[Federal Register Volume 86, Number 237 (Tuesday, December 14, 2021)]
[Notices]
[Pages 71062-71063]
[FR Doc No: 2021-26986]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OA-2021-0683; FRL-9353-01-OA]

White House Environmental Justice Advisory Council; Notification
of Virtual Public Meeting

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notification for a public meeting.

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SUMMARY: Pursuant to the Federal Advisory Committee Act (FACA), the
U.S. Environmental Protection Agency (EPA) hereby provides notice that
the White House Environmental Justice Advisory Council (WHEJAC) will
meet on the dates and times described below. EPA is announcing a two
(2) day meeting on January 26 and 27, 2022. The meeting is open to the
public. Members of the public are encouraged to provide comments
relevant to the specific issues being considered by the WHEJAC. For
additional information about registering to attend the meetings or to
provide public comment, please see ``REGISTRATION'' under SUPPLEMENTARY
INFORMATION. Pre-registration is required.

DATES: The WHEJAC will hold a virtual public meeting on Wednesday,
January 26, 2022, and Thursday, January 27, 2022, from approximately
3:00 p.m.-7:30 p.m., Eastern Time each day. A public comment period
relevant to the specific issues will be considered by the WHEJAC on
Wednesday, January 26, 2022. (see SUPPLEMENTARY INFORMATION). Members
of the public who wish to participate during the public comment period
must pre-register by 11:59 p.m., Eastern Time, one (1) week prior to
the meeting date.

FOR FURTHER INFORMATION CONTACT: Karen L. Martin, WHEJAC Designated
Federal Officer, U.S. EPA; email: [email protected]; telephone: (202) 564-
0203. Additional information about the WHEJAC is available at https://www.epa.gov/environmentaljustice/white-house-environmental-justice-advisory-council.

SUPPLEMENTARY INFORMATION: The meeting discussion will focus on several
topics including, but not limited to the discussion and deliberation of
draft recommendations to the Chair of the Council on Environmental
Quality and the White House Interagency Council on Environmental
Justice from the Justice40 Work Group, Climate and Economic Justice
Screening Tool Work Group, and the Scorecard Work Group.
    The Charter of the WHEJAC states that the advisory committee will
provide independent advice and recommendations to the Chair of the
Council on Environmental Quality (CEQ) and to the White House
Interagency Council on Environmental Justice (IAC). The WHEJAC will
provide advice and recommendations about broad cross-cutting issues,
related but not limited to, issues of environmental justice and
pollution reduction, energy, climate change mitigation and resiliency,
environmental health, and racial inequity. The WHEJAC's efforts will
include a broad range of strategic, scientific, technological,
regulatory,

community engagement, and economic issues related to environmental
justice.
    Registration: Individual registration is required for the virtual
public meeting. Information on how to register is located at https://www.epa.gov/environmentaljustice/white-house-environmental-justice-advisory-council. Registration for the meeting is available through the
scheduled end time of the meeting. Registration to speak during the
public comment period will close 11:59 p.m., Eastern Time, one (1) week
prior to meeting date. When registering, please provide your name,
organization, city and state, and email address for follow up. Please
also indicate whether you would like to provide public comment during
the meeting, and whether you are submitting written comments at the
time of registration.

A. Public Comment

    Every effort will be made to hear from as many registered public
commenters during the time specified on the agenda. Individuals or
groups making remarks during the public comment period will be limited
to three (3) minutes. Submitting written comments for the record are
strongly encouraged. You can submit your written comments in three
different ways, (1.) by creating comments in the Docket ID No. EPA-HQ-
OA-2021-0683 at http://www.regulations.gov, (2.) by using the webform
at https://www.epa.gov/environmentaljustice/white-house-environmental-justice-advisory-council#whejacmeeting, and (3.) by sending comments
via email to [email protected]. Written comments can be submitted up until
two (2) weeks after the meeting date.

B. Information About Services for Individuals With Disabilities or
Requiring English Language Translation Assistance

    For information about access or services for individuals requiring
assistance, please contact Karen L. Martin, via email at [email protected]
or contact by phone at<PHONE_NUMBER>. To request special
accommodations for a disability or other assistance, please submit your
request at least seven (7) working days prior to the meeting, to give
EPA sufficient time to process your request. All requests should be
sent to the email listed in the FOR FURTHER INFORMATION CONTACT
section.

Matthew Tejada,
Director for the Office of Environmental Justice.
[FR Doc. 2021-26986 Filed 12-13-21; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register Volume 79, Number 89 (Thursday, May 8, 2014)]
[Notices]
[Pages 26482-26485]
[FR Doc No: 2014-10539]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-72085; File No. SR-NYSEArca-2014-53]

Self-Regulatory Organizations; NYSE Arca Inc.; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.91
To Adopt Rules Governing an Opening Auction Process for Electronic
Complex Orders and To Amend and Reorganize Existing Rules Specifying
Available Electronic Complex Order Types and Modifiers

May 2, 2014.
    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 April 28, 2014, NYSE Arca, Inc. (the ``Exchange'' or
``NYSE Arca'') filed with the Securities and Exchange Commission (the
``Commission'') the proposed rule change as described in Items I and II
below, which Items have been prepared by the self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of the
Substance of the Proposed Rule Change

    The Exchange proposes to amend Rule 6.91 to adopt rules governing
an opening auction process for Electronic Complex Orders and to amend
and reorganize existing rules specifying available Electronic Complex
Order types and modifiers. The text of 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
Statutory Basis for, the Proposed Rule Change

