[Federal Register Volume 82, Number 98 (Tuesday, May 23, 2017)]
[Notices]
[Pages 23561-23562]
[FR Doc No: 2017-10512]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER17-1609-000]

Carroll County Energy LLC; Supplemental Notice That Initial
Market-Based Rate Filing Includes Request for Blanket Section 204
Authorization

    This is a supplemental notice in the above-referenced proceeding of
Carroll County Energy LLC's application for market-based rate
authority, with an accompanying rate tariff, noting that such
application includes a request for blanket authorization, under 18 CFR
part 34, of future issuances of securities and assumptions of
liability.
    Any person desiring to intervene or to protest should file with the
Federal Energy Regulatory Commission, 888 First Street NE., Washington,
DC 20426, in accordance with Rules 211 and 214 of the Commission's
Rules of Practice and Procedure (18 CFR 385.211 and 385.214). Anyone
filing a motion to intervene or protest must serve a copy of that
document on the Applicant.
    Notice is hereby given that the deadline for filing protests with
regard to the applicant's request for blanket authorization, under 18
CFR part 34, of future issuances of securities and assumptions of
liability, is June 6, 2017.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://www.ferc.gov. To facilitate electronic service, persons with Internet
access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an

eRegistration account using the eRegistration link. Select the eFiling
link to log on and submit the intervention or protests.
    Persons unable to file electronically should submit an original and
5 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First Street NE., Washington, DC 20426.
    The filings in the above-referenced proceeding are accessible in
the Commission's eLibrary system by clicking on the appropriate link in
the above list. They are also available for electronic review in the
Commission's Public Reference Room in Washington, DC. There is an
eSubscription link on the Web site that enables subscribers to receive
email notification when a document is added to a subscribed docket(s).
For assistance with any FERC Online service, please email
<EMAIL_ADDRESS>or call<PHONE_NUMBER> (toll free). For
TTY, call<PHONE_NUMBER>.

    Dated: May 17, 2017.
Kimberly D. Bose,
Secretary.
[FR Doc. 2017-10512 Filed 5-22-17; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register: September 25, 2008 (Volume 73, Number 187)]
[Notices]
[Page 55591-55592]
[DOCID:fr25se08-105]

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DEPARTMENT OF TRANSPORTATION

National Highway Traffic Safety Administration

[U.S. DOT Docket Number NHTSA-2008-0129]

Reports, Forms, and Recordkeeping Requirements

AGENCY: National Highway Traffic Safety Administration (NHTSA),
Department of Transportation.

ACTION: Request for public comment on an extension of a currently
approved collection.

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SUMMARY: Before a Federal agency can collect certain information from
the public, it must receive approval from the Office of Management and
Budget (OMB). Under procedures established by the Paperwork Reduction
Act of 1995, before seeking OMB approval, Federal agencies must solicit
public comment on proposed collections of information, including
extensions and reinstatement of previously approved collections.
    This document describes one collection of information for which
NHTSA intends to seek OMB approval.

DATES: Comments must be received on or before November 24, 2008.

ADDRESSES: Comments must refer to the docket notice numbers cited at
the beginning of this notice and be submitted to Docket Management,
Room W12-140, ground level, 1200 New Jersey Ave., SE., Washington, DC
20590 by any of the following methods.
     Federal eRulemaking Portal: http://www.regulations.gov.
Follow the instructions for submitting comments.
     Mail: Docket Management Facility; U.S. Department of
Transportation, 1200 New Jersey Avenue, SE., West Building Ground
Floor, Room W12-140, Washington, DC 20590.
     Hand Delivery/Courier: 1200 New Jersey Avenue, SE., West
Building Ground Floor, Room W12-140, Washington, DC 20590, between 9
a.m. and 5 p.m., Monday through Friday, except Federal Holidays.
Telephone: 1-800-647-5527.
     Fax:<PHONE_NUMBER>.
    Instructions: For detailed instructions on submitting comments and
additional information on the rulemaking process, see the Public
Participation heading of the Supplementary Information section of this
document. Note that all comments received will be posted without change
to http://www.regulations.gov, including any personal information
provided. Please see the Privacy Act heading below.
    Privacy Act: Anyone is able to search the electronic form of all
comments received into any of our dockets by the name of the individual
submitting the comment (or signing the comment, if submitted on behalf
of an association, business, labor union, etc.). You may review DOT's
complete Privacy Act Statement in the Federal Register published on
April 11, 2000 (65 FR 19477-78) or you may visit http://
DocketInfo.dot.gov.
    Docket: For access to the docket to read background documents or
comments received, go to the street address listed above. The Internet
access to the docket will be at http://www.regulations.gov. Follow the
online instructions for accessing the dockets.

FOR FURTHER INFORMATION CONTACT: Complete copies of each request for
collection of information may be obtained at no charge from Carlita
Ballard, NHTSA, 1200 New Jersey Ave., SE., Room W43-439, NVS-131,
Washington, DC 20590. Ms. Ballard's telephone number is<PHONE_NUMBER>.
Please identify the relevant collection of information by referring to
its OMB Control Number.

SUPPLEMENTARY INFORMATION: Under the Paperwork Reduction Act of 1995,
before an agency submits a proposed collection of information to OMB
for approval, it must first publish a document in the Federal Register
providing a 60-day comment period and otherwise consult with members of
the public and affected agencies concerning each proposed collection of
information. The OMB has promulgated regulations describing what must
be included in such a document. Under OMB's regulation (at 5 CFR
1320.8(d)), an agency must ask for public comment on the following:
    (i.) Whether the proposed collection of information is necessary
for the proper performance of the functions of the agency, including
whether the information will have practical utility;
    (ii.) The accuracy of the agency's estimate of the burden of the
proposed collection of information, including the validity of the
methodology and assumptions used;
    (iii.) How to enhance the quality, utility, and clarity of the
information to be collected; and
    (iv.) How to minimize the burden of the collection of information
on those who are to respond, including the use of appropriate
automated, electronic,

mechanical, or other technological collection techniques or other forms
of information technology, e.g., permitting electronic submission of
responses.
    In compliance with these requirements, NHTSA asks for public
comments on the following proposed collections of information:
    Title: Insurer Reporting Requirement for 49 CFR Part 544.
    OMB Control Number: 2127-0547.
    Form Number: None.
    Affected Public: Business or other for-profit.
    Requested Expiration Date of Approval: Three years from approval
date.
    Abstract: This information collection supports the Department's
strategic goal of Economic Growth and Trade. The Motor Vehicle Theft
Law Enforcement Act of 1984, added Title VI to the Motor Vehicle and
Information Cost Savings Act (recodified as Chapter 331 of Title 49,
United States Code) which mandated this information collection. The
1984 Theft Act was amended by the Anti Car Theft Act (ACTA) of 1992
(Pub. L. 102-519). NHTSA is authorized under 49 U.S.C. 33112, to
collect this information. This information collection supports the
agency's economic growth and trade goal through rulemaking
implementation developed to help reduce the cost of vehicle ownership
by reducing the cost of comprehensive insurance coverage. 49 U.S.C.
33112 requires certain passenger motor vehicle insurance companies and
rental/leasing companies to provide information to NHTSA on
comprehensive insurance premiums, theft and recoveries and actions
taken to address motor vehicle theft.
    Estimated Annual Burden: Based on prior years' insurer compilation
information, the agency estimates that the time to review and compile
information for the reports will take approximately a total of 63,238
burden hours (60,004 man-hours for 28 insurance companies and 3,234
man-hours for 7 rental and leasing companies). Claim Adjusters incur
separate burden hours from the number of insurers. There is one Claim
Adjuster assigned to each insurer. There was a decrease in several
rental and leasing companies that have merged into one entity or have
been exempted from the reporting requirements since the last reporting
period. The agency has re-estimated the burden hours to be 63,238 total
annual hours requested in lieu of 64,610 as the current OMB inventory.
This is a decrease of 1,376 hours. Most recent year insurer compilation
information estimates reveal that it takes an average cost of $65.00
per hour for clerical and technical staff to prepare the annual
reports. Therefore, the agency estimates the total cost associated with
the burden hours is $4,110,470.
    The burden hour for rental and leasing companies is significantly
less than that for insurance companies because rental and leasing
companies comply with fewer reporting requirements than the insurance
companies. The reporting burden is based on insurers' salaries,
clerical and technical expenses, and labor costs.
    Number of Respondents: 35.
    Comments are invited on: Whether the proposed collection of
information is necessary for the proper performance of the functions of
the Department, including whether the information will have practical
utility; the accuracy of the Department's estimate of the burden of the
proposed information collection; ways to enhance the quality, utility
and clarity of the information to be collected; and ways to minimize
the burden of the collection of information on respondents, including
the use of automated collection techniques or other forms of
information technology.

