[Federal Register Volume 82, Number 226 (Monday, November 27, 2017)]
[Notices]
[Pages 56036-56037]
[FR Doc No: 2017-25454]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2015-D-4562]

Safety Assessment for Investigational New Drug Safety Reporting;
Public Workshop

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice of public workshop.

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SUMMARY: The Food and Drug Administration (FDA, the Agency, or we) is
announcing the public workshop entitled ``Safety Assessment for IND
Safety Reporting.'' Convened by the Duke-Robert J. Margolis, MD, Center
for Health Policy at Duke University and supported by a cooperative
agreement with FDA, the purpose of the public workshop is to bring the
stakeholder community together to discuss a variety of topics related
to ``Safety Assessment for Investigational New Drug (IND) Safety
Reporting.'' This public workshop is organized in response to public
comments received to Docket No. FDA-2015-D-4562 for the draft guidance
``Safety Assessment for IND Safety Reporting'' issued in December 2015
requesting a public meeting to discuss the draft guidance and its
implications. The public workshop is intended to engage external
stakeholders in discussions related to finalizing the draft guidance
entitled ``Safety Assessment for IND Safety Reporting.''

DATES: The public workshop will be held on January 11, 2018, from 9
a.m. to 4 p.m., Eastern Time. See the SUPPLEMENTARY INFORMATION section
for registration date and information.

ADDRESSES: The public workshop will be held at the Conference Center at
1777 F Street NW., Washington, DC 20006. For additional travel and
hotel information, please refer to the following Web site: https://healthpolicy.duke.edu/events/fda-ind-safety-reporting-meeting. There
will also be a live webcast for those unable to attend the meeting in
person (see Streaming Webcast of Public Workshop).

FOR FURTHER INFORMATION CONTACT: Lauren Wedlake, Center for Drug
Evaluation and Research, Food and Drug Administration, 10903 New
Hampshire Ave., Bldg. 51, Rm. 6362, Silver Spring, MD 20993, 301-796-
2728, [email protected].

SUPPLEMENTARY INFORMATION:

I. Background

    The IND safety reporting requirements for human drugs and
biological products being studied under an IND are stated in Sec.
312.32 (21 CFR 312.32). In 2012, FDA published final guidance for
industry and investigators regarding implementation of these
requirements entitled ``Safety Reporting Requirements for INDs and BA/
BE Studies.\1\ '' During the evaluation of comments to the draft
guidance for industry and investigators entitled ``Safety Reporting
Requirements for INDs and BA/BE Studies'' (Docket No. FDA-2010-D-0482)
and at meetings with stakeholders, FDA identified the need for
additional guidance on IND safety reporting. The draft guidance for
industry entitled ``Safety Assessment for IND Safety Reporting'' was
issued in December 2015 \2\ as a follow-on to the guidance for industry
and investigators entitled ``Safety Reporting Requirements for INDs and
BA/BE Studies'' and provides recommendations for how sponsors of INDs
can identify and evaluate important safety information that must be
submitted to FDA and all participating investigators under the IND
safety reporting regulations at Sec.  312.32. The focus of this draft
guidance is on safety information that is only interpretable in the
aggregate and therefore, this guidance is most applicable to late-stage
studies and drug development programs that have multiple studies. This
guidance contains recommendations on the following matters that are
most relevant to sponsors' review of aggregate data for IND safety
reporting: (1) The entity that reviews aggregate data, (2) methods for
aggregate analyses of safety data, (3) maintaining trial integrity
while reviewing unblinded data, and (4) reporting criteria. This
guidance also contains recommendations regarding the development of a
plan for safety surveillance, and includes considerations and
recommendations.
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    \1\ Available at: https://www.fda.gov/downloads/Drugs/Guidances/UCM227351.pdf.
    \2\ https://www.fda.gov/downloads/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/UCM477584.pdf.
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    Timely reporting of meaningful safety information allows FDA to
consider whether any changes in study conduct should be made beyond
those initiated by the sponsor and allows investigators to make any
needed changes to protect subjects. Simply reporting all serious
adverse events, however, including those where there is little reason
to consider them suspected adverse reactions (suspected adverse
reactions being those with a reasonable possibility of having been
caused by the drug), does not serve this purpose because it may obscure
safety information that is relevant to the investigational drug.
Sponsors' effective processes for a systematic approach to safety
surveillance, coupled with IND safety reporting of suspected adverse
reactions to FDA and all participating investigators (and subsequent
reporting to involved institutional review boards), allows all parties
to focus on important safety issues and to take actions to minimize the
risks of participation in a clinical trial. Sponsors are encouraged to
have internal processes for governing the safety surveillance and
safety reporting for their development programs. Such process may
include

documenting which adverse events are anticipated in the population
under study and would not likely be reported as a single occurrence,
but instead would be evaluated by assessing whether there are
differences in the rate of occurrence of such events between those
receiving the intervention and the concurrent or historical control.
    This public workshop is being held in response to public comments
received to Docket No. FDA-2015-D-4562 for the draft guidance entitled
``Safety Assessment for IND Safety Reporting'' issued in December 2015
requesting a public meeting to discuss the draft guidance
recommendations and their implications, including the new
recommendations regarding the formation of a safety assessment
committee and the submission of a portion of the safety surveillance
plan to the IND before initiating phase 2 or 3 studies. The public
workshop is intended to engage external stakeholders in discussions
related to finalizing the draft guidance entitled ``Safety Assessment
for IND Safety Reporting.''

II. Topics for Discussion at the Public Workshop

    During the public workshop, speakers and participants will address
a range of issues related to the draft guidance ``Safety Assessment for
IND Safety Reporting'', issued in December 2015. Items for discussion
will include topics raised in public comments submitted to the draft
guidance docket, including but not limited to: The entity that conducts
aggregate analysis of safety data for IND safety reporting, concerns
with unblinding of data and trial integrity, methods for determining
the threshold for reporting, and developing and documenting a plan for
safety surveillance. Furthermore, input will be sought on other factors
that drive over-reporting of safety events that do not meet the
definition of a suspected unexpected serious adverse reaction.

III. Participating in the Public Workshop

    Registration: To register for the public workshop, please visit the
following Web site: https://healthpolicy.duke.edu/events/fda-ind-safety-reporting-meeting and register online by January 8, 2018,
midnight Eastern Time. There will be no onsite registration. Please
provide complete contact information for each attendee, including name,
title, affiliation, address, email, and telephone.
    Registration is free and based on space availability, with priority
given to early registrants. Persons interested in attending this public
workshop must register online by January 8, 2018, midnight Eastern
Time. Early registration is recommended because seating is limited;
therefore, FDA may limit the number of participants from each
organization. Registrants will receive confirmation when they have been
accepted. Duke-Margolis will post on its Web site if registration
closes before the day of the public workshop.
    If you need special accommodations due to a disability, please
contact Sarah Supsiri at the Duke-Margolis Center for Health Policy,
202-791-9561, [email protected], no later than January 4, 2018.
    Streaming Webcast of the Public Workshop: This public workshop will
also be webcast; archived video footage will be available at the Duke-
Margolis Web site (https://healthpolicy.duke.edu/events/fda-ind-safety-reporting-meeting) following the workshop. Organizations are requested
to register all participants, but to view using one connection per
location whenever possible. Webcast participants will be sent technical
system requirements in advance of the event. Prior to joining the
streaming webcast of the public workshop, we recommend that you review
these technical system requirements in advance.
    Transcripts: Please be advised that transcripts will not be
available.
    FDA has verified the Web site addresses in this document, as of the
date this document publishes in the Federal Register, but Web sites are
subject to change over time.
    Meeting Materials: All event materials will be provided to
registered attendees via email prior to the workshop and publicly
available at the Duke-Margolis Web site: https://healthpolicy.duke.edu/events/fda-ind-safety-reporting-meeting.