1. Purpose
    The Exchange proposes to amend Rule 6.91 (Electronic Complex Order
Trading) to adopt rules governing an opening auction process for
Electronic Complex Orders and to amend and reorganize existing rules
specifying order types and modifiers applicable to Electronic Complex
Orders.
Opening Auction Process for Electronic Complex Orders
    The Exchange is proposing to amend Rule 6.91(a)(2) by establishing
subsection (i) to describe how orders would be handled by the Complex
Matching Engine (``CME'') during a new opening auction process for
Electronic Complex Orders that would allow the Exchange to offer
eligible trading interest at single-price opening. Currently, there is
no single-price opening. Rather, the CME begins processing each
Electronic Complex Order in the Consolidated Book based on price/time
priority after all of the individual component option series that make
up a complex order strategy have opened. By adopting the proposed
opening auction process for the CME, the Exchange is seeking to
maximize both price discovery and execution opportunities for
participants utilizing Electronic Complex Orders. The Chicago Board
Options Exchange (``CBOE'') recently adopted similar rules to describe
how their Complex Order Book (``COB'') functions at the opening of
trading.\4\ The Exchange notes that the proposed changes to Rule
6.91(a) regarding the new opening auction process for Electronic
Complex Orders are substantially similar in all material respects to
those of the CBOE.\5\
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    \4\ See Securities Exchange Act Release No. 68844 (February 6,
2013), 78 FR 9953 (February 12, 2013) (SR-CBOE-2013-007).
    \5\ See CBOE Rule 6.53C.11(b), which provision was one of
several discussed in CBOE's recent filing (see id.). The Exchange
notes, however, that this filing differs from the CBOE's recent
filing (see id.) in that it provides specificity about the market
clearing price and cross-references existing Exchange rules
regarding auction pricing (see infra n. 6).
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    Pursuant to proposed Rule 6.91(a)(2)(i)(A), Electronic Complex
Orders would not participate in opening auctions for individual
component option series legs conducted pursuant to Rule 6.64. The
Exchange further proposes to provide that the CME would not begin
processing Electronic Complex Orders until all of the individual
component option series legs that make up a complex order strategy have
opened. The intent of this paragraph is to make clear to market
participants that an Electronic Complex Order is not eligible to trade
until such time that all option series associated with that order have
opened for trading. The CME will not execute any transactions in
Electronic Complex Orders involving un-opened option series.
    Pursuant to proposed Rule 6.91(a)(2)(i)(B), the CME would use an
opening auction process if there are Electronic Complex Orders on both
sides of the Consolidated Book that are marketable against each other
and that are priced within the derived Complex National Best Bid and
Offer (``Complex NBBO'').\6\ The resulting execution would occur at a
market clearing price that is inside the derived Complex NBBO and that
matches Electronic Complex Orders with each other to the extent
marketable.\7\ In determining priority, the CME would give priority to
Electronic Complex Orders whose net price is better than the market
clearing price first, and then to Electronic Complex Orders at the
market clearing price.\8\
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    \6\ The derived Complex NBBO will be derived by using the best
prices for the individual leg markets comprising the Electronic
Complex Order as disseminated by OPRA, that when aggregated create a
derived NBBO for that same strategy.
    \7\ The ``market clearing price'' for Electronic Complex Orders
is similar to the ``opening price'' for an individual series as
described in Rule 6.64(c). Specifically, the market clearing price
for an Electronic Complex Order will be the price, as determined by
the System, at which the most volume can be traded at or nearest to
the midpoint of the initial uncrossed derived Complex NBBO. Midpoint
pricing will not occur if such price would result in the violation
of the limit price of the Electronic Complex Order(s) involved.
Instead, the market clearing price would be the limit price of the
order(s) at which the most volume can be traded. Because listed
options may not be priced in sub-penny increments and the OCC will
not clear options at sub-penny prices, if the calculated midpoint
price results in a sub-penny price, the market clearing price will
be rounded down to the nearest even penny (i.e., a calculated
midpoint price of $1.005 will round to $1.00). The Exchange notes
that CBOE, which is also subject to the same restrictions on sub-
penny pricing of listed options, did not disclose in their filing
(see supra n. 3) whether it would round the market clearing price
(up or down) to the nearest whole cent if mid-point pricing resulted
in a sub-penny market clearing price.
    \8\ The Exchange notes that Electronic Complex Orders residing
in the Consolidated Book at the opening of trading that are not
marketable against other Electronic Complex Orders do not
participate in the auction process. As is the case today, these
orders will automatically execute against individual orders or
quotes residing in the Consolidated Book after the CME opens,
provided the Electronic Complex Order can be executed in full (or in
a permissible ratio) by the orders or quotes in the Consolidated
Book. See current Rule 6.91(a)(2)(ii), which the Exchange is
proposing to renumber as Rule 6.91(a)(ii)(B). The Exchange notes
that this functionality is similar to CBOE Rule 6.53C.11(a), which
the CBOE discussed in its recent filing. See supra n. 3.
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Example 1
    This example will show how the CME would conduct an opening auction
where the market clearing price is at the midpoint of the derived
Complex NBBO.
    Assume the derived Complex NBBO for a given complex order strategy
is $1.10-$1.20 (midpoint = 1.15). Assume there are four Electronic
Complex Orders in the Consolidated Book for the same strategy; two buy
orders and two sell orders, each order represents 100 units of the same
strategy. The first sell order is priced at $1.11 and the second sell
order is priced at $1.13. The first buy order can pay 1.19 and the
second buy order can pay $1.17. When the CME opens, (at a market
clearing price nearest the mid-point where the most volume can trade)
the $1.11 sell order for 100 units will execute against the $1.19 buy
order for 100 units and the $1.13 sell order for 100 units will execute
against the $1.17 buy order for 100 units (orders are ranked and
executed based on price priority). This would result in all volume
trading at a single market clearing price of $1.15, which in this
example is the exact mid-point price of the derived Complex NBBO.
Example 2
    This example will show how the CME would conduct an opening auction
where the market clearing price is not equal to the midpoint of the
derived Complex NBBO.
    Assume the derived Complex NBBO for a given complex order strategy
is $1.10-$1.20 (midpoint = 1.15). Assume there are three Electronic
Complex Orders in the Consolidated Book all for the same strategy. The
first order is a sell order priced at $1.19 for 20 units,