    Issued on: September 19, 2008.
Stephen R. Kratzke,
Associate Administrator for Rulemaking.
[FR Doc. E8-22629 Filed 9-24-08; 8:45 am]

BILLING CODE 4910-59-P


(4) If a government levies a payment obligation, such as a tax or a
requirement to pay a dividend, at the entity level rather than on a
particular project, a resource extraction issuer may disclose that
payment at the entity level. To the extent that payments, such as
corporate income taxes and dividends, are made for obligations levied
at the entity level, a resource extraction issuer may omit certain tags
that may be inapplicable (e.g., project tag, business segment tag) for
those payment types as long as it provides all other electronic tags,
including the tag identifying the recipient government.

Payment Disclosure

    (5) When a resource extraction issuer proportionately consolidates
an entity or operation under U.S. GAAP or IFRS, as applicable, the
resource extraction issuer must disclose its proportionate amount of
the payments made by such entity or operation pursuant to this Item and
must indicate the proportionate interest.
    (6) Although an entity providing only services to a resource
extraction issuer to assist with exploration, extraction, processing or
export would generally not be considered a resource extraction issuer,
where such a service provider makes a payment that falls within the
definition of ``payment'' to a government on behalf of a resource
extraction issuer, the resource extraction issuer must disclose such
payment.
    (7) ``Processing,'' as used in Item 2.01, would include, but is not
limited to, midstream activities such as the processing of gas to
remove liquid hydrocarbons, the removal of impurities from natural gas
prior to its transport through a pipeline, and the upgrading of bitumen
and heavy oil, through the earlier of the point at which oil, gas, or
gas liquids (natural or synthetic) are either sold to an unrelated
third party or delivered to a main pipeline, a common carrier, or a
marine terminal. It would also include the crushing and processing of
raw ore prior to the smelting phase. It would not include the
downstream activities of refining or smelting.
    (8) A resource extraction issuer must disclose payments made for
taxes on corporate profits, corporate income, and production.
Disclosure of payments made for taxes levied on consumption, such as
value added taxes, personal income taxes, or sales taxes, is not
required.
    (9) Royalties include unit-based, value-based, and profit-based
royalties. Fees include license fees, rental fees,

entry fees, and other considerations for licenses or concessions.
Bonuses include signature, discovery, and production bonuses.
    (10) Dividends paid to a government as a common or ordinary
shareholder of the resource extraction issuer that are paid to the
government under the same terms as other shareholders need not be
disclosed. The resource extraction issuer, however, must disclose any
dividends paid in lieu of production entitlements or royalties.
    (11) If a resource extraction issuer makes an in-kind payment of
the types of payments required to be disclosed, the resource extraction
issuer must disclose the payment. When reporting an in-kind payment, a
resource extraction issuer must determine the monetary value of the in-
kind payment and tag the information as ``in-kind'' for purposes of the
currency. For purposes of the disclosure, a resource extraction issuer
must report the payment at cost, or if cost is not determinable, fair
market value and must provide a brief description of how the monetary
value was calculated. If a resource extraction issuer makes an in-kind
production entitlement payment under the rules and then repurchases the
resources associated with the production entitlement within the same
fiscal year, the resource extraction issuer must report the payment
using the purchase price (rather than at cost, or if cost is not
determinable, fair market value). If the in-kind production entitlement
payment and the subsequent repurchase are made in different fiscal
years and the purchase price is greater than the previously reported
value of the in-kind payment, the resource extraction issuer must
report the difference in values in the latter fiscal year (assuming the
amount of that difference exceeds the de minimis threshold). In other
situations, such as when the purchase price in a subsequent fiscal year
is less than the in-kind value already reported, no disclosure relating
to the purchase price is required.

Interconnected Agreements

    (12) The following is a non-exclusive list of factors to consider
when determining whether agreements are ``operationally and
geographically interconnected'' for purposes of the definition of
``project'': (a) whether the agreements relate to the same resource and
the same or contiguous part of a field, mineral district, or other
geographic area; (b) whether the agreements will be performed by shared
key personnel or with shared equipment; and (c) whether they are part
of the same operating budget.

Section 3--Exhibits

Item 3.01 Exhibits

List below the following exhibits filed as part of this report:

    Exhibit 1.01--Conflict Minerals Report as required by Items 1.01
and 1.02 of this Form.
    Exhibit 2.01--Resource Extraction Payment Report as required by
Item 2.01 of this Form.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934,
the registrant has duly caused this report to be signed on its behalf
by the duly authorized undersigned.

(Registrant)

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By (Signature and Title)*

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(Date)

*Print name and title of the registrant's signing executive officer
under his or her signature.
* * * * *

    By the Commission.

    Dated: June 27, 2016.
Brent J. Fields,
Secretary.
[FR Doc. 2016-15676 Filed 7-26-16; 8:45 am]
 BILLING CODE 8011-01-P


"King, Heidi R."<EMAIL_ADDRESS> 04/24/2008 04:27 PM

To

Kathy Kaufman/RTP/USEPA/US@EPA

cc

Charlotte Bertrand/DC/USEPA/US@EPA, Lydia Wegman/RTP/USEPA/US@EPA, Nathalie Simon/DC/USEPA/US@EPA, Neal Fann/RTP/USEPA/US@EPA, Ron Evans/RTP/USEPA/US@EPA, Tricia Crabtree/RTP/USEPA/US@EPA

Subject

RE: Responses to interagency questions on the Pb RIA

Hi Kathy,

Any word on the additional materials re: dust?

Commenters asking --

heidi

-----Original Message-----

From<EMAIL_ADDRESS> <EMAIL_ADDRESS> Sent: Wednesday, April 23, 2008 10:46 AM

To: King, Heidi R.

Cc<EMAIL_ADDRESS><EMAIL_ADDRESS> <EMAIL_ADDRESS><EMAIL_ADDRESS> <EMAIL_ADDRESS><EMAIL_ADDRESS> Subject: Re: Responses to interagency questions on the Pb RIA

Heidi, quick typo correction in the file I sent yesterday (see attached

email):

In the answer to the first question, "from leaded avgas" was left out of

the following sentence.  It should read:

"In addition, we do not have cost estimates regarding the control of

lead emissions from leaded avgasand we can't assume a priori that these

control measures would be either more, or less expensive than point

source controls."

Thanks.  Sorry about that.

-- Kathy

Kathy Kaufman

EPA/OAQPS Mail Code C539-03

Research Triangle Park, NC 27711

Phone<PHONE_NUMBER>

Fax<PHONE_NUMBER>

             Kathy

             Kaufman/RTP/USEP

             A/US                                                    To

                                      "King, Heidi R."

             04/22/2008 03:02<EMAIL_ADDRESS>

             PM                                                      cc

                                      Charlotte

                                      Bertrand/DC/USEPA/US@EPA,

                                      Nathalie Simon/DC/USEPA/US@EPA,

                                      Ron Evans/RTP/USEPA/US@EPA, Lydia

                                      Wegman/RTP/USEPA/US@EPA, Tricia

                                      Crabtree/RTP/USEPA/US@EPA, Neal

                                      Fann/RTP/USEPA/US@EPA

                                                                Subject

                                      Responses to interagency

                                      questions on the Pb RIA(Document

                                      link: Kathy Kaufman)

Heidi -- we drafted responses to the questions you had forwarded.

Please see the attached.

Thanks.

-- Kathy

(See attached file: Interagency responses 4-22-08.doc)

Kathy Kaufman

EPA/OAQPS Mail Code C539-03

Research Triangle Park, NC 27711

Phone<PHONE_NUMBER>

Fax<PHONE_NUMBER>


[Federal Register Volume 86, Number 205 (Wednesday, October 27, 2021)]
[Notices]
[Pages 59439-59443]
[FR Doc No: 2021-23343]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-93394; File No. SR-BOX-2021-24]

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing
and Immediate Effectiveness of a Proposed Rule Change To Introduce a
New Data Product To Be Known as Open-Close Data Report and To Adopt
Fees for Such Product

October 21, 2021.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on October 13, 2021, BOX Exchange LLC (``Exchange'') filed with the
Securities and Exchange Commission (``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 from
interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 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 introduce a new data product to be known
as Open-Close Data Report and to adopt fees for such product. The text
of the proposed rule change is available from the principal office of
the Exchange, at the Commission's Public Reference Room and also on the
Exchange's internet website at http://boxoptions.com.