    Dated: November 20, 2017.
Leslie Kux,
Associate Commissioner for Policy.
[FR Doc. 2017-25454 Filed 11-24-17; 8:45 am]
 BILLING CODE 4164-01-P


[Federal Register: June 28, 2007 (Volume 72, Number 124)]
[Notices]
[Page 35454]
[DOCID:fr28jn07-51]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. EL07-74-000]

Intermountain Rural Electric Association, Complainant v. Public
Service Company of Colorado, Respondent; Notice of Complaint

June 21, 2007.
    Take notice that on June 20, 2007, pursuant to Rule 218 of the
Federal Energy Regulatory Commission's (Commission) Rules and Practice
and Procedure and sections 206 and 306 of the Federal Power Act, 16
U.S.C. 824e and 825e, Intermountain Rural Electric Association
(Complainant) filed a formal complaint against the Public Service
Company of Colorado (Respondent), alleging that it believes (1) That it
is being charged unjust and unreasonable rates for distribution losses
under the provisions of the Second Restated and Amended Power Purchase
Agreement (PPA), Second Revised Rate Schedule No. 51, Xcel Energy
Services, Inc., Docket No. ER05-1248-000; and (2) the Respondent has
unilaterally increased the distribution loss percentage without filing
with or the approval of the Commission.
    The Complainant is requesting the Commission to order the
Respondent to (1) Refund, with interest, all amounts unlawfully charged
by the Respondent to the Complainant under its PPA; (2) confirm to the
Respondent may not modify the distribution loss percentage, or any
other aspect of the PPA, without filing for and obtaining the
Commission's acceptance under section 205 of the Federal Power Act,
U.S.C. 824d, and under section 5 of the Rate Schedule A of the PPA,
Second Revised Sheet No. 20, the Respondent cannot make any such filing
with the Commission that would result in an increase to the
Complainant's base rates to become effective prior to January 1, 2009.
    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, 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. The Respondent's
answer and all interventions, or protests must be filed on or before
the comment date. The Respondent's answer, motions to intervene, and
protests must be served on the Complainants.
    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 on July 10, 2007.

Kimberly D. Bose,
Secretary.
 [FR Doc. E7-12480 Filed 6-27-07; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register: February 24, 2009 (Volume 74, Number 35)]
[Notices]
[Page 8301-8302]
[DOCID:fr24fe09-111]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

[Summary Notice No. PE-2009-08]

Petitions for Exemption; Summary of Petitions Received

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of petitions for exemption received.

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SUMMARY: This notice contains a summary of certain petitions seeking
relief from specified requirements of 14 CFR. The purpose of this
notice is to improve the public's awareness of, and participation in,
this aspect of FAA's regulatory activities. Neither publication of this
notice nor the inclusion or omission of information in the summary is
intended to affect the legal status of any petition or its final
disposition.

DATE: Comments on petitions received must identify the petition docket
number involved and must be received on or before March 16, 2009.

ADDRESSES: You may send comments identified by Docket Number FAA-2008-
1260 using any of the following methods:
     Government-Wide Rulemaking Web Site: Go to http://
www.regulations.gov and follow the instructions for sending your
comments electronically.
     Mail: Send comments to the Docket Management Facility;
U.S. Department of Transportation, 1200 New Jersey Avenue, SE., West
Building Ground Floor, Room W12-140, Washington, DC 20590.
     Fax: Fax comments to the Docket Management Facility at
202-493-2251.
     Hand Delivery: Bring comments to the Docket Management
Facility in Room W12-140 of the West Building Ground Floor at 1200 New
Jersey Avenue, SE., Washington, DC, between 9 a.m. and 5 p.m., Monday
through Friday, except Federal holidays.
     Docket: To read background documents or comments received,
go to

http://www.regulations.gov at any time or to the Docket Management
Facility in Room W12-140 of the West Building Ground Floor at 1200 New
Jersey Avenue, SE., Washington, DC, between 9 a.m. and 5 p.m., Monday
through Friday, except Federal holidays.

SUPPLEMENTARY INFORMATION: We will post all comments we receive,
without change, to http://www.regulations.gov, including any personal
information you provide. Using the search function of our docket web
site, anyone can find and read the comments received into any of our
dockets, including the name of the individual sending the comment (or
signing the comment for 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).

Background

    On February 11, 2009 (74 FR 6945), the FAA published a petition for
exemption from the Aeronautical Repair Station Association. However,
the description of relief sought was inaccurate. This notice clarifies
the petitioner's request.

The Correction

    In the issue of February 11, 2009, on page 6945, in the third
column, in the Description of Relief Sought section, the summary should
read ``On behalf of its members, the Aeronautical Repair Station
Association (ARSA) seeks an exemption from part 121, appendices I and
J. Specifically, ARSA seeks an exemption for any person(s) using LONG-
LOK Fasteners Corporation to accomplish Airworthiness Directive (AD)
93-05-16, any entities called to perform required work in an AD without
an existing FAA/DOT drug and alcohol program and any person(s)
performing alterations for a covered employer.''

FOR FURTHER INFORMATION CONTACT: Tyneka Thomas<PHONE_NUMBER> or
Laverne Brunache<PHONE_NUMBER>, Office of Rulemaking, Federal Aviation
Administration, 800 Independence Avenue, SW., Washington, DC 20591.
    This notice is published pursuant to 14 CFR 11.85.

Pamela Hamilton-Powell,
Director, Office of Rulemaking.
[FR Doc. E9-3895 Filed 2-23-09; 8:45 am]

BILLING CODE 4910-13-P


[Federal Register Volume 77, Number 102 (Friday, May 25, 2012)]
[Notices]
[Page 31421]
[FR Doc No: 2012-12754]

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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

Aviation Proceedings, Agreements Filed the Week Ending May 12,
2012

    The following Agreements were filed with the Department of
Transportation under the Sections 412 and 414 of the Federal Aviation
Act, as amended (49 U.S.C. 1382 and 1384) and procedures governing
proceedings to enforce these provisions. Answers may be filed within 21
days after the filing of the application.