the second order is a sell order priced at $1.18 for 10 units, and the
third order is a buy order paying $1.19 for 50 units. When the CME
opens, 30 units of the buy order would trade against the two sell
orders, with the $1.18 sell order for 10 units having first priority
followed by the $1.19 sell order for 20 units (orders are ranked and
executed based on price priority). Because the market clearing price in
this example could not equal the midpoint ($1.15), as that price would
violate the limit price of both sell orders, the market clearing price
would be $1.19, as that is the price at which the most volume could
trade. This would result in the CME conducting the auction at the
market clearing price of $1.19. In this example, the remaining 20 units
of the buy order would be subject to processing under Rule 6.91 (e.g.,
remain in the Consolidated Book if not marketable against the
individual orders and quotes in the Consolidated Book or other
Electronic Complex Orders in the Consolidated Book, or execute if
marketable subject to applicable priority and price-check parameters).
    The opening auction process of the CME as described in proposed
Rule 6.91(a)(2)(i)(B) is consistent with the opening auction process
for Electronic Complex Orders at the CBOE.\9\
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    \9\ See supra nn. 3, 4.
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    The Exchange is also proposing to adopt Rule 6.91(a)(2)(i)(C) to
explain how Electronic Complex Orders that are not executed during the
opening auction process are eligible to trade during Core Trading
against the individual quotes and orders residing in the Consolidated
Book of the series that comprise the complex order strategy. The
processing of Electronic Complex Orders during Core Trading is done in
accordance with Rules 6.91(a)(2)(i)-(iii), which the Exchange is
proposing to renumber as Rules 6.91(a)(2)(ii)(A)-(C).
    Consistent with the foregoing changes, the Exchange also proposes
to re-number the remaining subsections of Rule 6.91(a)(i)-(iv) under a
new section heading, ``Execution of Complex Orders During Core
Trading,'' with no changes to the substance of the rule text.
Order Types and Contingencies Applicable to Electronic Complex Orders
    The Exchange also proposes to amend and reorganize Rule 6.91(b),
which explains the order types, contingencies and modifiers currently
applicable to Electronic Complex Orders, as follows:
     The CME presently accepts only Limit Orders and Limit
Orders designated as PNP Plus. The Exchange proposes to amend Rule
6.91(b) to codify this functionality. As proposed, Rule 6.91(b)(1)
would state that Limit Orders \10\ and Limit Orders designated as PNP
Plus \11\ are valid types of Electronic Complex Orders. Complex Limit
Orders and Complex Limit Orders designated as PNP Plus are processed in
the same manner as similarly marked single leg orders.
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    \10\ See NYSE Arca Rule 6.62(b).
    \11\ See NYSE Arca Rule 6.62(y).
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     Rule 6.91(b) provides that Electronic Complex Orders may
be designated as Fill-or-Kill (``FOK'') \12\ and All-or-None
(``AON'').\13\ The Exchange proposes to reorganize these contingencies
under proposed Rule 6.91(b)(2). Electronic Complex Orders with a FOK or
AON contingency are processed in the same manner as similarly marked
single-leg orders.
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    \12\ See NYSE Arca Rule 6.62(l).
    \13\ See NYSE Arca Rule 6.62(d)(4).
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     Rule 6.91(b) provides that Electronic Complex Orders may
be entered with a time-in-force of IOC,\14\ Day,\15\ or Good-til-Cancel
(``GTC'').\16\ The Exchange proposes to reorganize these under proposed
Rule 6.91(b)(3). Electronic Complex Orders with a time-in-force of IOC,
Day or GTC are processed in the same manner as a similarly marked
single leg orders.
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    \14\ See NYSE Arca Rule 6.62(k).
    \15\ See NYSE Arca Rule 6.62(m).
    \16\ See NYSE Arca Rule 6.62(n).
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Implementation
    The Exchange will implement the proposed rule changes described
above upon the implementation of technology updates applicable to the
CME. The Exchange will announce the implementation date of the proposed
rule change by Trader Update.
2. Statutory Basis
    The proposed rule change is consistent with Section 6(b) of the Act
\17\ in general and furthers the objectives of Section 6(b)(5) of the
Act \18\ in particular in that it should promote just and equitable
principles of trade, serve to remove impediments to and perfect the
mechanism of a free and open market and a national market system, and
protect investors and the public interest.
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    \17\ 15 U.S.C. 78f(b).
    \18\ 15 U.S.C. 78f(b)(5).
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    Specifically, the Exchange believes the proposed rule governing the
opening auction process via the CME for Electronic Complex Orders
increases opportunities for all types of market participants (e.g.,
public customers, broker-dealers and market-makers) to participate in
trading with Electronic Complex Orders. This participation may promote
liquidity and result in better prices for customers throughout the
trading day, including when the CME opens, which, in turn, protects
investors and advances public interest.
    In addition, the Exchange believes that codifying the available
types of orders eligible to be entered as Electronic Complex Orders and
reorganizing the variations of Electronic Complex Order types (e.g.,
expanded contingencies and modifiers) available to market participants
and listing those in a clear and precise structure will remove
impediments to and perfect the mechanism of a free and open market.

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. As noted above, the Exchange
believes that expanding the variations of order types via contingencies
and modifiers will encourage more Electronic Complex Orders to the
Exchange, which is pro-competitive. Further the planned enhancement to
provide a single price open, if possible, within the CME increases
opportunities for all types of market participants (e.g., public
customers, broker-dealers and market-makers) to participate in the
trading of complex orders. This participation may promote liquidity and
result in better prices for customers throughout the trading day,
including when the CME opens. The Exchange does not believe that the
changes proposed by this filing imposes any burden on other Exchanges
as the most substantive change proposed, that being the complex order
opening auction, is similar to functionality that is already available
on at least one competing options Exchange.\19\ The Exchange has found
that when multiple Exchanges introduce similar functionality, other
Exchanges move to enhance their own systems and product offerings,
which are generally beneficial to all investors.
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    \19\ See supra nn. 3,4.
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C. Self-Regulatory Organization's Statement on Comments on the Proposed
Rule Change Received From Members, Participants, or Others

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

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

    The Exchange has filed the proposed rule change pursuant to Section

19(b)(3)(A)(iii) of the Act \20\ and Rule 19b-4(f)(6) thereunder.\21\
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 prior to
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 and Rule 19b-
4(f)(6)(iii) thereunder.\22\
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    \20\ 15 U.S.C. 78s(b)(3)(A)(iii).
    \21\ 17 CFR 240.19b-4(f)(6).
    \22\ 17 CFR 240.19b-4(f)(6)(iii). As required under Rule 19b-
4(f)(6)(iii), the Exchange provided the Commission with written
notice of its intent to file the proposed rule change, along with a
brief description and the 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.
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    At any time within 60 days of the filing of such 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 under
Section 19(b)(2)(B) \23\ of the Act to determine whether the proposed
rule change should be approved or disapproved.
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    \23\ 15 U.S.C. 78s(b)(2)(B).
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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-NYSEArca-2014-53 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-NYSEArca-2014-53. 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 at 100 F Street NE.,
Washington, DC 20549-1090 on official business days between the hours
of 10:00 a.m. and 3:00 p.m. Copies of such filing also will be
available for inspection and copying at the principal office of 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-
NYSEArca-2014-53, and should be submitted on or before May 29, 2014

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\24\
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    \24\ 17 CFR 200.30-3(a)(12).
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Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-10539 Filed 5-7-14; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 85, Number 125 (Monday, June 29, 2020)]
[Notices]
[Pages 39013-39016]
[FR Doc No: 2020-13878]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-89136; File No. SR-MIAX-2020-17]

