scheduled open public hearing session. The contact person will notify
interested persons regarding their request to speak by October 8, 2020.
    For press inquiries, please contact the Office of Media Affairs at
<EMAIL_ADDRESS>or<PHONE_NUMBER>.
    FDA welcomes the attendance of the public at its advisory committee
meetings and will make every effort to accommodate persons with
disabilities. If you require accommodations due to a disability, please
contact Prabhakara Atreya (see FOR FURTHER INFORMATION CONTACT) at
least 7 days in advance of the meeting.
    FDA is committed to the orderly conduct of its advisory committee
meetings. Please visit our website at: https://www.fda.gov/AdvisoryCommittees/AboutAdvisoryCommittees/ucm111462.htm for procedures
on public conduct during advisory committee meetings.
    Notice of this meeting is given under the Federal Advisory
Committee Act (5 U.S.C. app. 2).

    Dated: August 24, 2020.
Lowell J. Schiller,
Principal Associate Commissioner for Policy.
[FR Doc. 2020-18985 Filed 8-27-20; 8:45 am]
BILLING CODE 4164-01-P


[Federal Register Volume 84, Number 190 (Tuesday, October 1, 2019)]
[Notices]
[Page 52172]
[FR Doc No: 2019-21247]

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DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

[Docket Number FRA-2019-0079]

Petition for Special Approval

    Under part 211 of title 49 Code of Federal Regulations (CFR), this
document provides the public notice that on September 17, 2019, the
Southeastern Pennsylvania Transportation Authority (SEPTA) petitioned
the Federal Railroad Administration (FRA) for a special approval
pursuant to the requirements in 49 CFR part 238, Passenger Equipment
Car Safety Standards. FRA assigned the petition Docket Number FRA-2019-
0079. FRA notes that the equipment for which this special approval is
sought is the subject of an existing waiver in Docket Number FRA-2016-
0076.
    Specifically, SEPTA seeks relief from 49 CFR 238.135(b), which
requires that all passenger train exterior side doors and trap doors
must be closed when a train is in motion between stations. SEPTA seeks
special approval of alternative compliance pursuant to Sec.  238.21(c)
for its fleet of Silverliner V cars due to the cars' unique
construction.
    A copy of the petition, as well as any written communications
concerning the petition, is available for review online at
www.regulations.gov and in person at the U.S. Department of
Transportation's (DOT) Docket Operations Facility, 1200 New Jersey
Avenue SE, W12-140, Washington, DC 20590. The Docket Operations
Facility is open from 9 a.m. to 5 p.m., Monday through Friday, except
Federal Holidays.
    Interested parties are invited to participate in these proceedings
by submitting written views, data, or comments. FRA does not anticipate
scheduling a public hearing in connection with these proceedings since
the facts do not appear to warrant a hearing. If any interested parties
desire an opportunity for oral comment and a public hearing, they
should notify FRA, in writing, before the end of the comment period and
specify the basis for their request.
    All communications concerning these proceedings should identify the
appropriate docket number and may be submitted by any of the following
methods:
     Website: http://www.regulations.gov. Follow the online
instructions for submitting comments.
     Fax:<PHONE_NUMBER>.
     Mail: Docket Operations Facility, U.S. Department of
Transportation, 1200 New Jersey Avenue SE, W12-140, Washington, DC
20590.
     Hand Delivery: 1200 New Jersey Avenue SE, Room W12-140,
Washington, DC 20590, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal Holidays.
    Communications received by November 15, 2019 will be considered by
FRA before final action is taken. Comments received after that date
will be considered if practicable. Anyone can search the electronic
form of any written communications and comments received into any of
our dockets by the name of the individual submitting the comment (or
signing the document, if submitted on behalf of an association,
business, labor union, etc.). Under 5 U.S.C. 553(c), DOT solicits
comments from the public to better inform its processes. 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 https://www.transportation.gov/privacy. See also https://www.regulations.gov/privacyNotice for the privacy notice of regulations.gov.

    Issued in Washington, DC.
John Karl Alexy,
Associate Administrator for Railroad Safety Chief Safety Officer.
[FR Doc. 2019-21247 Filed 9-30-19; 8:45 am]
 BILLING CODE 4910-06-P


MEMORANDUM

Date:		July 23, 2014

Subject:	Report of June 24, 2014 Site Visit to Dow Chemical, in Freeport Texas

From:		Alden West, EC/R Incorporated
		Lesley Stobert, EC/R Incorporated

To:		Paula Hirtz, EPA/OAQPS

This memorandum summarizes the visit to the Dow Chemical facility in Freeport, Texas that was conducted on June 24, 2014. The purpose of this visit was to better understand the processes used in the Offsite Waste and Recovery Operations (OSWRO) industry, the controls in place to reduce hazardous air pollutants (HAP) emissions, and the characteristics of the emission points at this facility. This information will assist the EPA in the promulgation of amendments to the emission standards for the OSWRO industry.

A background discussion of this project is provided, followed by an overview of the plant, a description of the off-site waste operations at the facility, and a summary of emission sources at the facility. The final section includes a summary of action items resulting from the meeting with Dow.