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

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

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

1. Purpose
    The Exchange proposes to introduce a new data product on BOX to be
known as the Open-Close Data Report, which will be available for
purchase to BOX Participants and non-Participants. The Exchange also
proposes to adopt fees for Open-Close Data Report. The Exchange will
make the Open-Close Data Report available for purchase to Participants
and non-Participants on the BOX website (www.boxoptions.com).\3\ The
Exchange notes that a substantially similar product and fees for such
product currently exist at Cboe C2 Exchange, Inc. (``C2'').\4\
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    \3\ The Exchange notes that the date of the Fee Schedule will be
revised to reflect the operative date of this filing.
    \4\ See C2 Options Fees Schedule, Livevol Fees, Open-Close Data.
See also Securities Exchange Act Release No. 87463 (November 5,
2019), 84 FR 61129 (November 12, 2019) (Notice of Filing and
Immediate Effectiveness SR-C2-2019-23). See also Securities Exchange
Act Release No. 92173 (June 14, 2021) 86 FR 33399 (June 24, 2021)
(Notice of Filing and Immediate Effectiveness SR-C2-2021-010). C2
currently offers an Intraday Subscription and Intraday Ad-hoc
Request. BOX is not proposing to adopt these Intraday products at
this time. If BOX wishes to offer this product at a later date, the
Exchange will file a proposal with the Commission. C2 also offers
Qualifying Academic Purchasers the End-of-Day Ad-hoc Request
historical data for $500 for the first year. Each additional month
purchased thereafter will be prorated based on the $500 per year
rate. BOX is not proposing a Qualifying Academic Purchaser rate at
this time. If BOX wishes to offer this in the future, the Exchange
will file a proposal with the Commission. Lastly, during the months
of June and July 2021, C2 offered a free trial for up to three
historical months of Intraday Ad-hoc Request Open-Close historical
data to TPHs and non-TPHs who have not previously subscribed to
Intraday Open-Close Historical Data. The Exchange again notes that
it is not proposing any Intraday products at this time. However, the
Exchange proposes to provide a three-month free trial of the End-of-
Day Subscription of the Open-Close Data Report to any Participant or
non-Participant that has not previously subscribed to this offering.

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    The Open-Close Data Report is a volume summary file for trading
activity on BOX. The Exchange notes it is proprietary BOX trade data
and does not include trade data from any other exchanges. It is also a
historical data product and not a real time data feed. Additionally,
the Open-Close Data Report will only be distributed at the end of each
day. Participants wishing to purchase historical Open-Close Data
Reports will be able to request monthly reports beginning in January
2018.\5\ The Open-Close Data Report aggregates and buckets the volume
by origin (Public Customer, Professional Customer, Broker Dealer, and
Market Maker), buying/selling, and opening/closing criteria. Public
Customer and Professional Customer volume is further broken down into
trade size buckets (less than 100 contracts, 100-199 contracts, greater
than 199 contracts).
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    \5\ The historical monthly reports will contain all series in an
underlying security if the security had volume on BOX during that
month. The Open-Close Data Report file format specifications can be
found at www.boxoptions.com.
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    The Exchange anticipates a wide variety of market participants will
wish to purchase Open-Close Data Reports, including, but not limited
to, individual customers, buy-side investors, investment banks and
academic institutions. For example, the Exchange notes that academic
institutions may utilize the proposed Open-Close Data Report and as a
result promote research and studies of the options industry to the
benefit of all market participants. The Exchange believes the proposed
Open-Close Data Report may also provide helpful trading information
regarding investor sentiment and may be used to create and test trading
models and analytical strategies and provides comprehensive insight
into trading on BOX. It is a completely voluntary product, in that the
Exchange is not required by any rule or regulation to make this data
available and that potential subscribers may purchase it only if they
voluntarily choose to do so. As stated above, other options exchanges
offer a similar data product.\6\
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    \6\ See Securities Exchange Act Release No. 55062 (January 8,
2007), 72 FR 2048 (January 17, 2007) (approving SR-CBOE-2006-88);
See also Securities Exchange Act Release No. 56254 (August 15,
2007), 72 FR 47104 (August 22, 2007) (SR-ISE-2007-70); See also
Securities Exchange Act Release No. 87463 (November 5, 2019), 84 FR
61129 (November 12, 2019) (SR-C2-2019-23).
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    The Exchange proposes to provide in its Fee Schedule that
Participants and non-Participants may purchase Open-Close Data Report
on a subscription basis (end of day file) or by ad-hoc request for a
specified month (historical file). The Exchange proposes to assess a
monthly fee of $500 for subscribing to a daily update which will
consist of Open/Close data covering all Exchange-listed securities.
Participants and non-Participants purchasing Open/Close data on a
subscription basis will receive access to a daily data file.
    The Exchange also proposes to assess a fee of $400 per request per
month for an ad-hoc request of historical Open/Close data covering all
Exchange-listed securities. An ad-hoc request can be for any number of
months beginning with January 2018.\7\ The proposed subscription and
ad-hoc fees will apply both to Participants and non-Participants. The
Exchange notes that other exchanges provide similar data products that
may be purchased on both a subscription and ad-hoc basis and are
similarly priced.\8\
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    \7\ For example, a Participant or non-Participant that requests
historical Open/Close Data for the months of October 2018 and
November 2018, would be assessed a total of $800. The Exchange notes
that it may make historical data prior to January 2018 available in
the future and that such historical data would be available to all
Participants or non-Participants.
    \8\ See e.g., Nasdaq ISE Options 7 Pricing Schedule, Section
10.A. See also C2 Options Fees Schedule, Livevol Fees, Open-Close
Data.
---------------------------------------------------------------------------

    The Exchange also seeks to adopt a free trial period for the End-
of-Day Open-Close Data Report for first time subscribers.\9\
Particularly, the Exchange proposes to provide a three-month free trial
of the End-of-Day Subscription of Open-Close Data Report to any
Participant or non-Participant that has not previously subscribed to
this offering.\10\ The Exchange believes the proposed trial will serve
as an incentive for new users to start subscribing to the End-of-Day
Subscription for Open-Close Data Reports. More specifically, the
Exchange believes it will give potential subscribers the ability to use
and test the data offering before signing up for additional months of
the End of Day Subscription. The Exchange also notes that other
exchanges offer a free trial for first time subscribers of similar data
products.\11\ The proposed free trial is substantially similar to the
free trial currently offered by Nasdaq ISE, which provides a 1-month
free trial to both members and non-members who have not previously
subscribed to the Nasdaq ISE Open/Close Trade Profile End of Day.\12\
Lastly, the purchase of the Open-Close data Report is discretionary and
not compulsory.
---------------------------------------------------------------------------

    \9\ The Exchange notes that the free trial is not available for
End-of-Day Ad-hoc Requests (historical data). If the Exchange wishes
to adopt a free month trial for this offering, it will file a
proposal with the Commission.
    \10\ For example, if a Participant or non-Participant that has
not previously subscribed to the End-of-Day Subscription, subscribes
to this offering on October 22nd, then the accounting would begin on
January 22nd. The accounting will be prorated based on the number of
trading days in the month versus the number of trading days
received. The Participant or non-Participant will be charged for the
remainder of January on a prorated basis.
    \11\ See Nasdaq ISE, Options 7 Pricing Schedule, Section 10A.,
Nasdaq ISE Open/Close Trade Profile End of Day. See also Cboe
Options Fees Schedule, Livevol Fees, Open-Close Data. See also C2
Options Fees Schedule, Livevol Fees, Open-Close Data.
    \12\ See Nasdaq ISE, Options 7 Pricing Schedule, Section 10A.,
Nasdaq ISE Open/Close Trade Profile End of Day.
---------------------------------------------------------------------------

2. Statutory Basis
    The Exchange believes that the proposal is consistent with the
requirements of Section 6(b) of the Securities Exchange Act of 1934
(the ``Act''),\13\ in general, and Section 6(b)(5) of the Act,\14\ in
particular, in that it is 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 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, and that it is not designed to permit unfair
discrimination among customers, brokers, or dealers. The Exchange also
believes that its proposal to adopt fees for Open-Close Data Report is
consistent with Section 6(b) of the Act in general, and furthers the
objectives of Section 6(b)(4) of the Act \15\ in particular, in that it
is an equitable allocation of dues, fees and other charges among its
members and other recipients of Exchange data.
---------------------------------------------------------------------------

    \13\ 15 U.S.C. 78f(b).
    \14\ 15 U.S.C. 78f(b)(5).
    \15\ 15 U.S.C. 78f(b)(4).
---------------------------------------------------------------------------

    In adopting Regulation NMS, the Commission granted self-regulatory
organizations (``SROs'') and broker-dealers increased authority and
flexibility to offer new and unique market data to the public. It was

believed that this authority would expand the amount of data available
to consumers, and also spur innovation and competition for the
provision of market data. The Exchange believes that the proposed Open-
Close Data Report would further broaden the availability of U.S. option
market data to investors consistent with the principles of Regulation
NMS. The proposal also promotes increased transparency through the
dissemination of Open-Close Data. The proposed rule change would
benefit investors by providing access to the Open-Close Data, which as
noted above, may promote better informed trading, as well as research
and studies of the options industry. Particularly, information
regarding opening and closing activity across different option series
may indicate investor sentiment, which can be helpful research and/or
trading information. Subscribers to the data may be able to enhance
their ability to analyze option trade and volume data, and create and
test trading models and analytical strategies. The Exchange believes
Open-Close Data Report provides a valuable tool that subscribers can
use to gain comprehensive insight into the trading activity in a
particular series, but also emphasizes such data is not necessary for
trading. Moreover, as discussed herein, other exchanges also offer a
similar data product.\16\
---------------------------------------------------------------------------