Self-Regulatory Organizations; Miami International Securities
Exchange, LLC; Notice of Filing and Order Granting Accelerated Approval
of a Proposed Rule Change To Add the Consolidated Audit Trail Industry
Member Compliance Rules to Exchange Rule 1014, Imposition of Fines for
Minor Rule Violations

June 23, 2020
    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 June 18, 2020, Miami International Securities Exchange, LLC
(``MIAX Options'' or the ``Exchange'') filed with the Securities and
Exchange Commission (the ``Commission'') the proposed rule change as
described in Items I and II below, which Items have been prepared by
the self-regulatory organization. The Commission is publishing this
notice to solicit comments on the proposed rule change from interested
persons and approving the proposal on an accelerated basis.
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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 is filing a proposal to add the Consolidated Audit
Trail (``CAT'') industry member compliance rules to the list of minor
rule violations in Rule 1014.
    The text of the proposed rule change is available on the Exchange's
website at http://www.miaxoptions.com/rule-filings/ at MIAX Options'
principal office, 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 add its CAT industry member compliance
rules (the ``CAT Compliance Rules'') to the list of minor rule
violations in Rule 1014. This proposal is based upon the Financial
Industry Regulatory Authority, Inc. (``FINRA'') filing to amend FINRA
Rule 9217 in order to add FINRA's corresponding CAT Compliance Rules to
FINRA's list of rules that are eligible for minor rule violation plan
treatment.\3\ This proposal is also based upon the New York Stock
Exchange, Inc. (``NYSE'') filing to amend NYSE Rule 9217 in order to
add NYSE's corresponding CAT Compliance Rules to NYSE's list of rules
that are eligible for minor rule violation plan treatment.\4\
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    \3\ See Securities Exchange Act Release Nos. 88870 (May 14,
2020), 85 FR 30768 (May 20, 2020) (SR-FINRA-2020-013).
    \4\ See SR-NYSE-2020-51.
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Proposed Rule Change
    The Exchange recently adopted the CAT Compliance Rules under
Chapter XVII in order to implement the National Market System Plan
Governing the Consolidated Audit Trail (the ``CAT NMS Plan'' or
``Plan'').\5\ The CAT NMS Plan was filed by the Plan Participants to
comply with Rule 613 of Regulation NMS under the Exchange Act,\6\ and
each Plan Participant accordingly has adopted the same compliance rules
in the Exchange's Chapter XVII. The common compliance rules adopted by
each Plan Participant are designed to require industry members to
comply with the provisions of the CAT NMS Plan, which broadly calls for
industry members to record and report timely and accurately customer,
order, and trade information relating to activity in NMS Securities and
OTC Equity Securities.
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    \5\ See Securities Exchange Act Release No. 80256 (March
152017), 82 FR 14526 (March 21, 2017) (SR-MIAX-2017-03).
    \6\ 17 CFR 242.613.
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    Rule 1014 sets forth the list of rules under which a member may be
subject to a fine. Rule 1014 permits the Exchange to impose a fine of
up to $5,000 on any member or a person associated with or employed by a
member for a minor violation of an eligible rule. The Exchange proposes
to amend Rule 1014 to add the CAT Compliance Rules under Chapter XVII
to the list of rules eligible for

disposition pursuant to a minor fine under Rule 1014.\7\
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    \7\ FINRA's maximum fine for minor rule violations under FINRA
Rule 9216(b) is $2,500. The Exchange will apply an identical maximum
fine amount for eligible violations of Chapter XVII to achieve
consistency with FINRA and also to amend its minor rule violation
plan (``MRVP'') to include such fines. Like FINRA, the Exchange
would be able to pursue a fine greater than $2,500 for violations of
Chapter XVII in a regular disciplinary proceeding or Letter of
Consent under Rule 1003 as appropriate. Any fine imposed in excess
of $2,500 or not otherwise covered by Rule 19d-1(c)(2) of the Act
would be subject to prompt notice to the Commission pursuant to Rule
19d-1 under the Act. As noted below, in assessing the
appropriateness of a minor rule fine with respect to CAT Compliance
Rules, the Exchange will be guided by the same factors that FINRA
utilizes. See text accompanying notes 9-10, infra.
---------------------------------------------------------------------------

    The Exchange is coordinating with FINRA and other Plan Participants
to promote harmonized and consistent enforcement of all the Plan
Participants' CAT Compliance Rules. The Commission recently approved a
Rule 17d-2 Plan under which the regulation of CAT Compliance Rules will
be allocated among Plan Participants to reduce regulatory duplication
for industry members that are members of more than one Participant
(``common members'').\8\ Under the Rule 17d-2 Plan, the regulation of
CAT Compliance Rules with respect to common members that are members of
FINRA is allocated to FINRA. Similarly, under the Rule 17d-2 Plan,
responsibility for common members of multiple other Plan Participants
and not a member of FINRA will be allocated among those other Plan
Participants, including to the Exchange. For those non-common members
who are allocated to the Exchange pursuant to the Rule 17d-2 Plan, the
Exchange and FINRA entered into a Regulatory Services Agreement
(``RSA'') pursuant to which FINRA will conduct surveillance,
investigation, examination, and enforcement activity in connection with
the CAT Compliance Rules on the Exchange's behalf. We expect that the
other exchanges would be entering into a similar RSA.
---------------------------------------------------------------------------

    \8\ See Securities Exchange Act Release No. 88366 (March 12,
2020), 85 FR 15238 (March 17, 2020) (File No. 4-618).
---------------------------------------------------------------------------

    In order to achieve consistency with FINRA and the other Plan
Participants, the Exchange proposes to adopt fines up to $2,500 in
connection with minor rule fines for violations of the CAT Compliance
Rules under Chapter XVII under Rule 1014 and the Exchange's MRVP.
    FINRA, in connection with its proposed amendment to FINRA Rule 9217
to make FINRA's CAT Compliance Rules MRVP eligible, has represented
that it will apply the minor fines for CAT Compliance Rules in the same
manner that FINRA has for its similar existing audit trail-related
rules.\9\ Accordingly, in order to promote regulatory consistency, the
Exchange plans to do the same. Specifically, application of a minor
rule fine with respect to CAT Compliance Rules will be guided by the
same factors that FINRA referenced in its filing. However, more formal
disciplinary proceedings may be warranted instead of minor rule
dispositions in certain circumstances such as where violations prevent
regulatory users of the CAT from performing their regulatory functions.
Where minor rule dispositions are appropriate, the following factors
help guide the determination of fine amounts:
---------------------------------------------------------------------------

