[Federal Register Volume 82, Number 69 (Wednesday, April 12, 2017)]
[Notices]
[Pages 17734-17736]
[FR Doc No: 2017-07315]

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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

[Docket No. FMCSA-2014-0352]

Commercial Driver's License Standards: Recreation Vehicle
Industry Association Application for Exemption

AGENCY: Federal Motor Carrier Safety Administration (FMCSA), DOT.

ACTION: Notice of renewal of exemption; request for comments.

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SUMMARY: FMCSA announces its decision to renew a 2015 exemption from
the Federal commercial driver's license (CDL) requirements for drivers
who deliver certain newly manufactured motorhomes and recreational
vehicles (RVs) to dealers or trade shows before retail sale (driveaway
operations). The Recreation Vehicle Industry Association (RVIA)
requested that the exemption be renewed because compliance with the CDL
requirements prevents its members from implementing more efficient
operations due to a shortage of CDL drivers. The exemption renewal is
for five years and covers employees of all U.S. driveaway companies, RV
manufacturers, and RV dealers transporting RVs between manufacturing
sites and dealer locations and for movements prior to first retail
sale. Drivers engaged in driveaway deliveries of RVs with gross vehicle
weight ratings of 26,001 pounds or more will not be required to have a
CDL as long as the empty RVs have gross vehicle weights or gross
combination weights that do not meet or exceed 26,001 pounds, and any
RV trailers towed by other vehicles weigh 10,000 pounds or less. RV
units that have a combined gross vehicle weight exceeding 26,000 pounds
are not covered by the exemption.

DATES: This renewed exemption is effective April 6, 2017 and expires on
April 6, 2022. Comments must be received on or before April 27, 2017.

ADDRESSES: You may submit comments bearing the Federal Docket
Management System (FDMS) Docket ID FMCSA-2014-0352 using any of the
following methods:
     Federal eRulemaking Portal: www.regulations.gov. Follow
the online instructions for submitting comments.
     Mail: Docket Management Facility, U.S. Department of
Transportation, 1200 New Jersey Avenue SE., West Building, Ground
Floor, Room W12-140, Washington, DC 20590-0001.
     Hand Delivery or Courier: West Building, Ground Floor,
Room W12-

140, 1200 New Jersey Avenue SE., between 9 a.m. and 5 p.m., Monday
through Friday, except Federal holidays.
     Fax: 1-202-493-2251
    Each submission must include the Agency name and the docket number
for this notice. Note that DOT posts all comments received without
change to www.regulations.gov, including any personal information
included in a comment. Please see the Privacy Act heading below.
    Docket: For access to the docket to read background documents or
comments, go to www.regulations.gov at any time or visit Room W12-140
on the ground level of the West Building, 1200 New Jersey Avenue SE.,
Washington, DC, between 9 a.m. and 5 p.m., ET, Monday through Friday,
except Federal holidays. The on-line FDMS is available 24 hours each
day, 365 days each year.
    Privacy Act: In accordance with 5 U.S.C. 553(c), DOT solicits
comments from the public to better inform its rulemaking process. DOT
posts these comments, without edit, including any personal information
the commenter provides, to www.regulations.gov, as described in the
system of records notice (DOT/ALL-14 FDMS), which can be reviewed at
www.dot.gov/privacy.

FOR FURTHER INFORMATION CONTACT: Mr. Thomas Yager, Chief, FMCSA Driver
and Carrier Operations Division; Office of Carrier, Driver and Vehicle
Safety Standards; Telephone:<PHONE_NUMBER>. Email<EMAIL_ADDRESS>If you
have questions on viewing or submitting material to the docket, contact
Docket Services, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

I. Public Participation and Request for Comments

    FMCSA encourages you to participate by submitting comments and
related materials.