    Docket Number: DOT-OST-2012-0070
    Date Filed: May 9, 2012
    Parties: Members of the International Air Transport Association
    Subject: TC31--Mail Vote 711 Special Passenger Amending Resolution
010r from Myanmar to North, Central Pacific (Memo 0535) Intended
Effective Date: 4 May 2012

    Docket Number: DOT-OST-2012-0071
    Date Filed: May 9, 2012
    Parties: Members of the International Air Transport Association
    Subject TC31--Mail Vote 709 TC123 Special Passenger Amending
Resolution 010p Special Passenger Amending Resolution from Myanmar to
TC123 (Memo 0486) Intended Effective Date: 4 May 2012

    Docket Number: DOT-OST-2012-0072
    Date Filed: May 9, 2012
    Parties: Members of the International Air Transport Association
    Subject: TC23--Mail Vote 710TC23 Special Passenger Amending
Resolution 010q from Myanmar to TC23 Middle East/Africa (Memos 0462/
0467) Intended Effective Date: 4 May 2012

Renee V. Wright,
 Program Manager, Docket Operations, Federal Register Liaison.
[FR Doc. 2012-12754 Filed 5-24-12; 8:45 am]
BILLING CODE 4910-9X-P


[Federal Register Volume 79, Number 162 (Thursday, August 21, 2014)]
[Notices]
[Pages 49524-49526]
[FR Doc No: 2014-19844]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

[Docket No. USCG-2014-0576]

Merchant Marine Personnel Advisory Committee

AGENCY: Coast Guard, DHS.

ACTION: Notice of Federal Advisory Committee Meeting.

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SUMMARY: The Merchant Marine Personnel Advisory Committee will meet to
discuss various issues related to the training and fitness of merchant
marine personnel. This meeting will be open to the public.

DATES: The Merchant Marine Personnel Advisory Committee working groups
will meet on September 10, 2014, from 8 a.m. until 4 p.m., and the full
committee will meet on September 11, 2014, from 8 a.m. until 4 p.m.
Written comments for distribution to committee members and for
inclusion on the Merchant Marine Personnel Advisory Committee Web site
must be submitted on or before August 27, 2014. Please note that this
meeting may adjourn early if all business is finished.

ADDRESSES: The Committee will meet in the Newberry Auditorium of the
Calhoon Marine Engineer Beneficial Association (MEBA) Engineering
School, 27050 Saint Michaels Rd., Easton, MD 21601. For further
information on the location of the

Calhoon MEBA Engineering School, please contact Ms. Janet Sadler at
410-822-9600, extension 370 or email<EMAIL_ADDRESS>    For information on facilities or services for individuals with
disabilities or to request special assistance, please contact Mr. Davis
Breyer as indicated in the FOR FURTHER INFORMATION CONTACT paragraph
below.
    To facilitate public participation, we are inviting public comment
on the issues to be considered by the committee and working groups as
listed in the ``Agenda'' section below. Written comments must be
identified by Docket No. USCG-2014-0576 and submitted by one of the
following methods:
     Federal eRulemaking Portal: http://www.regulations.gov.
Follow the instructions for submitting comments (preferred method to
avoid delays in processing).
     Fax:<PHONE_NUMBER>.
     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.
     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>.
    Instructions: All submissions must include the words ``Department
of Homeland Security'' and the docket number for this action. Comments
received will be posted without alteration at http://www.regulations.gov, including any personal information provided. You
may review a Privacy Act notice regarding our public dockets in the
January 17, 2008, issue of the Federal Register (73 FR 3316).
    Docket: For access to the docket to read documents or comments
related to this notice, go to http://www.regulations.gov, enter the
docket number in the ``Search'' field and follow the instructions on
the Web site.
    Public oral comment periods will be held each day. Speakers are
requested to limit their comments to 3 minutes. Please note that the
public oral comment periods may end before the prescribed ending time
following the last call for comments. Contact Mr. Davis Breyer as
indicated below to register as a speaker. This notice may be viewed in
our online docket, USCG-2014-0576, at http://www.regulations.gov.

FOR FURTHER INFORMATION CONTACT: Mr. Davis Breyer, Alternate Designated
Federal Officer, telephone<PHONE_NUMBER>, or at<EMAIL_ADDRESS>
If you have any questions on viewing or submitting material to the
docket, call Cheryl Collins, Program Manager, Docket Operations,
telephone<PHONE_NUMBER> or 1-800-647-5527.

SUPPLEMENTARY INFORMATION: Notice of this meeting is given under the
Federal Advisory Committee Act, 5 U.S.C. Appendix, Public Law 92-463,
86 Stat. 770 as amended.
    The Merchant Marine Personnel Advisory Committee was established
under the Secretary's authority in section 871 of the Homeland Security
Act of 2002, Title 6, United States Code, section 451, and chartered
under the provisions of the Federal Advisory Committee Act. The
Committee acts solely in an advisory capacity to the Secretary of the
Department of Homeland Security through the Commandant of the Coast
Guard and the Director of Commercial Regulations and Standards on
matters relating to personnel in the U.S. merchant marine, including
but not limited to training, qualifications, certification,
documentation, and fitness standards. The Committee will advise,
consult with, and make recommendations reflecting its independent
judgment to the Secretary.
    A copy of all meeting documentation is available at https://homeport.uscg.mil by using these key strokes: Missions; Port and
Waterways Safety; Advisory Committees; MERPAC; and then use the
announcements key. Alternatively, you may contact Mr. Davis Breyer as
noted in the FOR FURTHER INFORMATION CONTACT section above.

Agenda

Day 1

    The agenda for the September 10, 2014, meeting is as follows:
    (1) The full committee will meet briefly to discuss the working
groups' business/task statements, which are listed under paragraph
2(a)-(g) below.
    (2) Working groups will address the following task statements which
are available for viewing at http://homeport.uscg.mil/merpac:
    (a) Task Statement 30, Utilizing Military Education, Training and
Assessment for the International Convention on Standards of Training,
Certification and Watchkeeping for Seafarers (STCW) and U.S. Coast
Guard Certifications;
    (b) Task Statement 81, Development of Competency Requirements for
Vessel Personnel Working Within the Polar Regions;
    (c) Task Statement 86, Recommendations on the Coast Guard's Advance
Notice of Proposed Rulemaking for Training of Personnel and Manning on
Mobile Offshore Units and Offshore Supply Vessels Engaged in U.S. Outer
Continental Shelf Activities; and
    (d) Task Statement 87, Review of Policy Documents Providing
Guidance on the Implementation of the December 24, 2013 International
Convention on Standards of Training, Certification and Watchkeeping and
Changes to National Endorsements Rulemaking.
    (3) Public comment period.
    (4) Reports of working groups. At the end of the day, the working
groups will report to the full committee on what was accomplished in
their meetings. The full committee will not take action on these
reports on this date. Any official action taken as a result of this
working group meeting will be taken on day 2 of the meeting.
    (5) Adjournment of meeting.