    \9\ See SR-FINRA-2020-013; see also FINRA Notice to Members 04-
19 (March 2004) (providing specific factors used to inform
dispositions for violations of OATS reporting rules).
---------------------------------------------------------------------------

     Total number of reports that are not submitted or
submitted late;
     The timeframe over which the violations occur;
     Whether violations are batched;
     Whether the violations are the result of the actions of
one individual or the result of faulty systems or procedures;
     Whether the firm has taken remedial measures to correct
the violations;
     Prior minor rule violations within the past 24 months;
     Collateral effects that the failure has on customers; and
     Collateral effects that the failure has on the Exchange's
ability to perform its regulatory function.\10\
---------------------------------------------------------------------------

    \10\ See id.
---------------------------------------------------------------------------

    Upon effectiveness of this rule change, the Exchange will publish a
regulatory bulletin notifying its member organizations of the rule
change and the specific factors that will be considered in connection
with assessing minor rule fines described above.
    For the foregoing reasons, the Exchange believes that the proposed
rule change will result in a coordinated, harmonized approach to CAT
compliance rule enforcement across Plan Participants that will be
consistent with the approach FINRA has taken with the CAT rules.
2. Statutory Basis
    The proposed rule change is consistent with Section 6(b) of the
Act,\11\ in general, and furthers the objectives of Section
6(b)(5),\12\ in particular, because 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.
---------------------------------------------------------------------------

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

    Minor rule fines provide a meaningful sanction for minor or
technical violations of rules when the conduct at issue does not
warrant stronger, immediately reportable disciplinary sanctions. The
inclusion of a rule in the Exchange's MRVP does not minimize the
importance of compliance with the rule, nor does it preclude the
Exchange from choosing to pursue violations of eligible rules through a
Letter of Consent if the nature of the violations or prior disciplinary
history warrants more significant sanctions. Rather, the Exchange
believes that the proposed rule change will strengthen the Exchange's
ability to carry out its oversight and enforcement responsibilities in
cases where full disciplinary proceedings are unwarranted in view of
the minor nature of the particular violation. Rather, the option to
impose a minor rule sanction gives the Exchange additional flexibility
to administer its enforcement program in the most effective and
efficient manner while still fully meeting the Exchange's remedial
objectives in addressing violative conduct. Specifically, the proposed
rule change is designed to prevent fraudulent and manipulative acts and
practices because it will provide the Exchange the ability to issue a
minor rule fine for violations of the CAT Compliance Rules under
Chapter XVII where a more formal disciplinary action may not be
warranted or appropriate consistent with the approach of other Plan
Participants for the same conduct.
    In connection with the fine level specified in the proposed rule
change, adding language that minor rule fines for violations of the CAT
Compliance Rules under Chapter XVII shall not exceed $2,500 would
further the goal of transparency and add clarity to the Exchange's
rules. Adopting the same cap as FINRA for minor rule fines in
connection with the CAT Compliance Rules would also promote regulatory
consistency across self-regulatory organizations.
    The Exchange further believes that the proposed amendments to Rule
1014 are consistent with Section 6(b)(6) of the Act,\13\ which provides
that members and persons associated with members shall

be appropriately disciplined for violation of the provisions of the
rules of the exchange, by expulsion, suspension, limitation of
activities, functions, and operations, fine, censure, being suspended
or barred from being associated with a member, or any other fitting
sanction. As noted, the proposed rule change would provide the Exchange
ability to sanction minor or technical violations of Chapter XVII
pursuant to the Exchange's rules.
---------------------------------------------------------------------------

    \13\ 15 U.S.C. 78f(b)(6).
---------------------------------------------------------------------------

    Finally, the Exchange also believes that the proposed changes are
designed to provide a fair procedure for the disciplining of members
and persons associated with members, consistent with Sections 6(b)(7)
and 6(d) of the Act.\14\ Rule 1014 does not preclude a member or a
person associated with or employed by a member from contesting an
alleged violation and receiving a hearing on the matter with the same
procedural rights through a litigated disciplinary proceeding.
---------------------------------------------------------------------------

    \14\ 15 U.S.C. 78f(b)(7) and 78f(d).
---------------------------------------------------------------------------

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act. The proposed rule change is
not intended to address competitive issues but rather is concerned
solely with making the CAT Compliance Rules under Chapter XVII eligible
for a minor rule fine disposition, thereby strengthening the Exchange's
ability to carry out its oversight and enforcement functions and deter
potential violative conduct.

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

    Written comments were neither solicited nor received.

III. 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-MIAX-2020-17 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-MIAX-2020-17. 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-MIAX-2020-17 and should be submitted on
or before July 20, 2020.

IV. Commission's Findings and Order Granting Accelerated Approval of
Proposed Rule Change

    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.\15\ In
particular, the Commission finds that the proposed rule change is
consistent with Section 6(b)(5) of the Act,\16\ which requires that the
rules of an exchange be designed to promote just and equitable
principles of trade, to remove impediments and to perfect the mechanism
of a free and open market and a national market system, and, in
general, to protect investors and the public interest. The Commission
also believes that the proposal is consistent with Sections 6(b)(1) and
6(b)(6) of the Act \17\ which require that the rules of an exchange
enforce compliance with, and provide appropriate discipline for,
violations of Commission and Exchange rules. Finally, the Commission
finds that the proposal is consistent with the public interest, the
protection of investors, or otherwise in furtherance of the purposes of
the Act, as required by Rule 19d-1(c)(2) under the Act,\18\ which
governs minor rule violation plans.
---------------------------------------------------------------------------

    \15\ In approving this proposed rule change, the Commission has
considered the proposed rule's impact on efficiency, competition,
and capital formation. See 15 U.S.C. 78c(f).
    \16\ 15 U.S.C. 78f(b)(5).
    \17\ 15 U.S.C. 78f(b)(1) and 78f(b)(6).
    \18\ 17 CFR 240.19d-1(c)(2).
---------------------------------------------------------------------------