Submitting Comments

    If you submit a comment, please include the docket number for this
notice (FMCSA-2014-0352), indicate the specific section of this
document to which the comment applies, and provide a reason for
suggestions or recommendations. You may submit your comments and
material online or by fax, mail, or hand delivery, but please use only
one of these means. FMCSA recommends that you include your name and a
mailing address, an email address, or a phone number in the body of
your document so the Agency can contact you if it has questions
regarding your submission.
    To submit your comment online, go to www.regulations.gov and put
the docket number, ``FMCSA-2014-0352'' in the ``Keyword'' box, and
click ``Search.'' When the new screen appears, click on ``Comment
Now!'' button and type your comment into the text box in the following
screen. Choose whether you are submitting your comment as an individual
or on behalf of a third party and then submit. If you submit your
comments by mail or hand delivery, submit them in an unbound format, no
larger than 8\1/2\ by 11 inches, suitable for copying and electronic
filing. If you submit comments by mail and would like to know that they
reached the facility, please enclose a stamped, self-addressed postcard
or envelope. FMCSA will review all comments received and determine
whether the renewal of the exemption is consistent with the
requirements of 49 U.S.C. 31315 and 31136(e). Comments received after
the comment closing date will be filed in the public docket and will be
considered to the extent practicable.

II. Legal Basis

    FMCSA has authority under 49 U.S.C. 31136(e) and 31315 to grant
exemptions from the certain portions of the Federal Motor Carrier
Safety Regulations. FMCSA must publish a notice of each exemption
request in the Federal Register (49 CFR 381.315(a)). The Agency must
provide the public an opportunity to inspect the information relevant
to the application, including any safety analyses that have been
conducted. The Agency must also provide an opportunity for public
comment on the request.
    The Agency reviews the safety analyses and the public comments, and
determines whether granting the exemption would likely achieve a level
of safety equivalent to, or greater than, the level that would be
achieved by the current regulation (49 CFR 381.305). The decision of
the Agency must be published in the Federal Register (49 CFR
381.315(b)) with the reason for the grant or denial, and, if granted,
the specific person or class of persons receiving the exemption, and
the regulatory provision or provisions from which the exemption is
granted. The notice must also specify the effective period of the
exemption (up to 5 years), and explain the terms and conditions of the
exemption. The exemption may be renewed (49 CFR 381.300(b)).

Application for Renewal Exemption

    The RVIA's initial exemption application from the provisions of 49
CFR 383.91(a)(1)-(2) was submitted in 2014; a copy of the application
is in the docket identified at the beginning of this notice. The 2014
application describes fully the nature of the RV deliveries by
commercial motor vehicle (CMV) drivers. The exemption was originally
granted on April 6, 2015 (80 FR 18493).
    The RVIA requests renewal of an exemption from the requirement
under 49 CFR 383.91(a)(1)-(2) to hold a CDL when transporting RVs with
an actual vehicle weight not exceeding 26,000 pounds, or a combination
of RV trailer/tow vehicle with the actual weight of the towed unit not
exceeding 10,000 pounds and the gross combined weight not exceeding
26,000 pounds. In other words, RVIA requested that CDLs not be required
for driveaway operations of single or combination vehicles with a gross
vehicle weight rating at or above 26,001 pounds, as long as the actual
weight of the vehicle or combination is below 26,001 pounds. RV units
that have a ship weight and combined gross vehicle weight exceeding
26,000 pounds would not be covered by the exemption. RVIA contends that
compliance with the CDL rule prevents its members from implementing
more efficient operations due to a shortage of drivers who hold a CDL.
RVIA asserts that FMCSA should look at the actual weight of the RV when
it is manifested as empty and should not require a CDL during the short
time the RV is not loaded, does not carry freight, and is transported
from the factory where it is manufactured, or from a holding area, to a
dealership site.
    In its initial application, RVIA contended that a shortage of
drivers with CDLs had a significant impact on the RV industry, which
was just recovering from the 2008-2009 economic downturn. A large
percentage of RV sales occur during the spring buying season. The jump
in RV shipments trends stronger each month, increasing consistently
from February through June. These excess units regularly accumulate in
RV transporters' yards. It is in this period that there is insufficient
commercial driver capacity for RV transportation. The seasonal
commercial driver shortage creates delays in the delivery of product to
consumers and potentially reduces the RV sales. Consumers who wish to
purchase an RV may have to wait weeks or months to receive delivery of
their purchase because there are not enough drivers with CDLs to
transport the vehicles from the factory to the dealership, especially
since each RV must be individually transported. While these delays are
costly and inconvenient to the RV industry and consumers, the greater
costs result in potential lost sales to consumers who are unwilling to
wait for their purchase.
    RVIA states that the exemption would apply to all individuals who
are