	The participants in the site visit included the following:
      Russell Wozniak, Dow
      Kyle Graham, Dow
      Maria Valdez, Dow
      Paul Lindon, Dow
      Mark Kuettel, Dow
      Jeana Schanzer, Dow
      Elaine Schroeder, Dow
      Paula Hirtz, U.S. EPA/OAQPS
      Lesley Stobert, EC/R Incorporated
      Alden West, EC/R Incorporated

BACKGROUND

Section 112(d) of the Clean Air Act requires the EPA to develop standards for each major source category listed under section 112(c). These technology-based standards are often referred to as maximum achievable control technology, or MACT, standards. The National Emissions Standards for Hazardous Air Pollutants (NESHAP) for Off-site Waste and Recovery Operations (OSWRO) were promulgated on July 1, 1996 (61 FR 34139) and codified at 40 CFR part 63, subpart DD. The Dow Chemical facility in Freeport, TX is subject to subpart DD because it receives certain wastes from off-site locations for storage and treatment, recovery or disposal.

Section 112 of the Clean Air Act contains provisions requiring the EPA to periodically revisit the technology-based standards. Specifically, section 112(d)(6) states that the EPA shall review these standards and revise them "as necessary (taking into account developments in practices, processes, and control technologies)" no less frequently than every eight years. The second stage in the review process focuses on reducing any remaining (i.e., "residual") risk according to CAA section 112(f). Section 112(f)(2) directs the EPA to assess the risk remaining (residual risk) after the application of MACT standards and promulgate additional standards as necessary to provide an ample margin of safety to protect public health, or to prevent, taking into consideration costs, energy, safety, and other relevant factors, an adverse environmental impact. On May 30, 2014, the EPA proposed amendments to the OSWRO MACT standards to address the results of the residual risk and technology review (RTR) conducted under the Clean Air Act.

A site visit of the Dow Chemical facility was conducted to better understand the current processes and control technologies in the OSWRO industry before promulgation of final amendments to the OSWRO MACT standards. As part of the RTR process, the EPA is seeking additional information to improve the Agency's understanding of the OSWRO processes and emission points, to improve the data used in site-specific emission profiles and to better characterize the maximum risks to surrounding populations as a result of activities at OSWRO facilities. Further, the May 30, 2014 proposal includes new provisions that may change the way certain OSWRO sources are required to operate. This site visit was conducted to better understand the technical and operational implications of these changes based on current processes observed at the facility and discussions with facility personnel.

PLANT SITE OVERVIEW

The Dow Chemical facility covers 20 square miles south of Houston in Freeport, Texas. The facility consists of 4 plants  -  Plant A, Plant B, Stratton Ridge, and Oyster Creek  -  each with a variety of operations related to the production of chemical products and precursors. Plant B is the largest of the four plants in both size and number of production units, and is also the only plant that receives and processes offsite waste. Dow Freeport is currently undergoing an expansion and plans to add or has recently added multiple units, including a propylene production facility, an ethylene cracker, an agrosciences plant, a chlor-alkali unit, and two plastics/polyethylene plants.

This facility is a major source of HAP. In addition to the OSWRO MACT standards, OSWRO related operations located at Plant B are also subject to numerous other MACT regulations, including:
   * Benzene Waste NESHAP
   * Organic Liquids Distribution NESHAP
   * Hazardous Organic NESHAP (HON)
   * Miscellaneous Organic Chemical Production and Processes (MON)
   * Hydrochloric Acid Production NESHAP
   * Hazardous Waste Combustion NESHAP
   * Pesticide Active Ingredient Production NESHAP
   * Site Remediation NESHAP

PROCESS DESCRIPTION

[process description information claimed as confidential business information by Dow]

EMISSION SOURCES

Emission sources subject to the OSWRO MACT standards at the B-3300 kiln and the B-800 thermal oxidizer units include tanks, containers, fugitives, transfer systems and control devices.

Storage tank emissions can occur from the evaporation of liquid wastes placed in the tank. The storage tanks at Dow are equipped with fixed roofs to reduce evaporation of tank contents to the atmosphere. Tanks are also equipped with vents that provide relief from fluctuations in pressure resulting from normal operating conditions such as filling/emptying and changes in atmospheric temperature. Vapors released by the pressure vents on the tanks at B-3300 are vented to the kiln afterburner and vapors from the tanks at B-800 are vented to the thermal oxidizer. The kiln and the thermal oxidizer are considered control devices under the OSWRO MACT standards, and there are no flares or other control devices on the OSWRO processes at the facility. All storage tanks are equipped with PRDs that will emit to the atmosphere if the tank internal pressure exceeds the device threshold setting for safe handling of liquid waste.

Containers that store offsite waste materials are another emission source at the facility. Smaller containers are stored in a package facility that is open to the atmosphere and roll-off boxes are stored outside. All containers at the facility are controlled by a cover and closure device (e.g., a lid on a drum or secured tarp on a roll-off box). Additional emissions from containers can occur if a cover is removed for sampling or other purposes.

Dow operates numerous valves, pump seals, flanges, open-ended lines, and other equipment components that could leak hazardous vapors to the atmosphere. Dow has opted to comply with the HON leak detection and repair (LDAR) requirements as provided for in the OSWRO MACT standards (40 CFR §63.691(b)(2)). All components included in an LDAR monitoring program are physically tagged.

Transfer systems are a potential source of emissions at Dow and are subject to the OSWRO MACT standards. Transfer systems operated at the facility include pumps, such as those used to transport liquid waste from trucks at direct burn areas to the kiln, and conveyors, which are used to transport solid waste to the kiln.

ACTION ITEMS

Dow agreed to look into the level of mercury emissions from OSWRO operations at their facility. No specific action or time period was discussed.