    As stated above, the Exchange proposes to add the CAT Compliance
Rules to the list of minor rule violations in Rule 1014 to be
consistent with the approach FINRA has taken for minor violations of
its corresponding CAT Compliance Rules.\19\ The Commission has already
approved FINRA's treatment of CAT Compliance Rules violations when it
approved the addition of CAT Compliance Rules to FINRA's MRVP.\20\ As
noted in that order, and similarly herein, the Commission believes that
Exchange's treatment of CAT Compliance Rules violations as part of its
MRVP provides a reasonable means of addressing violations that do not
rise to the level of requiring formal disciplinary proceedings, while
providing greater flexibility in handling certain violations. However,
the Commission expects that, as with FINRA, the Exchange will continue
to conduct surveillance with due diligence and make determinations
based on its findings, on a case-by-case basis, regarding whether a
sanction under the rule is appropriate, or whether a violation requires
formal disciplinary action. Accordingly, the Commission believes the
proposal raises no novel or significant issues.
---------------------------------------------------------------------------

    \19\ As discussed above, the Exchange has entered into a Rule
17d-2 Plan and an RSA with FINRA with respect to the CAT Compliance
Rules. The Commission notes that, unless relieved by the Commission
of its responsibility, as may be the case under the Rule 17d-2 Plan,
the Exchange continues to bear the responsibility for self-
regulatory conduct and liability for self-regulatory failures, not
the self-regulatory organization retained to perform regulatory
functions on the Exchange's behalf pursuant to an RSA. See
Securities Exchange Release No. 61419 (January 26, 2010), 75 FR 5157
(February 1, 2010) (SR-BATS-2009-031), note 93 and accompanying
text.
    \20\ See supra note 3.
---------------------------------------------------------------------------

    For the same reasons discussed above, the Commission finds good
cause, pursuant to Section 19(b)(2) of the Act,\21\ for approving the
proposed rule

change prior to the thirtieth day after the date of publication of the
notice of the filing thereof in the Federal Register. The proposal
merely adds the CAT Compliance Rules to the Exchange's MRVP and
harmonizes its application with FINRA's application of CAT Compliance
Rules under its own MRVP. Accordingly, the Commission believes that a
full notice-and-comment period is not necessary before approving the
proposal.
---------------------------------------------------------------------------

    \21\ 15 U.S.C. 78s(b)(2).
---------------------------------------------------------------------------

V. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the Act
\22\ and Rule 19d-1(c)(2) thereunder,\23\ that the proposed rule change
(SR-MIAX-2020-17) be, and hereby is, approved on an accelerated basis.
---------------------------------------------------------------------------

    \22\ 15 U.S.C. 78s(b)(2).
    \23\ 17 CFR 240.19d-1(c)(2).
    \24\ 17 CFR 200.30-3(a)(12).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\24\
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-13878 Filed 6-26-20; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 83, Number 232 (Monday, December 3, 2018)]
[Notices]
[Pages 62399-62401]
[FR Doc No: 2018-26177]

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

DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

[Docket No. FRA-2018-0008-N-11]

Proposed Agency Information Collection Activities; Comment
Request

AGENCY: Federal Railroad Administration (FRA), U.S. Department of
Transportation (DOT).

ACTION: Notice of information collection; request for comment.

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

SUMMARY: Under the Paperwork Reduction Act of 1995 (PRA) and its
implementing regulations, FRA seeks approval of the Information
Collection Requests (ICRs) abstracted below. Before submitting these
ICRs to the Office of Management and Budget (OMB) for approval, FRA is
soliciting public comment on specific aspects of the activities
identified below.

DATES: Interested persons are invited to submit comments on or before
February 1, 2019.

ADDRESSES: Submit written comments on the ICRs activities by mail to
either: Mr. Robert Brogan, Information Collection Clearance Officer,
Office of Railroad Safety, Regulatory Analysis Division, Federal
Railroad Administration, 1200 New Jersey Avenue SE, Room W33-497,
Washington, DC 20590; or Ms. Kim Toone, Information Collection
Clearance Officer, Office of Information Technology, Federal Railroad
Administration, 1200 New Jersey Avenue SE, Room W34-212, Washington, DC
20590. Commenters requesting FRA to acknowledge receipt of their
respective comments must include a self-addressed stamped postcard
stating, ``Comments on OMB Control Number 2130-XXXX,'' (the relevant
OMB control number for each ICR is listed below) and should also
include the title of the ICR. Alternatively, comments may be faxed to
(202) 493-6216 or<PHONE_NUMBER>, or emailed to Mr. Brogan at
[email protected], or Ms. Toone at [email protected]. Please refer
to the assigned OMB control number in any correspondence submitted. FRA
will summarize comments received in response to this notice in a
subsequent notice and include them in its information collection
submission to OMB for approval.

FOR FURTHER INFORMATION CONTACT: Mr. Robert Brogan, Information
Collection Clearance Officer, Office of Railroad Safety, Regulatory
Analysis Division, Federal Railroad Administration, 1200 New Jersey
Avenue SE, Room W33-497, Washington, DC 20590 (telephone: (202) 493-
6292); or Ms. Kim Toone, Information Collection Clearance Officer,
Office of Information Technology, Federal Railroad Administration, 1200
New Jersey Avenue SE, Room W34-212, Washington, DC 20590 (telephone:
(202) 493-6132).

SUPPLEMENTARY INFORMATION: The PRA, 44 U.S.C. 3501-3520, and its

implementing regulations, 5 CFR part 1320, require Federal agencies to
provide 60-days' notice to the public to allow comment on information
collection activities before seeking OMB approval of the activities.
See 44 U.S.C. 3506, 3507; 5 CFR 1320.8 through 1320.12. Specifically,
FRA invites interested parties to comment on the following ICRs
regarding: (1) Whether the information collection activities are
necessary for FRA to properly execute its functions, including whether
the activities will have practical utility; (2) the accuracy of FRA's
estimates of the burden of the information collection activities,
including the validity of the methodology and assumptions used to
determine the estimates; (3) ways for FRA to enhance the quality,
utility, and clarity of the information being collected; and (4) ways
for FRA to minimize the burden of information collection activities on
the public, including the use of automated collection techniques or
other forms of information technology. See 44 U.S.C. 3506(c)(2)(A); 5
CFR 1320.8(d)(1).
    FRA believes that soliciting public comment may reduce the
administrative and paperwork burdens associated with the collection of
information that Federal regulations require. In summary, FRA reasons
that comments received will advance three objectives: (1) Reduce
reporting burdens; (2) organize information collection requirements in
a ``user-friendly'' format to improve the use of such information; and
(3) accurately assess the resources expended to retrieve and produce
information requested. See 44 U.S.C. 3501.
    The summaries below describe the ICRs that FRA will submit for OMB
clearance as the PRA requires:
    Title: Certification of Glazing Materials.
    OMB Control Number: 2130-0525.
    Abstract: The collection of information is set forth under 49 CFR
part 223, which requires the certification and permanent marking of
glazing materials by the manufacturer. The manufacturer is also
responsible for making available test verification data to railroads
and FRA upon request.
    Form Number(s): N/A.
    Affected Public: Businesses.
    Respondent Universe: Railroads/Manufacturers.
    Frequency of Submission: On occasion.