employees of driveaway-towaway companies, RV manufacturers, and RV
dealers. RVIA contends that, due to the class nature and the number of
parties that would be affected by the exemption, it is not feasible or
practicable to provide the names of individuals or transporters
responsible for use or operation of these CMVs.

Method To Ensure an Equivalent or Greater Level of Safety

    RVIA contends that if the exemption were granted, the level of
safety associated with transportation of RVs from manufacturers to
dealers would likely be equivalent to, or greater than, the level of
safety obtained by complying with the CDL requirements for the
following reasons:
     On average, drivers employed by RV manufacturers and
dealers to deliver RVs have substantially more experience operating RVs
than a typical driver operating an RV for recreational purposes. RVIA
noted that owners of these RVs are not required to hold a CDL when
operating them for non-business purposes.
     According to RVIA, an analysis using the FMCSA Safety
Measurement System revealed that the majority of RV driveaway-towaway
companies' accident frequency average is far less than the national
benchmark average. Further details are provided in the RVIA exemption
application, which is contained in the docket for this notice.
     Compared to drivers using RVs for recreational purposes,
RV manufacturers and driveaway-towaway companies have substantially
greater economic incentive to systematically train, monitor and
evaluate their RV drivers with respect to safe operation of RVs because
of the substantially greater number of miles they run, and the
corresponding exposure to liability for any traffic accidents.
     As with any new motor vehicle, newly manufactured RVs are
much less likely to present a safety concern due to mechanical
failures.
     Travel distances between the manufacturing sites and
dealer locations are on average much shorter than typical distances
which RVs travel when in recreational use, and the highway presence of
RVs transported from manufacturers to dealers is negligible even during
the peak spring delivery season.
    RVIA asserts that without the exemption, drivers making deliveries
of new RVs with a gross vehicle weight rating (GVWR) exceeding 26,000
pounds, or a gross combination weight rating exceeding 26,000 inclusive
of a towed vehicle with a GVWR of 10,001 pounds or higher, will remain
subject to CDL requirements even though end-users of RVs purchasing
them from dealers in the same States would not be subject to those
requirements and regulations. This anomalous situation would continue
to materially curb the growth of the RV industry without a
countervailing safety or other benefit to the public. In particular, RV
manufacturers and dealers would continue to experience a shortage of
CDL operators during the busy spring season.

Terms and Conditions of the Exemption

Period of the Exemption
    This exemption from the requirements of 49 CFR 383.91(a)(1)-(2) is
effective April 6, 2017 through April 6, 2022, 11:59 p.m. local time,
unless renewed.
Extent of the Exemption
    The exemption is restricted to employees of driveaway-towaway
companies, RV manufacturers, and RV dealers transporting RVs between
the manufacturing site and dealer location and for movements prior to
first retail sale. Drivers covered by the exemption will not be
required to hold a CDL when transporting RVs with a gross vehicle
weight not exceeding 26,000 pounds, or a combination of RV trailer/tow
vehicle with the gross weight of the towed unit not exceeding 10,000
pounds and the gross combined weight not exceeding 26,000 pounds. These
drivers must comply with all other applicable provisions of the Federal
Motor Carrier Safety Regulations.
Preemption
    In accordance with 49 U.S.C. 31315(d), during the period this
exemption is in effect, no State shall enforce any law or regulation
that conflicts with or is inconsistent with this exemption with respect
to a firm or person operating under the exemption.
Notification to FMCSA
    Exempt motor carriers must notify FMCSA within 5 business days of
any accident (as defined in 49 CFR 390.5), involving any of its CMVs
operating under the terms of this exemption. The notification must
include the following information:
    (a) Name of the exemption: ``RVIA''
    (b) Name of the operating motor carrier,
    (c) Date of the accident,
    (d) City or town, and State, in which the accident occurred, or
closest to the accident scene,
    (e) Driver's name and license number,
    (f) Vehicle number and State license number,
    (g) Number of individuals suffering physical injury,
    (h) Number of fatalities,
    (i) The police-reported cause of the accident,
    (j) Whether the driver was cited for violation of any traffic laws,
motor carrier safety regulations, and
    (k) The driver's total driving time and total on-duty time period
prior to the accident.
    Reports filed under this provision shall be emailed to
<EMAIL_ADDRESS>Termination
    FMCSA does not believe the drivers covered by this exemption will
experience any deterioration of their safety record.
    Interested parties or organizations possessing information that
would otherwise show that any or all of these motor carriers are not
achieving the requisite statutory level of safety should immediately
notify FMCSA. The Agency will evaluate any information submitted and,
if safety is being compromised or if the continuation of the exemption
is inconsistent with 49 U.S.C. 31315(b)(4) and 31136(e), FMCSA will
immediately take steps to revoke the exemption of the company or
companies and drivers in question.