Day 2

    The agenda for the September 11, 2014, committee meeting is as
follows:
    (1) Introduction;
    (2) Remarks from Coast Guard Leadership;
    (3) Swearing in of new members;
    (4) Roll call of committee members and determination of a quorum;
    (4) Designated Federal Officer announcements;
    (5) Reports from the following working groups;
    (a) Task Statement 30, Utilizing Military Education, Training and
Assessment for the International Convention on Standards of Training,
Certification and Watchkeeping for Seafarers (STCW) and U.S. Coast
Guard Certifications;
    (b) Task Statement 81, Development of Competency Requirements for
Vessel Personnel Working Within the Polar Regions;
    (c) Task Statement 86, Recommendations on the Coast Guard's Advance
Notice of Proposed Rulemaking for Training of Personnel and Manning on
Mobile Offshore Units and Offshore Supply Vessels Engaged in U.S. Outer
Continental Shelf Activities; and
    (d) Task Statement 87, Review of Policy Documents Providing
Guidance on the Implementation of the December 24, 2013 International
Convention on Standards of Training, Certification and Watchkeeping and
Changes to National Endorsements Rulemaking.
    (6) Other items for discussion:
    (a) Report on the Implementation of the 2010 Amendments to the
International Convention on Standards of Training, Certification and
Watchkeeping;

    (b) Report on National Maritime Center activities from the National
Maritime Center Commanding Officer, such as the net processing time it
takes for mariners to receive their credentials after application
submittal;
    (c) Report on Mariner Credentialing Program Policy Division
activities, such as its current initiatives and projects;
    (d) Report on International Maritime Organization (IMO)/
International Labor Organization (ILO) issues related to the merchant
marine industry;
    (e) How to Fill out Travel Claims; and
    (f) Briefings about on-going Coast Guard projects related to
personnel in the U.S. merchant marine.
    (7) Public comment period/presentations.
    (8) Discussion of working group recommendations. The Committee will
review the information presented on each issue, deliberate on any
recommendations presented by the working groups and approve/formulate
recommendations for the Department's consideration. Official action on
these recommendations may be taken on this date.
    (9) Closing remarks/plans for next meeting.
    (10) Adjournment of meeting.
    A copy of all meeting documentation is available at http://homeport.uscg.mil/merpac. Alternatively, you may contact Mr. Davis
Breyer as noted in the FOR FURTHER INFORMATION CONTACT section above.

    Dated: August 8, 2014.
J.G. Lantz,
Director of Commercial Regulations and Standards.
[FR Doc. 2014-19844 Filed 8-20-14; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register Volume 80, Number 221 (Tuesday, November 17, 2015)]
[Notices]
[Pages 71873-71876]
[FR Doc No: 2015-29224]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-76408; File No. SR-C2-2015-027]

Self-Regulatory Organizations; C2 Options Exchange, Incorporated;
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change
Relating to Qualification and Registration of Permit Holders

November 10, 2015.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on November 2, 2015, C2 Options Exchange, Incorporated (the
``Exchange'' or ``C2'') filed with the Securities and Exchange
Commission (the ``Commission'') the proposed rule change as described
in Items I, II, and III below, which Items have been prepared by the
Exchange. The Commission is publishing this notice to solicit comments
on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 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 amend Interpretation and Policy .07 to
Rule 3.4 (Qualification and Registration) regarding the categories of
registration and respective qualification examinations required for
individual Permit Holder [sic] and associated persons of Permit Holders
that engage in the securities activities of the Permit Holder on the
Exchange. Specifically, the Exchange proposes to replace the
Proprietary Trader registration category and the Series 56 Proprietary
Trader registration qualification examination for Proprietary Traders
with the Securities Trader category of registration and the Series 57
Securities Trader registration qualification examination for Securities
Traders respectively. The text of the proposed rule change is available
on the Exchange's Web site (http://www.cboe.com/AboutCBOE/CBOELegalRegulatoryHome.aspx), at the Exchange's Office of the
Secretary, and at the Commission's Public Reference Room.

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

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

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

1. Purpose
    The Exchange proposes to amend Interpretation and Policy .07 to
Rule 3.4 (Qualification and Registration) to replace the Proprietary
Trader (PT) registration category and qualification examination (Series
56) with the Securities Trader (TD) registration category and
qualification examination (Series 57). In addition, the Exchange
proposes to replace the Proprietary Trader Principal (TP) registration
category with a Securities Trader Principal (TP) registration category
for individual TPHs or associated person [sic] who either: (i)
Supervise or monitor proprietary trading, market-making and/or
brokerage activities for broker-dealers; (ii) supervise or train those
engaged in proprietary trading, market-making and/or effecting
transactions on behalf of a broker-dealer, with respect to those
activities; and/or (iii) are officers, partners or directors of a
Permit Holder, as described in paragraph (a)(2) of Interpretation and
Policy .07 to Rule 3.4. The Exchange also proposes to replace the
Proprietary Trader Compliance Officer (CT) registration category with
the Securities Trader Compliance Officer (CT) registration category for
Chief Compliance Officers (or individuals performing similar functions)
of a TPH or TPH organization. This filing is, in all material respects,
based upon SR-FINRA-2015-017, which was recently approved by the
Securities and Exchange Commission (``SEC'' or ``Commission'').\3\
---------------------------------------------------------------------------

    \3\ See Securities Exchange Act Release No. 75783 (August 28,
2015) (Order Approving a Proposed Rule Change To Establish the
Securities Trader and Securities Trader Principal Registration
Categories) (SR-FINRA-2015-017).
---------------------------------------------------------------------------

    Rule 3.4 sets forth various qualification and registration
requirements that individual Permit Holders and associated persons must
satisfy in order to transact business on the Exchange. Among the
qualification and registration requirements set forth in Rule 3.4,
Interpretation and Policy .07 provides that individual Permit Holders
and associated persons that engage in proprietary trading, market-
making, or effect transactions on behalf of a broker-dealer must
register and qualify as a Proprietary Trader (TP) in WebCRD.\4\ To
qualify as a Proprietary

Trader, individual Permit Holders and associated persons must either
pass the Series 56 Proprietary Trader qualification examination \5\ or
Series 7 General Securities Representative qualification
examination.\6\ Several exchanges, including C2 currently use the
Series 56 examination as a qualification standard.\7\
---------------------------------------------------------------------------

    \4\ WebCRD is a secure registration and licensing system
operated by FINRA and is the central licensing and registration
system for the U.S. securities industry and its regulators. The
system contains the registration records of more than 6,500
registered broker-dealers, and the qualification, employment and
disclosure histories of more than 650,000 active registered
individuals. In addition, Web CRD facilitates the processing and
payment of FINRA registration-related fees such as form filings,
fingerprint submissions, qualification exams and continuing
education sessions.
    \5\ The Series 56 Proprietary Trader Examination is a two hour
and thirty minute exam, consisting of 100 scored multiple-choice
questions. The Series 56 examination is administered by FINRA, but
is not recognized by FINRA as an acceptable qualification
examination for associated persons engaged in securities trading.
Under FINRA rules, associated persons of FINRA members that engage
in over-the-counter securities trading are required to pass the
Series 55 Equity Trader Exam. Nevertheless, as FINRA has recognized,
because the Series 55 and Series 56 are intended to test the core
knowledge required of individuals engaged in trading activities as
well as self-regulatory organization (``SRO'') rules, including
trading rules that are common across all SROs, there is significant
overlap in the content of the Series 55 and Series 56 qualification
examinations. See Securities Exchange Act Release No. 75394 (July 8,
2015), 80 FR 41119 (Notice of Filing of a Proposed Rule Change to
Establish the Securities Trader and Securities Trader Principal
Registration Categories) (SR-FINRA-2015-017).
    \6\ See Interpretation and Policy .08 to Rule 3.6A.
    \7\ See, e.g., BATS Exchange, Inc. (``BATS'') Interpretation and
Policy .01 to Rule 2.5 (Proficiency Examinations); Miami
International Securities Exchange, LLC (``MIAX'') Rule 1302
(Registration of Representatives). See also Interpretation and
Policy .07 to Rule 3.4.
---------------------------------------------------------------------------