----------------------------------------------------------------------------------------------------------------
                                                            Total annual       Average time per    Total annual
           CFR section             Respondent universe       responses             response        burden hours
----------------------------------------------------------------------------------------------------------------
223.3--Application...............  692 railroads......  400 marked tools     30 minutes.........             200
                                                         (small hammers)
                                                         with instructions.
    --Locomotives, passenger       ...................  ...................  ...................  ..............
     cars, and cabooses built
     after 1945 used only for
     excursion, educational,
     recreational, or private
     transportation purposes that
     must comply with emergency
     window requirements: Marked
     tools with instruction.
223.11--Locomotive placed in       692 railroads......  15 designated        30 seconds.........            .125
 designated service due to a                             locomotives.
 damaged or broken cab window so
 that the window fails to permit
 good visibility.
223.17--Request to manufacturer    5 manufacturers....  10 requests........  15 minutes.........               3
 of glazing certification
 information.
    --Identification/marking of    5 manufacturers....  25,000 marked        480 pieces per hour              52
     each unit of glazing                                pieces of glazing.
     material.
    --Test verification data.....  5 manufacturers....  1 test.............  14 hours...........              14
----------------------------------------------------------------------------------------------------------------

    Total Estimated Responses: 25,426.
    Total Estimated Total Annual Burden: 269 hours.
    Status: Regular Review.
    Title: Disqualification Proceedings.
    OMB Control Number: 2130-0529.
    Abstract: FRA regulations at 49 CFR part 209, subpart D, explain
FRA's responsibilities, and the rights and responsibilities of
railroads and railroad employees, regarding disqualification
procedures. Specifically, 49 CFR 209.331, enforcement of a
disqualification order, requires: (a) A railroad employing or formerly
employing a disqualified individual to disclose the terms and
conditions of the order to the individual's new or prospective employer
railroad; (b) a railroad considering hiring an individual in a safety-
sensitive position to inquire from the individual's prior employer
railroad whether the individual is serving under a disqualification
order; and (c) a disqualified individual to inform his employer of the
disqualification order and provide a copy of the order to the employer
and to inform a prospective employer railroad of the disqualification
order and provide a copy of the order. Additionally, 49 CFR 209.333(b)
prohibits a railroad from employing a person subject to a
disqualification order in any manner inconsistent with the order.
    Form Number(s): N/A.
    Affected Public: Businesses.
    Respondent Universe: 40,000 railroad employees (safety sensitive)/
741 railroads.
    Frequency of Submission: On occasion.

----------------------------------------------------------------------------------------------------------------
                                                            Total annual       Average time per    Total annual
           CFR section             Respondent universe       responses             response        burden hours
----------------------------------------------------------------------------------------------------------------
209.307--Reply by railroad         40,000 railroad      1 reply............  3 hours............               3
 employee to disqualification       employees.
 charges.
209.309--Informal response by      40,000 railroad      1 response.........  1 hour.............               1
 railroad employee to a notice of   employees.
 proposed disqualification.

209.331--Railroad enforcement of   741 railroads......  1 notification       15 minutes + 15                 .50
 disqualification order: RR                              letter + 1           minutes.
 employing or formerly employing                         informational
 a person serving under a                                letter.
 disqualification order must
 inform other prospective
 employers.
209.331--Person subject to         40,000 railroad      1 disqualification   15 minutes + 15                 .50
 disqualification order must        employees.           letter + 1 copy of   minutes.
 inform his/her employer and                             disqualification
 provide copy to employer within                         order.
 5 days after receipt of such
 order.
----------------------------------------------------------------------------------------------------------------

    Total Estimated Responses: 3.
    Total Estimated Total Annual Burden: 5 hours.
    Status: Regular Review.
    Title: Ballast Defects and Conditions-Importance of Identification
and Repair in Preventing Development of Unsafe Combinations of Track
Conditions.
    OMB Control Number: 2130-0614.
    Respondent Universe: 741 Railroads.

----------------------------------------------------------------------------------------------------------------
                                                                                Average time
      Safety advisory 2015-04        Respondent universe        Total annual       per response    Total annual
                                                                 responses           (minutes)     burden hours
----------------------------------------------------------------------------------------------------------------
(1) RR Assessment and Update of     741 Railroads........  100 assessments + 100              60             200
 Engineering Instructions to                                engineering
 provide Guidance to Its Track                              instruction updates.
 Inspectors on How to Identify and
 Repair Ballast Defects and Other
 Ballast Conditions.
(2) RR Training of Its Track        741 Railroads........  10,000 trained track               60          10,000
 Inspectors on Updated Engineering                          inspectors/records.
 Instructions and FRA Safety
 Advisory 2015-04.
----------------------------------------------------------------------------------------------------------------

    Form Number(s): N/A.
    Frequency of Submission: One-time; on occasion.
    Total Estimated Responses: 10,200.
    Total Estimated Annual Burden: 10,200 hours.
    Status: Regular Review.
    Under 44 U.S.C. 3507(a) and 5 CFR 1320.5(b) and 1320.8(b)(3)(vi),
FRA informs all interested parties that it may not conduct or sponsor,
and a respondent is not required to respond to, a collection of
information unless it displays a currently valid OMB control number.

    Authority: 44 U.S.C. 3501-3520.

Juan D. Reyes III,
Chief Counsel.
[FR Doc. 2018-26177 Filed 11-30-18; 8:45 am]
 BILLING CODE 4910-06-P


[Federal Register Volume 76, Number 28 (Thursday, February 10, 2011)]
[Notices]
[Pages 7553-7554]
[FR Doc No: 2011-2935]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings 1

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

    Docket Numbers: EG11-51-000.
    Applicants: CPV Batesville, LLC.
    Description: Notice of Self-Certification of Exempt Wholesale
Generator Status of CPV Batesville, LLC.
    Filed Date: 01/31/2011.
    Accession Number: 20110131-5252.
    Comment Date: 5 p.m. Eastern Time on Tuesday, February 22, 2011.