    \16\ See Securities Exchange Act Release No. 55062 (January 8,
2007), 72 FR 2048 (January 17, 2007) (approving SR-CBOE-2006-88);
See also Securities Exchange Act Release No. 56254 (August 15,
2007), 72 FR 47104 (August 22, 2007) (SR-ISE-2007-70); See also
Securities Exchange Act Release No. 87463 (November 5, 2019), 84 FR
61129 (November 12, 2019) (SR-C2-2019-23).
---------------------------------------------------------------------------

    The Exchange notes that it operates in a highly competitive
environment where there are currently 16 registered options exchanges
that trade options. The Commission has repeatedly expressed its
preference for competition over regulatory intervention in determining
prices, products, and services in the securities markets. Particularly,
in Regulation NMS, the Commission highlighted the importance of market
forces in determining prices and SRO revenues and, also, recognized
that current regulation of the market system ``has been remarkably
successful in promoting market competition in its broader forms that
are most important to investors and listed companies.'' \17\ Making
similar data products available to market participants fosters
competition in the marketplace, and constrains the ability of exchanges
to charge supracompetitive fees. In the event that a market participant
views one exchange's data product as more or less attractive than the
competition they can and do switch between similar products. The
proposed fees are a result of the competitive environment, as the
Exchange seeks to adopt fees to attract purchasers of the proposed
Open-Close Data Report product.
---------------------------------------------------------------------------

    \17\ See Securities Exchange Act Release No. 51808 (June 9,
2005), 70 FR 37496, 37499 (June 29, 2005) (``Regulation NMS Adopting
Release'').
---------------------------------------------------------------------------

    The Exchange believes the proposed fees are reasonable as the
proposed fees are both modest and similar to the fees assessed by other
exchanges that provide similar data products.\18\ Proposing fees that
are excessively higher than established fees for similar data products
would simply serve to reduce demand for the Exchange's data product,
which as noted, is entirely optional. Like the Exchange's proposed
Open-Close Data Report product, other exchanges offer similar data
products that each provide insight into trading on those markets and
may likewise aid in assessing investor sentiment. Although each of
these similar open-close data products provide only proprietary trade
data and not trade data from other exchanges, it's possible investors
are still able to gauge overall investor sentiment across different
option series based on open and closing interest on any one
exchange.\19\ Similarly, market participants may be able to analyze
option trade and volume data, and create and test trading models and
analytical strategies using only open-close data relating to trading
activity on one or more of the other markets that provide similar data
products. As such, if a market participant views another exchange's
open-close data as more attractive than the proposed Open-Close Data
Report product, then such market participant can merely choose not to
purchase the Exchange's Open-Close Data Report and instead purchase
another exchange's open-close data product, which offer similar data
points, albeit based on that other market's trading activity.
---------------------------------------------------------------------------

    \18\ See e.g., Nasdaq ISE, Options 7 Pricing Schedule, Section
10A., Nasdaq ISE Open/Close Trade Profile End of Day. See also C2
Options Fees Schedule, Livevol Fees, Open-Close Data.
    \19\ The Exchange notes that its Open-Close Data Report product
does not include data on any exclusive, singly-listed option series.
---------------------------------------------------------------------------

    The Exchange also believes the proposed fees are reasonable as they
would support the introduction of a new market data product that is
designed to aid investors by providing insight into trading on BOX. The
proposed Open-Close Data Report would provide options market
participants with valuable information about opening and closing
transactions executed on the Exchange, similar to other historical
trade data products offered by competing options exchanges. In turn,
this data would assist market participants in gauging investor
sentiment and trading activity, resulting in potentially better-
informed trading decisions. As noted above, users may also use such
data to create and test trading models and analytical strategies.
    Selling historical market data, such as Open-Close Data, is also a
means by which exchanges compete to attract business. To the extent
that the Exchange is successful in attracting subscribers for the Open-
Close Data Report, it may earn trading revenues and further enhance the
value of its data products. If the market deems the proposed fees to be
unfair or inequitable, firms can diminish or discontinue their use of
the data and/or avail themselves of similar products offered by other
exchanges.\20\ The Exchange therefore believes that the proposed fees
for Open-Close Data Report reflect the competitive environment and
would be properly assessed on Participant or non-Participant users. The
Exchange also believes the proposed fees are equitable and not unfairly
discriminatory as the fees would apply equally to all users who choose
to purchase such data. The Exchange's proposed fees would not
differentiate between subscribers that purchase Open-Close Data Report
and are set at a modest level that would allow any interested
Participant or non-Participant to purchase such data based on their
business needs.
---------------------------------------------------------------------------

    \20\ See Nasdaq ISE, Options 7 Pricing Schedule, Section 10A.,
Nasdaq ISE Open/Close Trade Profile End of Day. See also Cboe
Options Fees Schedule, Livevol Fees, Open-Close Data. See also C2
Options Fees Schedule, Livevol Fees, Open-Close Data.
---------------------------------------------------------------------------

    As noted above, the Exchange anticipates a wide variety of market
participants to purchase Open-Close Data, including but not limited to
individual customers, buy-side investors, investment banks and academic
institutions. The Exchange reiterates that the decision as to whether
or not to purchase the Open-Close Data Report is entirely optional for
all potential subscribers. Indeed, no market participant is required to
purchase the Open-Close Data Report, and the Exchange is not required
to make the Open-Close Data Report available to all investors. Rather,
the Exchange is voluntarily making the historical Open-Close Data
Report available, as requested by customers, and market participants
may choose to receive (and pay for) this data based on their own
business needs. Potential purchasers may request the data at any time
if they

believe it to be valuable or may decline to purchase such data.
    The Exchange also believes that the proposed free trial for any
Participant or non-Participant who has not previously purchased End-of-
Day Open-Close Data Report is reasonable because such users would not
be subject to fees for 3 months' worth of End-of-Day Open-Close Data.
The Exchange believes the proposed free trial is also reasonable and
not unfairly discriminatory as it will give potential subscribers the
ability to use and test the End-of-Day Open-Close Data Report prior to
purchasing additional months and will therefore encourage and promote
new users to purchase the End-of-Day Open-Close Data Report. The
Exchange believes it is reasonable to only offer the free trial for
End-of-Day subscription requests and not ad-hoc requests because the
opportunity to use and test the End-of-Day Open-Close Data Report is
not necessary for ad-hoc requests. The purpose of the proposed free
trial period is to allow new users to test the product and incentivize
Participants and non-Participants to subscribe to additional months.
However, when a Participant or non-Participant makes an ad-hoc request
for End-of-Day Open-Close data, they are merely making a one-time
request for a discrete period of data. The Exchange believes that the
proposed discount is equitable and not unfairly discriminatory because
it will apply equally to all Participants and non-Participants who have
not previously purchased End-of-Day Open-Close data. Similar to the
proposed change, another exchange offers a one-month free trial for
their End-of-Day Open/Close Trade Profile subscription for members and
non-members who have not previously subscribed to the offering, but not
for the intraday product or ad-hoc requests.\21\ Lastly, the purchase
of this data product is discretionary and not compulsory.
---------------------------------------------------------------------------

    \21\ See Nasdaq ISE, Options 7 Pricing Schedule, Section 10A.,
Nasdaq ISE Open/Close Trade Profile End of Day.
---------------------------------------------------------------------------

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 not necessary or appropriate in
furtherance of the purposes of the Act. In this regard and as indicated
above, the Exchange notes that similar products and fees are offered at
another exchange.\22\ The Exchange believes that the proposal will
promote competition by permitting the Exchange to introduce and sell a
data product similar to those offered by other competitor options
exchanges.\23\ The Exchange is proposing to introduce the Open-Close
Data Report in order to keep pace with changes in the industry and
evolving customer needs and believes this proposed rule change would
contribute to robust competition among national securities exchanges.
As noted, at least three other U.S. options exchanges offer a market
data product that is substantially similar to the Open-Close Data
Report product discussed herein. As a result, the Exchange believes
this proposed rule change permits fair competition among national
securities exchanges.
---------------------------------------------------------------------------

    \22\ See supra note 3 [sic].
    \23\ See supra note 19 [sic].
---------------------------------------------------------------------------