    Issued on: April 5, 2017.
Daphne Y. Jefferson,
Deputy Administrator.
[FR Doc. 2017-07315 Filed 4-11-17; 8:45 am]
 BILLING CODE 4910-EX-P


[Federal Register Volume 80, Number 67 (Wednesday, April 8, 2015)]
[Notices]
[Pages 18881-18883]
[FR Doc No: 2015-07962]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-74634; File No. SR-CME-2015-004]

Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change To
Amend Rulebook Provisions Establishing Decision-Making and Emergency
Authority Over Clearing House Matters

April 2, 2015.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'' or ``Exchange Act''),\1\ and Rule 19b-4 thereunder,\2\ notice
is hereby given that on March 30, 2015, Chicago Mercantile Exchange
Inc. (``CME'') 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 primarily by CME. CME
filed the proposal pursuant to Section 19(b)(3)(A)(ii) \3\ of the Act,
and Rule 19b-4(f)(4)(ii) \4\ thereunder, so that the proposal was
effective upon filing with the Commission. 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.
    \3\ 15 U.S.C. 78s(b)(3)(A)(ii).
    \4\ 17 CFR 240.19b-4(f)(4)(ii).
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    CME is filing a proposed rule change that is limited to its
business as a derivatives clearing organization. More specifically, the
proposed rule change would make amendments to rulebook provisions
establishing decision-making and emergency authority over clearing
house matters.

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

    In its filing with the Commission, CME included statements
concerning the purpose 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.
CME 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