    Interpretation and Policy .07 to Rule 3.4 further requires that
individual Permit Holders and associated persons with supervisory
responsibility over proprietary trading activities or who is [sic] an
officer, partner, or director of a Permit Holder or Permit Holder
organization qualify and register as a Proprietary Trader Principal.
Specifically, under paragraph (a)(2) of Interpretation and Policy .07
to Rule 3.4, an individual Permit Holder or associated person who
either: (i) Supervises or monitors proprietary trading, market-making
and/or brokerage activities for broker-dealers; (ii) supervises or
trains those engaged in proprietary trading, market-making and/or
effecting transactions on behalf of a broker-dealer, with respect to
those activities; and/or (iii) is an officer, partner or director of a
Permit Holder is required register and qualify as a Proprietary Trader
Principal (TP) in WebCRD and satisfy prerequisite registration and
qualification requirements, including, but not limited to passing the
Series 24 General Securities Principal Examination or an acceptable
alternative qualification examination.\8\ An individual Permit Holder
or associated person who is a Chief Compliance Officer (or performs
similar functions) for a Permit Holder that engages in proprietary
trading, market-making, or effecting transactions on behalf of a
broker-dealer is also required to register and qualify as a Proprietary
Trader Compliance Officer (CT) in WebCRD and satisfy the prerequisite
registration and qualification requirements, including, but not limited
to passing the Series 14 Compliance Official Examination.\9\
---------------------------------------------------------------------------

    \8\ Under current Interpretation and Policy .07 to Rule 3.4, the
Series 9/10 General Securities Sales Supervisor Examination and
Series 23 General Securities Principal Exam--Sales Supervisor Module
are acceptable alternative qualification examinations to the Series
24 General Securities Principal Examination. Because the Series 23
is not available in WebCRD, however, each applicant that chooses to
take the Series 23 module as an alternative to the Series 24
qualification examination must provide documentation of a valid
Series 23 license to the Registration Services Department upon
request for proof of licensure.
    \9\ Under current Interpretation and Policy .07 to Rule 3.4, the
Series 24 General Securities Principal Examination is considered an
acceptable alternative qualification examination for the Series 14
Compliance Official Examination and registered General Securities
Principals may register as Proprietary Trader Compliance Officers
subject to applicable provisions under the Rules. See Interpretation
and Policy .07(b) to Rule 3.4.
---------------------------------------------------------------------------

    The Exchange proposes to replace the Series 56 qualification
examination with the Series 57 qualification examination for those
registration categories where the Series 56 is currently an acceptable
qualification standard.\10\ Specifically, with respect to the
Proprietary Trader registration categories identified in Interpretation
and Policy .07 to Rule 3.4, the Exchange proposes to replace the
Proprietary Trader (PT) registration category with the Securities
Trader (TD) registration category as well as eliminate the current
Series 56 Proprietary Trader Exam prerequisite and, instead, include a
Series 57 Securities Trader qualification examination in its place.\11\
The Proprietary Trader Principal (PT) and Proprietary Trader Compliance
Officer (CT) registration categories would be replaced with the renamed
registration categories of Securities Trader Principal (PT) and
Securities Trader Compliance Officer respectively (CT).\12\
---------------------------------------------------------------------------

    \10\ See Interpretation and Policy .07 to Rule 3.4.
    \11\ Neither the Exchange's current Rules nor the proposed rule
would require that a Proprietary Trader or Securities Trader work
at, or be associated with, a ``proprietary trading firm.'' Rather,
both the current Rules and the proposed rule would require that
individual Permit Holders and associated persons that engage in
proprietary trading, market-making, or effect transactions on behalf
of a broker-dealer to [sic] qualify and register as a [sic]
Proprietary Trader (or Securities Trader) in WebCRD. Whereas the
current rule allows individual Permit Holders and associated persons
to qualify and register as a [sic] Proprietary Trader by either
passing the Series 56 Proprietary Trader qualification examination
or Series 7 General Securities Representative qualification
examination, the proposed rule would require individual Permit
Holders and associated persons to pass the Series 57 Securities
Trader qualification examination in order to qualify as a [sic]
Securities Trader after the effective date of the proposed rule
change.
    \12\ As is the case under the current Rules, under the proposed
rule, only individuals qualified and registered as a [sic]
Proprietary Trader Principal (TP) (Securities Trader Principal TP))
would be permitted to supervise a Proprietary Trader (PT)
(Securities Trader (TD)).
---------------------------------------------------------------------------

    The Exchange will announce the effective date of the proposed rule
change in a Regulatory Circular. Currently, the Exchange intends for
the effective date to be January 4, 2016. Under the proposed rule,
individual Permit Holders and associated persons who have passed the
Proprietary Trader (Series 56) qualification examination and who have
registered as Proprietary Trader [sic] (PT) in WebCRD on or before the
effective date of the proposed rule change and individual Permit
Holders and associated persons who have passed the General Securities
Representative (Series 7) qualification examination and who have
registered as Proprietary Traders (PT) in WebCRD on or before the
effective date of the proposed rule change would be grandfathered as
Securities Traders (TDs) without having to take any additional
examinations and without having to take any other action, provided that
the individual TPH's or associated person's registration has not been
revoked by the Exchange as a disciplinary sanction and no more than two
years have passed between the date that the individual Permit Holder or
associated person last registered as a Proprietary Trader (PT) and the
effective date. After the effective date, an individual Permit Holder
or associated person would need to pass the new Series 57 Securities
Trader qualification examination and register as a Securities Trader
(TD).
    In addition, individual Permit Holders and associated persons who
have either passed the Proprietary Trader (PT) qualification
examination or the General Securities Representative (Series 7)
qualification examination and who have registered as Proprietary
Traders (PT) in WebCRD on or before the effective date of the proposed
rule change and who have also passed the General Securities Principal
(Series 24) qualification examination (or have completed any of the
alternative acceptable qualifications requirements

as defined in current Interpretation and Policy .07(b) to Rule 3.4) and
who have also registered as Proprietary Trader Principals (TP) in
WebCRD on or before the effective date of the proposed rule change
would be eligible to register as Securities Trader Principals (TPs),
provided that the individual Permit Holders or associated person's
registration has not been revoked by the Exchange as a disciplinary
sanction and no more than two years have passed between the date that
the individual Permit Holder or associated person last registered as a
Proprietary Trader Principal (TP) and the date they [sic] register as a
Securities Trader Principal (TP).\13\ After the effective date, a
Securities Trader Principal (TP) would need to pass the Securities
Trader (Series 57) qualification examination and the General Securities
Principal (Series 24) qualification examination (or have completed any
of the alternative acceptable qualifications as defined in current
Interpretation and Policy .07(b) to Rule 3.4) and be registered as such
in order to register as a Securities Trader Principal (TP).\14\
---------------------------------------------------------------------------