    Furthermore, the Exchange operates in a highly competitive
environment, and its ability to price the proposed data product is
constrained by competition among exchanges that offer similar data
products to their customers. As discussed, there are currently a number
of similar products available to market participants and investors. At
least three other U.S. options exchanges offer a market data product
that is substantially similar to the Open-Close Data Report discussed
herein, which the Exchange must consider in its pricing discipline in
order to compete for the market data.\24\ For example, proposing fees
that are excessively higher than established fees for similar data
products would simply serve to reduce demand for the Exchange's data
product, which as discussed, market participants are under no
obligation to utilize. In this competitive environment, potential
purchasers are free to choose which, if any, similar product to
purchase to satisfy their need for market information. As a result, the
Exchange believes this proposed rule change permits fair competition
among national securities exchanges.
---------------------------------------------------------------------------

    \24\ See e.g., Cboe Options Fees Schedule, Livevol Fees, Open-
Close Data. See also C2 Options Fees Schedule, Livevol Fees, Open-
Close Data. See also Nasdaq ISE Options 7 Pricing Schedule, Section
10.A.
---------------------------------------------------------------------------

    The Exchange also does not believe the proposed fees would cause
any unnecessary or inappropriate burden on intermarket competition as
other exchanges are free to introduce their own comparable data product
and lower their prices to better compete with the Exchange's offering.
The Exchange does not believe the proposed rule change would cause any
unnecessary or inappropriate burden on intramarket competition.
Particularly, the proposed product and fees apply uniformly to any
purchaser, in that it does not differentiate between subscribers that
purchase Open-Close Data. The proposed fees are set at a modest level
that would allow any interested Participants or non-Participants to
purchase such data based on their business needs.
    The Exchange also does not believe that the proposed rule change
relating to the free trial will impose any burden on intramarket
competition that is not necessary or appropriate in furtherance of the
purposes of the Act because the proposed rule change will apply to all
Participants and non-Participants who have never made request to
purchase the End-of-Day Open-Close Data Report. Moreover, purchase of
Open-Close Data Report is discretionary and not compulsory.
    The Exchange also does not believe that the proposed rule change
will impose any burden on intermarket competition that is not necessary
or appropriate in furtherance of the purposes of the Act because the
proposed change applies only to the Exchange. Furthermore, other
exchanges currently offer a similar free-trial period for similar
data.\25\
---------------------------------------------------------------------------

    \25\ See Nasdaq ISE, Options 7 Pricing Schedule, Section 10A.,
Nasdaq ISE Open/Close Trade Profile End of Day. See also Cboe
Options Fees Schedule, Livevol Fees, Open-Close Data. See also C2
Options Fees Schedule, Livevol Fees, Open-Close Data.
---------------------------------------------------------------------------

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

    The Exchange has neither solicited nor received comments on 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) of the Act \26\ and Rule 19b-4(f)(6) \27\ thereunder.
Because the foregoing proposed rule change does not: (i) Significantly
affect the protection of investors or the public interest; (ii) impose
any significant burden on competition; and (iii) become operative for
30 days from the date on which it was filed, or such shorter time as
the Commission may designate, it has become effective pursuant to
Section 19(b)(3)(A) of the Act \28\ and Rule 19b-4(f)(6) \29\
thereunder.
---------------------------------------------------------------------------

    \26\ 15 U.S.C. 78(b)(3)(A).
    \27\ 17 CFR 240.19b-4(f)(6).
    \28\ 15 U.S.C. 78s(b)(3)(A).
    \29\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires the Exchange to give the Commission written notice of the
Exchange's intent to file the proposed rule change, along with a
brief description and text of the proposed rule change, at least
five business days prior to the date of filing of the proposed rule
change, or such shorter time as designated by the Commission. The
Exchange has satisfied this requirement.

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

    A proposed rule change filed under Rule 19b-4(f)(6) \30\ normally
does not become operative prior to 30 days after the date of the
filing. However, pursuant to Rule 19b-4(f)(6)(iii),\31\ the Commission
may designate a shorter time if such action is consistent with
protection of investors and the public interest. The Exchange has asked
the Commission to waive the 30-day operative delay so that it may
become operative immediately upon filing to allow the Exchange to
compete with exchanges that already have substantially similar products
in place and to allow potential subscribers to use and test the data
before purchasing the Open-Close Data Report. The Commission believes
that, as described above, the Exchange's proposal does not raise any
new or novel issues. Therefore, the Commission believes that waving the
30-day operative delay is consistent with the protection of investors
and the public interest. Accordingly, the Commission designates the
proposed rule change to be operative upon filing.\32\
---------------------------------------------------------------------------

    \30\ 17 CFR 240.19b-4(f)(6).
    \31\ 17 CFR 240.19b-4(f)(6).
    \32\ For purposes only of waiving the 30-day operative delay,
the Commission also has considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
---------------------------------------------------------------------------

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

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to [email protected]. Please include
File Number SR-BOX-2021-24 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-BOX-2021-24. 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-BOX-2021-24 and should be submitted on
or before November 17, 2021.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\33\
---------------------------------------------------------------------------

    \33\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-23343 Filed 10-26-21; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 81, Number 60 (Tuesday, March 29, 2016)]
[Notices]
[Pages 17527-17529]
[FR Doc No: 2016-06999]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-77435; File No. SR-NYSEMKT-2016-41]

Self-Regulatory Organizations; NYSE MKT LLC; Notice of Filing and
Immediate Effectiveness of Proposed Rule Change to Rule 964.2NY
Regarding the Participation Entitlement Formula for Specialists and e-
Specialists

March 23, 2016.
    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 March 21, 2016, NYSE MKT LLC (the ``Exchange'' or ``NYSE
MKT'') filed with the Securities and Exchange Commission (the
``Commission'') the proposed rule change as described in Items I and II
below, which Items have been prepared by the self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
---------------------------------------------------------------------------

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

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

    The Exchange proposes to Rule 964.2NY regarding the participation
entitlement formula for Specialists and e-Specialists. The proposed
rule change is available on the Exchange's Web site at www.nyse.com, at
the principal office of the Exchange, 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 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 Exchange is proposing changes to Rule 964.2NY regarding the
participation entitlement formula for Specialists and e-Specialists as
described below.\4\
---------------------------------------------------------------------------

    \4\ A Specialist is ``an individual or entity that has been
deemed qualified by the Exchange for the purpose of making
transactions on the Exchange in accordance with the provisions of
Rule 920NY [Market Makers], and who meets the qualification
requirements of Rule 927NY(b) [Specialists]. Each Specialist must be
registered with the Exchange as a Market Maker. Any ATP Holder
registered as a Market Maker with the Exchange is eligible to be
qualified as a Specialist. See Rule 900.2NY(76). Rule 923NY(b) also
provides that ``[t]he Exchange may designate e-Specialists in an
option class in accordance with Rule 927.4NY[e-Specialists].'' Id.
---------------------------------------------------------------------------

    Rule 964NY sets forth the priority for the allocation of incoming
orders to resting interest at a particular price in the System,\5\
which includes the allocation to the Specialist Pool.\6\ Rule 964.2NY
sets forth the participant entitlement formula applicable to the
Specialist Pool and provides that, on a quarterly basis, the Exchange
will determine a Primary Specialist in each option class.
---------------------------------------------------------------------------

    \5\ The term ``System'' refers to the Exchange's electronic
order delivery, execution and reporting system through which orders
and quotes for listed options are consolidated for execution and/or
display. See Rule 900.2NY(48) (defining ``Exchange System'' or
``System'').
    \6\ The Specialist Pool refers to the aggregated size of the
best bid and best offer, in a given series, amongst the Specialist
and e-Specialists that match in price. See Rule 900.2NY(75).
---------------------------------------------------------------------------

    To select the Primary Specialist, the Exchange objectively
evaluates the relative quote performance of each Specialist and e-
Specialist focusing on one or more of the following optional factors:
time and size at the NBBO, average quote width, average quote size, and
the relative share of electronic volume in a given class of options
(the Primary Specialist Criteria'').\7\ Per current Rule 964.2NY(a),
the Exchange will publish the Primary Specialist Criteria, including
the relative weighting of each factor, by Regulatory Bulletin at least
5 business days prior to an evaluation period. The Exchange adopted the
quarterly contest for Primary Specialist in 2012 to enhance quote
competition among the Specialist Pool participants.\8\
---------------------------------------------------------------------------

    \7\ See Rule 964.2NY(a). The Primary Specialist's size pro-rata
participation in the Specialist Pool also receives additional
weighting amongst Specialist Pool participants, which is determined
by the Exchange and announced via Regulatory Bulletin. See Rule
964.2NY(b)(3)(A).
    \8\ See Securities Exchange Release No. 34-67421 (July 12,
2012), 77 FR 42349 (July 18, 2012) (SR-NYSEAmex-2012-31) (approval
order).
---------------------------------------------------------------------------