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

    Docket Numbers: ER11-1988-002.
    Applicants: PJM Interconnection, L.L.C.
    Description: PJM Interconnection, L.L.C. submits tariff filing per
35: Counterparty Compliance Filing to be effective 1/1/2011.
    Filed Date: 01/31/2011.
    Accession Number: 20110131-5258.
    Comment Date: 5 p.m. Eastern Time on Tuesday, February 22, 2011.

    Docket Numbers: ER11-2087-003.
    Applicants: FC Landfill Energy, LLC.
    Description: FC Landfill Energy, LLC submits tariff filing per 35:
Refund Report Supplemental Information to be effective N/A.
    Filed Date: 01/31/2011.
    Accession Number: 20110131-5278.
    Comment Date: 5 p.m. Eastern Time on Tuesday, February 22, 2011.

    Docket Numbers: ER11-2192-002.
    Applicants: Red Mesa Wind, LLC.
    Description: Red Mesa Wind, LLC submits tariff filing per 35.17(b):
Red Mesa Revisions to Limitations and Exceptions Tariff Language to be
effective 11/25/2010.
    Filed Date: 01/31/2011.
    Accession Number: 20110131-5260.
    Comment Date: 5 p.m. Eastern Time on Tuesday, February 22, 2011.

    Docket Numbers: ER11-2209-001.
    Applicants: Alta Wind II, LLC.
    Description: Notice of Non-Material Change in Status of Alta Wind
II, LLC.
    Filed Date: 01/28/2011.
    Accession Number: 20110128-5152.
    Comment Date: 5 p.m. Eastern Time on Friday, February 18, 2011.

    Docket Numbers: ER11-2211-001.
    Applicants: Alta Wind I, LLC.
    Description: Notice of Non-Material Change in Status of Alta Wind
I, LLC.
    Filed Date: 01/31/2011.
    Accession Number: 20110131-5215.
    Comment Date: 5 p.m. Eastern Time on Tuesday, February 22, 2011.

    Docket Numbers: ER11-2719-001.
    Applicants: Southwest Power Pool, Inc.
    Description: Southwest Power Pool, Inc. submits tariff filing per
35.17(b): Amendment to 2141 Buffalo Point Wind LLC GIA to be effective
12/22/2010.
    Filed Date: 01/31/2011.
    Accession Number: 20110131-5274.
    Comment Date: 5 p.m. Eastern Time on Tuesday, February 22, 2011.

    Docket Numbers: ER11-2801-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: PJM Interconnection, L.L.C. submits tariff filing per
35.13(a)(2)(iii): Non-substantive revisions to Attachment Hs conforming
PJM's baseline filing to be effective 9/17/2010.
    Filed Date: 01/31/2011.
    Accession Number: 20110131-5232.
    Comment Date: 5 p.m. Eastern Time on Tuesday, February 22, 2011.

    Docket Numbers: ER11-2802-000.
    Applicants: New England Power Pool Participants Committee.
    Description: New England Power Pool Participants Committee submits
tariff filing per 35.13(a)(2)(iii): February 2011 Membership Filing to
be effective 2/1/2011.
    Filed Date: 01/31/2011.
    Accession Number: 20110131-5256.
    Comment Date: 5 p.m. Eastern Time on Tuesday, February 22, 2011.

    Docket Numbers: ER11-2803-000.
    Applicants: Central Maine Power Company.
    Description: Central Maine Power Company submits tariff filing per
35.13(a)(2)(iii): Central Main Power Company--Gallop Power Greenville
Interconnection Agreement to be effective 1/1/2011.
    Filed Date: 01/31/2011.
    Accession Number: 20110131-5268.
    Comment Date: 5 p.m. Eastern Time on Tuesday, February 22, 2011.

    Docket Numbers: ER11-2804-000.
    Applicants: GenOn Florida, LP.
    Description: GenOn Florida, LP submits tariff filing per
35.13(a)(2)(iii): Notice of Succession to be effective 9/27/2010.
    Filed Date: 01/31/2011.
    Accession Number: 20110131-5270.
    Comment Date: 5 p.m. Eastern Time on Tuesday, February 22, 2011.

    Docket Numbers: ER11-2805-000.
    Applicants: RRI Energy Services, LLC.
    Description: RRI Energy Services, LLC submits tariff filing per
35.13(a)(2)(iii): Notice of Succession--MBR Tariff to be effective 9/
27/2010.
    Filed Date: 01/31/2011.
    Accession Number: 20110131-5271.
    Comment Date: 5 p.m. Eastern Time on Tuesday, February 22, 2011.

    Docket Numbers: ER11-2806-000.
    Applicants: NV Energy, Inc.
    Description: NV Energy, Inc. submits tariff filing per
35.13(a)(2)(iii): Service Agreement No. 10-00979 Amendment 1 LGIA to be
effective 1/7/2011.
    Filed Date: 01/31/2011.
    Accession Number: 20110131-5275.
    Comment Date: 5 p.m. Eastern Time on Tuesday, February 22, 2011.

    Docket Numbers: ER11-2807-000.
    Applicants: Central Maine Power Company.
    Description: Central Maine Power Company submits tariff filing per
35.13(a)(2)(iii): Central Maine Power Company--Rocky Gorge Corporation
Interconnection Agreement to be effective 1/1/2011.
    Filed Date: 01/31/2011.
    Accession Number: 20110131-5276.
    Comment Date: 5 p.m. Eastern Time on Tuesday, February 22, 2011.

    Any person desiring to intervene or to protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Rules of Practice and Procedure (18 CFR 385.211 and
385.214) on or before 5 p.m. Eastern time on the specified comment
date. It is not necessary to separately intervene again in a subdocket
related to a compliance filing if you have previously intervened in the
same docket. Protests will be considered by the Commission in
determining the appropriate action to be taken, but will not serve to
make protestants parties to the proceeding. Anyone filing a motion to
intervene or protest must serve a copy of that

document on the Applicant. In reference to filings initiating a new
proceeding, interventions or protests submitted on or before the
comment deadline need not be served on persons other than the
Applicant.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://www.ferc.gov. To facilitate electronic service, persons with Internet
access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the
eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically should submit an original and
14 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First St., NE., Washington, DC 20426.
    The filings in the above proceedings are accessible in the
Commission's eLibrary system by clicking on the appropriate link in the
above list. They are also available for review in the Commission's
Public Reference Room in Washington, DC. There is an eSubscription link
on the Web site that enables subscribers to receive e-mail notification
when a document is added to a subscribed 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>.

    Dated: February 1, 2011.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2011-2935 Filed 2-9-11; 8:45 am]
BILLING CODE 6717-01-P