    \13\ See Rule 3.4(e) (Requirement for Examination on Lapse of
Registration).
    \14\ The Exchange also proposes to add text to Interpretation
and Policy .07(b) to Rule 3.4 regarding the supervisory
responsibilities of the Securities Trader Principals, which would
limit Securities Trader Principals' supervisory responsibilities to
supervision of the securities trading functions of Permit Holders as
described in paragraph (a)(2) of Interpretation and Policy .07 to
Rule 3.4, and the activities of officers, partners, and directors of
Permit Holders.
---------------------------------------------------------------------------

2. Statutory Basis
    The Exchange believes the proposed rule change is consistent with
the Act and the rules and regulations thereunder applicable to the
Exchange and, in particular, the requirements of Section 6(b) of the
Act.\15\ Specifically, the Exchange believes the proposed rule change
is consistent with the Section 6(b)(5) \16\ requirements that the rules
of an exchange be designed to prevent fraudulent and manipulative acts
and practices, to promote just and equitable principles of trade, to
foster cooperation and coordination with persons engaged in regulating,
clearing, settling, processing information with respect to, and
facilitating transactions in securities, to remove impediments to and
perfect the mechanism of a free and open market and a national market
system, and, in general, to protect investors and the public interest.
Additionally, the Exchange believes the proposed rule change is
consistent with the Section 6(b)(5) \17\ requirement that the rules of
an exchange not be designed to permit unfair discrimination between
customers, issuers, brokers, or dealers.
---------------------------------------------------------------------------

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

    In particular, the Exchange believes that adoption of the
Securities Trader registration category and Series 57 Securities Trader
qualification examination registration requirement is consistent with
the Act. FINRA has indicated that the Series 57 qualification
examination is being developed in an effort to adopt a more tailored
examination. The Exchange believes that a more tailored qualification
examination for individual Permit Holders and associated persons
engaged in trading activities is a measure designed to help ensure
professionalism among market participants, prevent fraudulent and
manipulative practices, and promote just and equitable principles of
trade. The Exchange also believes that it is in the interests of
investors and the general public to develop a more tailored
qualification examination for proprietary traders and that a more
uniform qualification standard may help ensure fair and orderly
markets. Furthermore, the Exchange believes that it is in the interests
of all market participants to provide consistent qualification and
registration requirements across markets. The Exchange believes that
harmonizing the Exchange's qualification and registration requirements
with those of FINRA and the other national securities exchanges would
further such interests.

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act. The Exchange believes that
the proposed rule change relating to Securities Traders, which is, in
all material respects, based upon and substantially similar to, recent
rule changes adopted by FINRA and which is being filed in conjunction
with similar filings by the other national securities exchanges, will
reduce the regulatory burden placed on market participants engaged in
trading activities across different markets. The Exchange believes that
the harmonization of these registration requirements across the various
markets will reduce burdens on competition by removing impediments to
participation in the national market system and promoting competition
among participants across the multiple national securities exchanges.

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

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

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

    Because the foregoing proposed rule change does not:
    A. Significantly affect the protection of investors or the public
interest;
    B. impose any significant burden on competition; and
    C. 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 \18\ and
Rule 19b-4(f)(6) \19\ thereunder. 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.
---------------------------------------------------------------------------

    \18\ 15 U.S.C. 78s(b)(3)(A).
    \19\ 17 CFR 240.19b-4(f)(6).
---------------------------------------------------------------------------

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-C2-2015-027 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-C2-2015-027. 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-C2-2015-027 and should be submitted on or before
December 8, 2015.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\20\
---------------------------------------------------------------------------

    \20\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Robert W. Errett,
Deputy Secretary.
[FR Doc. 2015-29224 Filed 11-16-15; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register: November 10, 2005 (Volume 70, Number 217)]
[Notices]
[Page 68419]
[DOCID:fr10no05-68]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. RP05-672-001]

East Tennessee Natural Gas, LLC; Notice of Compliance Filing

November 4, 2005.
    Take notice that on November 1, 2005, East Tennessee Natural Gas,
LLC (East Tennessee) tendered for filing as a part of its FERC Gas
Tariff, Third Revised Volume No. 1, the following tariff sheets,
effective November 1, 2005, pursuant to East Tennessee Natural Gas,
LLC, 113 FERC ]61,099 (2005) (October 26 Order):

Third Revised Sheet No. 20
Fifth Revised Sheet No. 21
First Revised Sheet No. 101

    East Tennessee states that this filing is being made to implement
the terms of the September 15, 2005 Settlement Agreement approved by
the Commission in the October 26 Order.
    East Tennessee states that copies of the filing were served on
parties on the official service list in the above-captioned proceeding.
    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 online at http://www.ferc.gov, using the

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

TTY, call<PHONE_NUMBER>.

Magalie R. Salas,
Secretary.
[FR Doc. E5-6226 Filed 11-9-05; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 83, Number 66 (Thursday, April 5, 2018)]
[Notices]
[Pages 14632-14633]
[FR Doc No: 2018-06956]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings #1

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

    Docket Numbers: EC18-78-000.
    Applicants: Florida Power & Light Company.
    Description: Application for Authorization Under Section 203 of the
Federal Power Act and Request for Expedited Action of Florida Power &
Light Company.
    Filed Date: 3/29/18.
    Accession Number: 20180329-5344.
    Comments Due: 5 p.m. ET 4/19/18.

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

    Docket Numbers: EG18-71-000.
    Applicants: I Squared Capital.
    Description: Self-Certification of FC of I Squared Capital.
    Filed Date: 3/30/18.
    Accession Number: 20180330-5027.
    Comments Due: 5 p.m. ET 4/20/18.

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

    Docket Numbers: ER10-2739-020; ER14-1219-007; ER16-1732-006; ER17-
993-005; ER18-95-002; ER10-2729-007; ER17-989-005; ER10-1854-012; ER17-
990-005; ER17-1946-005; ER17-991-005; ER16-1652-008; ER11-3320-012;
ER10-2744-013; ER16-2406-006; ER16-2405-006; ER13-2316-010; ER17-992-
005; ER10-2678-013; ER10-1631-012; ER14-19-011.
    Applicants: LS Power Marketing, LLC, Armstrong Power, LLC, Aurora
Generation, LLC, Bath County Energy, LLC, Buchanan Energy Services
Company, LLC, Buchanan Generation, LLC, Chambersburg Energy, LLC,
Doswell Limited Partnership, Gans Energy, LLC, Helix Ironwood, LLC,
Hunlock Energy, LLC, LifeEnergy LLC, LSP University Park, LLC,
Riverside Generating Company, L.L.C., Rockford Power, LLC, Rockford
Power II, LLC, Seneca Generation, LLC, Springdale Energy, LLC, Troy
Energy, LLC, University Park Energy, LLC, West Deptford Energy, LLC.
    Description: Notification of Change in Status of the LS PJM MBR
Sellers.
    Filed Date: 03/29/2018.
    Accession Number: 20180329-5347.
    Comment Date: 5:00 p.m. ET 4/19/18.