    The Exchange proposes to modify the Primary Specialist Criteria to
include the electronic volumes from resting quotes and orders in the
Consolidated Book \9\ for each Specialist and e-Specialist. While the
current Primary Specialist Criteria includes ``electronic volume,''
this can be composed of liquidity-taking volume. The Exchange believes
the new criterion would enable the Exchange to better account for the
liquidity-making volume of each Specialist and e-Specialist. The
Exchange believes this proposal also provides the Exchange the ability
to reward Specialists and e-Specialists that contribute significant
volumes through market making activity. The Exchange believes that
having the ability to reward such participants would incentivize
Specialist Pool Participants to increase their posted volume on the
Exchange, which benefits other market participants through the
improvement of the price and size of the displayed market.
---------------------------------------------------------------------------

    \9\ The Consolidated Book is ``the Exchange's electronic book of
limit orders for the accounts of Customers and broker-dealers, and
Quotes with Size. All orders and Quotes with Size that are entered
into the Book will be ranked and maintained in accordance with the
rules of priority as provided in Rule 964NY.'' See Rule 900.2NY(14).
---------------------------------------------------------------------------

    The Exchange also proposes at this time to make a procedural change
for announcements regarding the Primary Specialist Criteria and any
additional weighting to the Primary Specialist amongst the Specialist
Pool. Presently the Exchange issues Regulatory Bulletins when making
such announcements. Going forward, the Exchange proposes to issue a
Trader Update in lieu of a Regulatory Bulletin. Regulatory Bulletins
generally contain information regarding legal and regulatory matters
while Trader Updates deal with issues such as trading, systems changes
and real-time market

announcements. The Exchange believes that it is more appropriate to
make announcements regarding the Primary Specialist via Trader Update.
Trader Updates, like Regulatory Bulletins, are electronically
distributed to ATP Holders and posted on the Exchange's Web site.
Accordingly, the Exchange proposes to amend current Rule 964.2NY(a) and
(b)(3)(A) by replacing reference to ``Regulatory Bulletin'' with
``Trader Update.'' Thus, for example, the Exchange will publish the
Primary Specialist Criteria, including the relative weighting of each
factor, by Trader Update at least 5 business days prior to an
evaluation period.\10\
---------------------------------------------------------------------------

    \10\ See proposed Rule 964.2NY(a).
---------------------------------------------------------------------------

2. Statutory Basis
    The Exchange believes the proposed rule change is consistent with
Section 6(b) \11\ of the Securities Exchange Act of 1934 (the ``Act''),
in general, and furthers the objectives of Section 6(b)(5),\12\ 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, and to
remove impediments to and perfect the mechanism of a free and open
market and a national market system.
---------------------------------------------------------------------------

    \11\ 15 U.S.C. 78f(b).
    \12\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    As noted by the Exchange, the proposed rule change would promote
just and equitable principles of trade as it is intended to enhance
quote competition among the Specialist Pool participants by enabling
the Exchange to include liquidity-making electronic volume among the
objective factors considered in the Primary Specialist Criteria. The
Exchange believes this proposal also provides the Exchange the ability
to reward Specialists and e-Specialists who contribute significant
volumes through market making activity. The Exchange believes that
having the ability to reward such participants would incentivize
Specialist Pool Participants to increase their posted volume on the
Exchange, which benefits other market participants through the
improvement of the price and size of the displayed market. The proposal
would remove impediments to and perfect the mechanism of a free and
open market and a national market system because enhanced quote
competition should lead to narrower spreads and more liquid markets,
which should attract more order flow to the Exchange, thereby
benefiting investors.
    Finally, the replacement of references to Regulatory Bulletin with
references to Trader Updates, would foster cooperation and coordination
with persons engaged in facilitating transactions in securities as
Trader Updates deal with issues such as trading, systems changes and
real-time market announcements and are electronically distributed to
ATP Holders and posted on the Exchange's Web site.

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

    The Exchange does not believe that the proposed rule change would
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act. The proposed change is
designed to enhance quote competition among Specialist Pool
participants and would not have any adverse impact on quote competition
within the Exchange. In addition, the proposal permits the Exchange to
consider an additional objective factor in determining the Primary
Specialist. Should the Exchange decide to use such a factor, it would
announce the modified Primary Specialist Criteria in advance of the
evaluation period. As is the case today, Specialists Pool participants
would have ample notice of the modified Primary Specialist Criteria and
could opt to modify their market making activities to better compete
for the Primary Specialist designation.

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

    Because the proposed rule change does not (i) significantly affect
the protection of investors or the public interest; (ii) impose any
significant burden on competition; and (iii) become operative for 30
days from the date on which it was filed, or such shorter time as the
Commission may designate if consistent with the protection of investors
and the public interest, the proposed rule change has become effective
pursuant to Section 19(b)(3)(A) of the Act \13\ and Rule 19b-4(f)(6)
thereunder.\14\
---------------------------------------------------------------------------

    \13\ 15 U.S.C. 78s(b)(3)(A).
    \14\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires the Exchange to give the Commission written notice of the
Exchange's intent to file the proposed rule change, along with a
brief description and text of the proposed rule change, at least
five business days prior to the date of filing of the proposed rule
change, or such shorter time as designated by the Commission. The
Exchange has satisfied this requirement.
---------------------------------------------------------------------------

    A proposed rule change filed under Rule 19b-4(f)(6) \15\ normally
does not become operative for 30 days after the date of filing.
However, pursuant to Rule 19b-4(f)(6)(iii),\16\ the Commission may
designate a shorter time if such action is consistent with the
protection of investors and the public interest. The Exchange has
requested that the Commission waive the 30-day operative delay so that
the proposal may become operative immediately upon filing. The Exchange
states that this waiver would enable the Exchange to apply the proposed
modified Primary Specialist Criteria for the second quarter starting
April 1, 2016. The Commission believes that waiving the 30-day
operative delay is consistent with the protection of investors and the
public interest. As stated in the filing, the Exchange believes that
the proposed rule change would promote quote competition among the
Specialist Pool participants by enabling the Exchange to consider
liquidity-making electronic volume among the objective factors
considered in the Primary Specialist Criteria. The waiver of the
operative delay will enable the Exchange to apply the proposed modified
Primary Specialist Criteria for the second quarter starting April 1,
2016, and to announce the modified Primary Specialist Criteria by
Trader Update at least five days before the start of the April 1st
evaluation period, to help ensure that Specialists and e-Specialists
are given ample notice of the proposed change. The Exchange notes that
while the modified Primary Specialist Criteria would be announced for
the second quarter, starting April 1st, the actual evaluation would not
be conducted until the start of the third quarter (i.e., July 1, 2016).
Accordingly, the Commission designates the proposed rule change to be
operative upon filing.\17\
---------------------------------------------------------------------------

    \15\ 17 CFR 240.19b-4(f)(6).
    \16\ 17 CFR 240.19b-4(f)(6)(iii).
    \17\ For purposes only of waiving the 30-day operative delay,
the Commission has also considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
---------------------------------------------------------------------------

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

Commission shall institute proceedings to determine whether the
proposed rule should be approved or disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-NYSEMKT-2016-41 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-NYSEMKT-2016-41. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549, on official business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of the filing also will be available
for inspection and copying at the principal office of the Exchange. All
comments received will be posted without change; 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-NYSEMKT-2016-41, and should
be submitted on or before April 19, 2016.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\18\
---------------------------------------------------------------------------

    \18\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Brent J. Fields,
Secretary.
[FR Doc. 2016-06999 Filed 3-28-16; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register: June 6, 2007 (Volume 72, Number 108)]
[Notices]
[Page 31309]
[DOCID:fr06jn07-69]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. RP07-465-000]

Questar Southern Trails Pipeline Company; Notice of Annual Fuel
Reimbursement Report

May 31, 2007.
    Take notice that on May 25, 2007, Questar Southern Trails Pipeline
Company (Southern Trails) tendered for filing its annual fuel
reimbursement report pursuant to Section 30 to the General Terms and
Conditions of its FERC Gas Tariff, Original Volume No. 1.
    Southern Trails states that copies of the filing have been served
upon its customers and the Public Service Commission's of Utah, New
Mexico, Arizona and California.
    Any person desiring to intervene or to protest this filing must
file in accordance with Rules 211 and 214 of the Commission's Rules of
Practice and Procedure (18 CFR 385.211 and 385.214). Protests will be
considered by the Commission in determining the appropriate action to
be taken, but will not serve to make protestants parties to the
proceeding. Any person wishing to become a party must file a notice of
intervention or motion to intervene, as appropriate. Such notices,
motions, or protests must be filed on or before the date as indicated
below. Anyone filing an intervention or protest must serve a copy of
that document on the Applicant. Anyone filing an intervention or
protest on or before the intervention or protest date need not serve
motions to intervene or protests on persons other than the Applicant.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper using the ``eFiling'' link at http://www.ferc.gov.
 Persons unable to file electronically should submit an

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

``eLibrary'' link and is available for review in the Commission's
Public Reference Room in Washington, DC. There is an ``eSubscription''
link on the Web site that enables subscribers to receive e-mail
notification when a document is added to a subscribed docket(s). For
assistance with any FERC Online service, please e-mail
<EMAIL_ADDRESS>or call<PHONE_NUMBER> (toll free). For

TTY, call<PHONE_NUMBER>.
    Comment Date: 5 p.m. Eastern Time June 7, 2007.

Kimberly D. Bose,
Secretary.
[FR Doc. E7-10844 Filed 6-5-07; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register: August 30, 2007 (Volume 72, Number 168)]
[Notices]
[Page 50148-50149]
[DOCID:fr30au07-65]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-56315; File No. SR-ISE-2007-58]

Self-Regulatory Organizations; International Securities Exchange,
LLC; Order Approving a Proposed Rule Change Relating to ISEE Select
Market Data Fees

August 24, 2007.
    On July 6, 2007, the International Securities Exchange, LLC
(``ISE'' or ``Exchange'') filed with the Securities and Exchange
Commission (``Commission''), pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4
thereunder,\2\ a proposed rule change to amend its Schedule of Fees to
adopt a subscription fee for an enhanced sentiment market data
offering. The proposed rule change was published for comment in the
Federal Register on July 25, 2007.\3\ The Commission received no
comments on the proposal. This order approves the proposed rule change.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 56093 (July 18,
2007), 72 FR 40912.
---------------------------------------------------------------------------

I. Description of the Proposal

    The Exchange proposes to offer, to both member and non-member
subscribers, a data feed that will provide a bulk delivery of ISEE
Select\TM\ (``ISEE Select'') values.\4\ The existing ISEE Select
browser application allows a subscriber to access ISEE Select values
for up to five securities simultaneously; this proposal will allow
subscribers to access numerous ISEE Select values simultaneously. The
actual potential number of ISEE Select values accessible by this
proposed data feed offering can range from one to more than 1,700.
---------------------------------------------------------------------------

    \4\ ISEE Select allows subscribers to identify bullish and
bearish investor sentiment for nearly any issue traded on the
Exchange by providing sentiment values for particular indices,
industry sectors or individual stocks. These values are calculated
three times per hour.
---------------------------------------------------------------------------

    The ISEE Select data feed will have a flat rate subscription fee
based on a fixed number of end users that each subscriber allows to
view the data, as follows: $0.10 Per end user, per month, for a minimum
of 10,000 end users; $0.10 for each additional end user, per month, up
to 74,999 end users, in increments of 5,000 end users; $0.084 per end
user, per month, for redistribution from 75,000 to 199,999 end users,
in increments of 5,000 end users; and $0.0825 per end user, per month,
for redistribution to 200,000 or more end users, in minimum increments
of 5,000 end users. An example of the monthly subscription fee for a
subscriber with 100,000 end users is as follows:

------------------------------------------------------------------------
                                                Monthly fee  Monthly sub-
         Number of users per increment            per user      total
------------------------------------------------------------------------
10,000........................................         $.10       $1,000
10,001-74,999.................................          .10        6,500
75,000-100,000................................         .084        2,100
                                               -------------------------
    Monthly Total.............................  ...........        9,600
                                               -------------------------
    Average Fee per User......................  ...........         .096
------------------------------------------------------------------------

II. Discussion

    The Commission finds that the proposed rule change is consistent
with the requirements of the Act and the rules and regulations
thereunder applicable to a national securities exchange.\5\
Specifically, the Commission finds that the proposal is consistent with
Section 6(b)(4) of the Act, which requires that an exchange have an
equitable allocation of reasonable dues, fees, and other charges among
its members and other persons using its facilities. This proposed rule
change will diversify ISEE Select offerings by allowing members and
non-members to subscribe to a data feed of ISEE Select values at a flat
rate subscription fee for redistribution to their customers. Further,
we note that the fees are identical for members and non-members. As
with other ISEE Select

products,\6\ this offering is purely optional; it is not necessary to
subscribe to this service to trade options on the ISE.
---------------------------------------------------------------------------

    \5\ In approving this proposed rule change, the Commission has
considered the proposed rule's impact on efficiency, competition,
and capital formation. 15 U.S.C. 78c(f).
    \6\ See, e.g., Securities Exchange Act Release No. 54704
(November 3, 2006), 71 FR 65859 (November 9, 2006) (SR-ISE-2006-44).
---------------------------------------------------------------------------

III. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the Act,
that the proposed rule change (SR-ISE-2007-58) is approved.

    For the Commission, by the Division of Market Regulation,
pursuant to delegated authority.\7\
---------------------------------------------------------------------------

    \7\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Nancy M. Morris,
Secretary.
 [FR Doc. E7-17162 Filed 8-29-07; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register Volume 83, Number 160 (Friday, August 17, 2018)]
[Rules and Regulations]
[Pages 40985-40986]
[FR Doc No: 2018-17801]

=======================================================================
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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 117

[Docket No. USCG-2018-0775]

Drawbridge Operation Regulation; Columbia River, Portland, OR and
Vancouver, WA

AGENCY: Coast Guard, DHS.

ACTION: Notice of deviation from drawbridge regulation.

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

SUMMARY: The Coast Guard has issued a temporary deviation from the
operating schedule that governs the Interstate 5 (I-5) Bridges across
the Columbia River, mile 106.5, between Portland, Oregon, and
Vancouver, Washington. The deviation is necessary to facilitate the
presence of participants in the Hands Across the Bridge Project. This
deviation allows the bridges to remain in the closed-to-navigation
position during the event.

DATES: This deviation is effective from 11 a.m. to 2 p.m. on September
3, 2018.

ADDRESSES: The docket for this deviation, USCG-2018-0775 is available
at http://www.regulations.gov. Type the docket number in the ``SEARCH''
box and click ``SEARCH.'' Click on Open Docket Folder on the line
associated with this deviation.

FOR FURTHER INFORMATION CONTACT: If you have questions on this
temporary deviation, call or email Mr. Steven Fischer, Bridge
Administrator, Thirteenth Coast Guard District; telephone<PHONE_NUMBER>,
email [email protected].

SUPPLEMENTARY INFORMATION: Oregon Department of Transportation (bridge
owner) requested a temporary deviation from the operating schedule for
the I-5 Bridges, mile 106.5, across the Columbia River between
Vancouver, WA, and Portland, OR, to facilitate safe passage of
participants in the Hands Across the Bridge Project. The I-5 Bridges
provides three designated navigation channels with vertical clearances
ranging from 39 to 72 feet above Columbia River Datum 0.0 while the
lift spans are in the closed-to-navigation position. The normal
operating schedule for the I-5 Bridges is 33 CFR 117.869. The subject
bridges need not open to marine vessels during

the deviation period from 11 a.m. to 2 p.m. on September 3, 2018. The
bridge shall operate in accordance with 33 CFR 117.869 at all other
times. Waterway usage on this part of the Columbia River includes
vessels ranging from large commercial ships, tug and tow vessels to
recreational pleasure craft.
    Vessels able to pass under the bridges in the closed-to-navigation
positions may do so at any time. Both bridges will be able to open for
emergencies, and there is no immediate alternate route for vessels to
pass. The Coast Guard will also inform the users of the waterways
through our Local and Broadcast Notices to Mariners of the change in
operating schedule for the bridge so that vessels can arrange their
transits to minimize any impact caused by the temporary deviation.
    In accordance with 33 CFR 117.35(e), the drawbridges must return to
their regular operating schedule immediately at the end of the
effective period of this temporary deviation. This deviation from the
operating regulations is authorized under 33 CFR 117.35.

    Dated: August 9, 2018.
Steven M. Fischer,
Bridge Administrator, Thirteenth Coast Guard District.
[FR Doc. 2018-17801 Filed 8-16-18; 8:45 am]
 BILLING CODE 9110-04-P


[Federal Register: December 7, 2005 (Volume 70, Number 234)]
[Notices]
[Page 72804-72805]
[DOCID:fr07de05-42]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. RP05-618-001]

Colorado Interstate Gas Company; Notice of Compliance Filing

November 29, 2005.
    Take notice that on November 23, 2005, Colorado Interstate Gas
Company (CIG) tendered for filing as part of its FERC Gas Tariff, Pro
Forma First Revised Volume No.1, the following tariff sheets:

First Revised Sheet No. 380F.
First Revised Sheet No. 380G.
First Revised Sheet No. 380H.
Original Sheet No. 380H.01.
Original Sheet No. 380H.02.
Original Sheet No. 380H.03.
Original Sheet No. 380H.04.