    Docket Numbers: ER18-1234-000.
    Applicants: Southwestern Electric Power Company.
    Description: Sec.  205(d) Rate Filing: Hope PSA to be effective 5/
31/2018.
    Filed Date: 3/29/18.
    Accession Number: 20180329-5287.
    Comments Due: 5 p.m. ET 4/19/18.

    .Docket Numbers: ER18-1235-000.
    Applicants: New England Power Pool Participants Committee.
    Description: Sec.  205(d) Rate Filing: Apr 2018 Membership Filing
to be effective 3/1/2018.
    Filed Date: 3/29/18.
    Accession Number: 20180329-5301.
    Comments Due: 5 p.m. ET 4/19/18.

    Docket Numbers: ER18-1236-000.
    Applicants: Westar Energy, Inc.
    Description: Sec.  205(d) Rate Filing: Request to Recover Costs in
Formula Rates, GFR, Attachment D to be effective 6/1/2018.
    Filed Date: 3/30/18.
    Accession Number: 20180330-5000.
    Comments Due: 5 p.m. ET 4/20/18.

    Docket Numbers: ER18-1237-000.
    Applicants: Cleco Power LLC.
    Description: Sec.  205(d) Rate Filing: Monthly System Support
Resource Payment for Teche Unit No. 3, 2nd Agreement to be effective 4/
1/2018.
    Filed Date: 3/30/18.
    Accession Number: 20180330-5001.
    Comments Due: 5 p.m. ET 4/20/18.

    Docket Numbers: ER18-1238-000.
    Applicants: Northern States Power Company, a Minnesota corporation.
    Description: Notice of Cancellation of Northern States Power
Company, a Minnesota corporation of Rate Schedule No. 497.
    Filed Date: 3/29/18.
    Accession Number: 20180329-5342.
    Comments Due: 5 p.m. ET 4/19/18.

    Docket Numbers: ER18-1239-000.
    Applicants: Northern States Power Company, a Minnesota corporation.
    Description: Notice of Cancellation of Northern States Power
Company, a Minnesota corporation of Rate Schedule Nos. 342, 417 and
522.
    Filed Date: 3/29/18.
    Accession Number: 20180329-5343.
    Comments Due: 5 p.m. ET 4/19/18.

    Docket Numbers: ER18-1240-000.
    Applicants: Public Service Company of New Mexico.
    Description: Sec.  205(d) Rate Filing: Annual Real Power Loss
Factor Filing for 2018 to be effective 6/1/2018.
    Filed Date: 3/30/18.
    Accession Number: 20180330-5006.
    Comments Due: 5 p.m. ET 4/20/18.

    Docket Numbers: ER18-1241-000.
    Applicants: Midcontinent Independent System Operator, Inc.,
MidAmerican Energy Company.
    Description: Sec.  205(d) Rate Filing: 2018-03-30_SA 2477 Corn
Belt--MidAmerican GFA 477 3rd Rev ETIA to be effective 3/23/2018.
    Filed Date: 3/30/18.
    Accession Number: 20180330-5042.
    Comments Due: 5 p.m. ET 4/20/18.

    Docket Numbers: ER18-1242-000.
    Applicants: Northern Indiana Public Service Company.
    Description: Sec.  205(d) Rate Filing: Northern Indiana Public
Service Company LLC Reactive Power Rate Filing to be effective 6/1/
2018.

    Filed Date: 3/30/18.
    Accession Number: 20180330-5081.
    Comments Due: 5 p.m. ET 4/20/18.

    Docket Numbers: ER18-1243-000.
    Applicants: PacifiCorp.
    Description: Sec.  205(d) Rate Filing: OATT Revised Attachment H-1
(Rev Depreciation Rates 2018) to be effective 6/1/2018.
    Filed Date: 3/30/18.
    Accession Number: 20180330-5118.
    Comments Due: 5 p.m. ET 4/20/18.

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

    Dated: March 30, 2018.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2018-06956 Filed 4-4-18; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register: August 9, 2010 (Volume 75, Number 152)]
[Notices]
[Page 47875-47877]
[DOCID:fr09au10-92]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-62615; File No. SR-BX-2010-052]

Self-Regulatory Organizations; NASDAQ OMX BX, Inc.; Notice of
Filing and Immediate Effectiveness of a Proposed Rule Change To Add 75
Classes to the Penny Pilot Program

July 30, 2010.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'') \1\, and Rule 19b-4 \2\ thereunder, notice is hereby given
that on July 21, 2010, NASDAQ OMX BX, Inc. (the ``Exchange'') filed
with the Securities and Exchange Commission (``Commission'') the
proposed rule change as described in Items I, II and III below, which
Items have been prepared by the self-regulatory organization. The
Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
---------------------------------------------------------------------------

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

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

    NASDAQ OMX BX, Inc. (the ``Exchange'') proposes to designate 75
options classes to be added to the Penny Pilot Program, as referenced
in Chapter V, Section 33 of the Rules of the Boston Options Exchange
Group, LLC (``BOX''). The Exchange intends to notify BOX Options
Participants of the classes to be added to the Penny Pilot Program via
Regulatory Circular.

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
    On October 19, 2009 the Exchange submitted a proposed rule change
\3\ with the Securities and Exchange Commission (``Commission'') to,
among other things, expand the number of classes included in the Penny
Pilot Program over four successive quarters, with 75 classes added in
each of November 2009, February 2010, May 2010, and August 2010.\4\
Options classes with high premiums will be excluded for the quarterly
additions.\5\
---------------------------------------------------------------------------

    \3\ See Securities and Exchange Act Release No. 60886 (Oct. 27,
2009), 74 FR 56897 (Nov. 3, 2009) (SR-BX-2009-067). This proposal
was effective immediately upon filing.
    \4\ The quarterly additions will be effective on November 2,
2009, February 1, 2010, May 3, 2010 and August 2, 2010,
respectively. For purposes of identifying the classes to be added
per quarter, the Exchange shall use data from the prior six calendar
months preceding the implementation month, except that the month
immediately preceding their addition to the Pilot would not be
utilized for purposes of the six month analysis. For example, the
quarterly additions to be added on May 3, 2010 shall be determined
using data from the six month period ending March 31, 2010. The
Exchange has filed three (3) previous proposals similar to the
present proposal, for the November 2, 2009, February 1, 2010 and May
3, 2010 expansions of 75 classes, respectively. See Securities and
Exchange Act Release No. 60950 (Nov. 6, 2009), 74 FR 58666 (Nov. 6,
2009) [sic] (SR-BX-2009-069); Securities and Exchange Act Release
No. 61456 (Feb. 1, 2010), 75 FR 6235 (Feb. 8, 2010) (SR-BX-2010-
011); and 62039 (May 5, 2010), 75 FR 26313 (May 11, 2010) (SR-BX-
2010-032). These proposals were effective immediately upon filing.
    \5\ The threshold for designation as ``high priced'' at the time
of selection of new classes to be included in the Penny Pilot
Program is $200 per share or a calculated index value of 200. The
determination of whether a security is trading above $200 or above a
calculated index value of 200 shall be based on the price at the
close of trading on the Expiration Friday prior to being added to
the Penny Pilot Program.