    CIG states that the pro forma tariff sheets are being filed to
comply with the Commission's Order dated September 30, 2005 in Docket
No. RP05-618-000. CIG states that these pro forma tariff sheets are
submitted to establish a true-up feature in its Fuel and L&U
reimbursement mechanism.
    CIG states that copies of its filing have been sent to all firm
customers, interruptible customers, and affected state commissions.
    Any person desiring to protest this filing must file in accordance
with Rule 211 of the Commission's Rules of Practice and Procedure (18
CFR 385.211). Protests to this filing 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. Such protests
must be filed in accordance with the provisions of section 154.210 of
the Commission's regulations (18 CFR 154.210). Anyone filing a protest
must serve a copy of that document on all the parties to the
proceeding.
    The Commission encourages electronic submission of protests in lieu
of paper using the ``eFiling'' link at http://www.ferc.gov. Persons

unable to file electronically should submit an original and 14 copies
of the protest to the Federal Energy Regulatory Commission, 888 First
Street, NE., Washington, DC 20426.
    This filing is accessible on-line at http://www.ferc.gov, using the

``eLibrary'' link and is available for review in the Commission's
Public Reference Room in Washington, DC. There is an ``eSubscription''
link on the Web site that enables subscribers to receive e-mail
notification when a document is added to a subscribed

docket(s). For assistance with any FERC Online service, please e-mail
<EMAIL_ADDRESS>or call<PHONE_NUMBER> (toll free). For

TTY, call<PHONE_NUMBER>.

Magalie R. Salas,
Secretary.
[FR Doc. E5-6945 Filed 12-6-05; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 84, Number 240 (Friday, December 13, 2019)]
[Notices]
[Pages 68257-68258]
[FR Doc No: 2019-26868]

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SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-315, OMB Control No. 3235-0357]

Proposed Collection; Comment Request

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

Extension:

    Regulation S

    Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') is soliciting comments on the collection of
information summarized below. The Commission plans to submit this
existing collection of information to the Office of Management and
Budget for extension and approval.
    Regulation S (17 CFR 230.901 through 230.905) sets forth rules
governing offers and sales of securities made outside the United States
without registration under the Securities Act of 1933 (15 U.S.C. 77a et
seq.). Regulation S clarifies the extent to which Section 5 of the
Securities Act applies to offers and sales of securities outside of the
United States. Regulation S is assigned one burden hour for
administrative convenience.
    Written comments are invited on: (a) Whether this collection of
information is necessary for the proper performance of the functions of
the agency, including whether the information will have practical
utility; (b) the accuracy of the agency's estimate of the burden
imposed by the collection of information; (c) ways to enhance the
quality, utility, and clarity of the information collected; and (d)
ways to minimize the burden of the collection of information on
respondents, including through the use of automated collection
techniques or other forms of information technology. Consideration will
be given to comments and suggestions submitted in writing within 60
days of this publication.
    An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid control number.
    Please direct your written comments to Charles Riddle, Acting
Director/Chief Information Officer, Securities and Exchange Commission,
c/o Cynthia Roscoe, 100 F Street NE, Washington, DC 20549; or send an
email to<EMAIL_ADDRESS>
    Dated: December 9, 2019.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2019-26868 Filed 12-12-19; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 79, Number 9 (Tuesday, January 14, 2014)]
[Notices]
[Pages 2466-2467]
[FR Doc No: 2014-00443]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

[Docket No. USCG-2013-1047]

Draft Guidance for Interpreting Regulations for Marine Casualty
Reporting

AGENCY: Coast Guard, DHS.

ACTION: Notice of availability and request for comments.

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

SUMMARY: The Coast Guard announces the availability of draft guidance
in the form of a Navigation and Vessel Inspection Circular (NVIC)
entitled ``Title 46, Code of Federal Regulations (CFR), Part 4 Marine
Casualty Reporting Procedures Guide with Associated Standard
Interpretations.'' The draft NVIC will assist regulated maritime
industry stakeholders in determining if certain occurrences are
reportable or not reportable to the Coast Guard, other than those
related to recreational vessel casualties. This notice requests public
comment on the impacts that the interpretations and policies contained
in the draft NVIC would have upon vessel owners and operators or other
affected parties. This notice promotes the Coast Guard's maritime
safety and stewardship missions.

DATES: Comments and other related material on the draft NVIC must
either be submitted to our online docket via http://www.regulations.gov
on or before April 14, 2014 or reach the Docket Management Facility by
that date.

ADDRESSES: You may submit comments identified by docket number USCG-
2013-1047 using any one of the following methods:
    (1) Federal eRulemaking Portal: http://www.regulations.gov.
    (2) Fax:<PHONE_NUMBER>.
    (3) Mail: Docket Management Facility (M-30), U.S. Department of
Transportation, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue SE., Washington, DC 20590-0001.
    (4) Hand delivery: Same as mail address above, between 9 a.m. and 5
p.m., Monday through Friday, except Federal holidays. The telephone
number is<PHONE_NUMBER>.
    To avoid duplication, please use only one of these four methods.
See the ``Public Participation and Request for Comments'' portion of
the SUPPLEMENTARY INFORMATION section below for instructions on
submitting comments.

FOR FURTHER INFORMATION CONTACT: If you have questions on this notice,
email Lieutenant Commander Randy S. Waddington, Office of
Investigations and Analysis, U.S. Coast Guard at<EMAIL_ADDRESS>If you have questions on viewing or submitting
material to the docket, call Barbara Hairston, Program Manager, Docket
Operations, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Public Participation and Request for Comments

    We encourage you to submit comments and related material on the
draft NVIC. All comments received will be posted, without change, to
http://www.regulations.gov and will include any personal information
you have provided.

A. Submitting Comments

    If you submit a comment, please include the docket number for this
notice (USCG-2013-1047) and provide a reason for each suggestion or
recommendation. You may submit your comments and material online, or by
fax, mail or hand delivery, but please use only one of these means. We
recommend that you include your name and a mailing address, an email
address, or a telephone number in the body of your document so that we
can contact you if we have questions regarding your submission.
    To submit your comment online, go to http://www.regulations.gov,
and follow the instructions on that Web site. If you submit your
comments by mail or hand delivery, submit them in an unbound format, no
larger than 8\1/2\ by 11 inches, suitable for copying and electronic
filing. If you submit comments by mail and would like to know that they
reached the Facility, please enclose a stamped, self-addressed postcard
or envelope. We will consider all comments and material received during
the comment period and may change this proposed guidance based on your
comments.

B. Viewing Comments and Documents

    Public comments and relevant documents mentioned in this notice
will all be available in the public docket. To see the public docket,
go to http://www.regulations.gov, and follow the instructions on that
Web site. 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.

C. Privacy Act

    Anyone can search the electronic form of comments received into any
of our dockets by the name of the individual submitting the comment (or
signing the comment, if submitted on behalf of an association,
business, labor union, etc.). You may review a Privacy Act notice
regarding our public dockets in the January 17, 2008, issue of the
Federal Register (73 FR 3316).

Discussion

    Historically, the Coast Guard has relied upon the language found in
46 CFR part 4 to assist regulated industry stakeholders in determining
if an occurrence is a reportable marine casualty. Information and data
collected by the Coast Guard during marine casualty investigations are
used by a wide audience for many purposes from enforcement of laws to
enhancement of prevention activities (i.e., safety alerts and
standards). Therefore, it is critical that casualty information be
consistently captured. In addition, even minor incidents provide
valuable leading indicator and trend analysis information critical for
an effective prevention program.
    Due to the complexity of the subject, the Coast Guard recognizes
that additional clarification of these requirements would benefit both
the Coast Guard and the regulated industry. Such clarification furthers
the Coast Guard's goal of providing consistent national guidance
regarding marine casualty reporting to all stakeholders. Because marine
casualties occur among a wide range of vessel types and operations, a
consistent national framework must outline expectations and alleviate
confusion.
    The draft NVIC lays the appropriate foundation for this consistent
capture of marine casualty data by clarifying existing regulations,
policies, and procedures. Specifically, the draft NVIC assists
responsible parties in the proper evaluation of occurrences that
constitute

a reportable marine casualty and subsequently require action by both
Coast Guard and maritime industry stakeholders.
    Persons reporting marine casualties should make every effort by any
means available to immediately notify the nearest Coast Guard Command
Center. The notification must include the information required by 46
CFR 4.05-5. A written follow-up report meeting the requirements of 46
CFR 4.05-10 must be submitted within 5 days. If there is any doubt
whether an occurrence is a reportable marine casualty, we encourage you
to contact the nearest Officer in Charge, Marine Inspection staff
(typically via the nearest Coast Guard Command Center) to determine an
appropriate response.
    We encourage readers to review the entire draft NVIC, available in
the docket. We request comments from all interested parties to ensure
that the full range and significance of issues addressed in the draft
NVIC are identified prior to final promulgation.

Authority

    This notice is issued under authority of 5 U.S.C. 552(a).

    Dated: December 24, 2013.
J.A. Servidio,
Rear Admiral, U.S. Coast Guard, Assistant Commandant for Prevention
Policy.
[FR Doc. 2014-00443 Filed 1-13-14; 8:45 am]
BILLING CODE 9110-04-P