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    Based on trading activity for the six months ending June 30, 2010,
the Exchange proposes to add the following 75 classes to the Penny
Pilot Program on August 2, 2010:

------------------------------------------------------------------------
    Symbol          Company Name          Symbol         Company Name
------------------------------------------------------------------------
MBI...........  MBIA Inc.             KMP...........  Kinder Morgan
                                                       Energy Partners
                                                       LP
MA............  Mastercard Inc.       MRO...........  Marathon Oil Corp.
ATPG..........  ATP Oil & Gas Corp/   AGO...........  Assured Guaranty
                 United States                         Ltd.
YUM...........  Yum! Brands Inc.      GIS...........  General Mills Inc.
RCL...........  Royal Caribbean       ANR...........  Alpha Natural
                 Cruises Ltd.                          Resources Inc.
BPOP..........  Popular Inc.          GENZ..........  Genzyme Corp.
EK............  Eastman Kodak Co.     CB............  Chubb Corp.
CNX...........  Consol Energy Inc.    ADM...........  Archer-Daniels-
                                                       Midland Co.
DCTH*.........  Delcath Systems Inc.  HSY...........  Hershey Co./The
MTG...........  MGIC Investment       TXT...........  Textron Inc.
                 Corp.
PXP...........  Plains Exploration &  GGP*..........  General Growth
                 Production Co.                        Properties Inc.
GPS...........  Gap Inc./The          NOV...........  National Oilwell
                                                       Varco Inc.
TSL...........  Trina Solar Ltd.      TWX...........  Time Warner Inc.
EWW...........  iShares MSCI Mexico   XOP...........  SPDR S&P Oil & Gas
                 Investable Market                     Exploration &
                 Index Fund                            Production ETF
CRM...........  Salesforce.com Inc.   MYL...........  Mylan Inc./PA
SWN...........  Southwestern Energy   TSO...........  Tesoro Corp.
                 Co.
HBAN..........  Huntington            CI............  CIGNA Corp.
                 Bancshares Inc./OH
EOG...........  EOG Resources Inc.    ESI...........  ITT Educational
                                                       Services Inc.
APA...........  Apache Corp.          NKE...........  NIKE Inc.
VVUS..........  Vivus Inc.            FIS*..........  Fidelity National
                                                       Information
                                                       Services Inc.
JDSU..........  JDS Uniphase Corp.    SUN...........  Sunoco Inc.
ACI...........  Arch Coal Inc.        BBBY..........  Bed Bath & Beyond
                                                       Inc.
NE............  Noble Corp.           APWR..........  A-Power Energy
                                                       Generation
                                                       Systems Ltd.
BAX...........  Baxter International  FWLT..........  Foster Wheeler AG
                 Inc.
ADSK..........  Autodesk Inc.         LNC...........  Lincoln National
                                                       Corp.
KRE...........  SPDR KBW Regional     RSH...........  RadioShack Corp.
                 Banking ETF
XL............  XL Group Plc.         TYC...........  Tyco International
                                                       Ltd.
WLT...........  Walter Energy Inc.    CL............  Colgate-Palmolive
                                                       Co.
IBN...........  ICICI Bank Ltd.       FXP...........  ProShares
                                                       UltraShort FTSE/
                                                       Xinhua China 25
EWY...........  iShares MSCI South    NTAP..........  NetApp Inc.
                 Korea Index Fund
WHR...........  Whirlpool Corp.       SO............  Southern Co.
BHI...........  Baker Huges Inc.      PHM...........  Pulte Group Inc.
HOT...........  Starwood Hotels &     ACAS..........  American Capital
                 Resorts                               Ltd.
QLD...........  ProShares Ultra QQQ   XLNX..........  Xilinx Inc.
VRSN..........  VeriSighn Inc.        DO............  Diamond Offshore
                                                       Drilling Inc.
PCL...........  Plum Creek Timber     CMA...........  Comerica Inc.
                 Co. Inc.
NBR...........  Nabors Industries     KEY...........  KeyCorp
                 Ltd.
ESRX..........  Express Scripts Inc.  ..............  ..................
------------------------------------------------------------------------
* Please note that the class is presently not listed for trading on BOX.
  If the class is listed for trading on BOX at a later date it will be
  subject to the applicable minimum trading increments as set forth in
  Chapter V, Section 6(b) of the BOX Rules.

2. Statutory Basis
    The Exchange believes that the proposal is consistent with the
requirements of Section 6(b) of the Act,\6\ in general, and Section
6(b)(5) of the Act,\7\ in particular, in that it is designed to foster
cooperation and coordination with persons engaged in regulating,
clearing, settling, processing information with respect to, and
facilitating transactions in securities, to remove impediments to and
perfect the mechanism for a free and open market and a national market
system and, in general, to protect investors and the public interest,
by identifying the options classes added to the Penny Pilot Program in
a manner consistent with prior rule changes.
---------------------------------------------------------------------------

    \6\ 15 U.S.C. 78f(b).
    \7\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

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.

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 proposed rule change is filed for immediate effectiveness
pursuant to Section 19(6)(3)(A) \8\ of the Act and Rule 19b-4(f)(1) \9\
thereunder, as it constitutes a stated policy, practice, or
interpretation with respect to the meaning, administration, or
enforcement of an existing rule. At any time within 60 days of the
filing of the proposed rule change, the Commission summarily may
abrogate such rule change if it appears to the Commission that such
action is necessary or appropriate in the public interest, for the
protection of investors, or otherwise in furtherance of the purposes of
the Act.
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    \8\ 15 U.S.C. 78s(b)(3)(A).
    \9\ 17 CFR 240.196-4(f)(1).

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

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://
www.sec.gov/rules/sro.shtml); or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File Number SR-BX-2010-052 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-BX-2010-052. This file
number should be included on the subject line if e-mail is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/
sro.shtml). Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for 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
a.m. and 3 p.m. Copies of such 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 No. SR-BX-2010-052 and should be
submitted on or before August 30, 2010.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\10\
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    \10\ 17 CFR 200.30-3(a)(12).
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Florence E. Harmon,
Deputy Secretary.
[FR Doc. 2010-19519 Filed 8-6-10; 8:45 am]
BILLING CODE 8010-01-P