    CME is registered as a derivatives clearing organization with the
Commodity Futures Trading Commission (``CFTC'') and currently offers
clearing services for many different futures and swaps products. With
this filing, CME proposes to make rulebook changes that are limited to
its business clearing futures and swaps under the exclusive
jurisdiction of the CFTC. More specifically, the proposed rule change
would make amendments to rulebook provisions establishing decision-
making and emergency authority over clearing house matters.
    The proposed rule change relates to recent management structure and
reporting line changes at CME. Current CME rules do not include any
reference to or establishment of authority in the newly created role of
President of Global Operations, Technology & Risk (``President GOTR'').
The proposed rule change referenced in this submission is designed to
ensure the President GOTR is authorized to undertake certain actions
related to clearing house operations and emergency financial
conditions. In light of the Chief Operating Officer`s (``COO'') newly
established reporting line to the President GOTR, authority regarding
certain clearing house matters and emergency financial conditions will
be conferred from the COO to the President GOTR with these changes. The
proposed rule revisions are designed to clearly specify the roles and
responsibilities of management during extraordinary circumstances that
impact the clearing house.
    The proposed rule change adds references to or establishes
authority for the President GOTR in the following CME rules: Rule 257
(Exchange Physical Emergencies); Rule 403 (Clearing House Risk
Committee); Rule 701 (Declarations of Force Majeure); Rule 744
(Failsafe Currency Availability Procedures for Physical Delivery); Rule
812 (Final Settlement Price); Rule 824 (Additional Performance Bond);
Rule 8G25 (IRS Default Management Committee); Rule 8G824 (Additional
IRS Performance Bond); Rule 8G975 (IRS Emergency Financial Conditions);
Rule 8H26 (CDS Default Management Committee); Rule 8H27 (CDS Risk
Committee); Rule 8H824 (Additional CDS Performance Bond); Rule 8H975
(CDS Emergency Financial Conditions); Rule 974 (Suspension of Member
Firm Privileges); Rule 975 (Emergency Financial Conditions); Rule 976
(Suspension of Clearing Members); Rule 978 (Open Trades of Suspended
Clearing Members); and Rule 979 (Suspended or Expelled Clearing
Members).
    The proposed rule change that is described in this filing is
limited to its business as a derivatives clearing organization clearing
products under the exclusive jurisdiction of the CFTC. CME has not
cleared security based swaps and does not plan to and therefore the
proposed rule change does not impact CME's security-based swap clearing
business in any way. The proposed rule change would become effective
immediately. CME notes that it has also submitted the proposed rule
change that is the subject of this filing to its primary regulator, the
CFTC, in CME Submission 15-047.
    CME believes the proposed rule change is consistent with the
requirements of the Exchange Act including Section 17A of the Exchange
Act.\5\ The proposed rule revisions are designed to clearly specify the
roles and responsibilities of management during extraordinary
circumstances that impact the clearing house. The changes would help
ensure that all appropriate officers of CME have the ability to
exercise decision-making and emergency authority in relation to matters
impacting the clearing house, thereby enhancing the overall safety of
the clearing house and the efficiency with which such actions may be
taken. As such, the proposed rule change should be seen to be designed
to promote the prompt and accurate clearance and settlement of
securities transactions and, to the extent applicable, derivatives
agreements, contracts, and transactions, to assure the safeguarding of
securities and funds which are in the custody or control of the
clearing agency or for which it is responsible, and, in general, to
protect investors and the public interest consistent with Section
17A(b)(3)(F) of the Exchange Act.\6\
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    \5\ 15 U.S.C. 78q-1.
    \6\ 15 U.S.C. 78q-1(b)(3)(F).
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    Furthermore, the proposed rule change is limited to CME's futures
and swaps clearing businesses, which mean they are limited in their
effect to products that are under the exclusive jurisdiction of the
CFTC. As such, the changes are limited to CME's activities as a DCO
clearing futures that are not security futures and swaps that are not
security-based swaps. CME notes that the policies of the CFTC with
respect to administering the Commodity Exchange Act are comparable to a
number of the policies underlying the Exchange Act, such as promoting
market transparency for over-the-counter derivatives markets, promoting
the prompt and accurate clearance of transactions and protecting
investors and the public interest.
    Because the proposed rule change is limited in its effect to CME's
futures and swaps clearing businesses, the changes are properly
classified as effecting a change in an existing service of CME that:
    (a) Primarily affects the clearing operations of CME with respect
to products that are not securities, including futures that are not
security futures, swaps that are not security-based swaps or mixed
swaps; and forwards that are not security forwards; and
    (b) does not significantly affect any securities clearing
operations of CME or any rights or obligations of CME with respect to
securities clearing or persons using such securities-clearing service.
    As such, the changes are therefore consistent with the requirements
of Section 17A of the Exchange Act \7\ and are properly filed under
Section 19(b)(3)(A) \8\ and Rule 19b-4(f)(4)(ii) \9\ thereunder.
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    \7\ 15 U.S.C. 78q-1.
    \8\ 15 U.S.C. 78s(b)(3)(A).
    \9\ 17 CFR 240.19b-4(f)(4)(ii).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    CME does not believe that the proposed rule change will have any
impact, or impose any burden, on competition. The proposed rule
revisions simply specify the roles and responsibilities of management
during extraordinary circumstances that impact the clearing house.
Further, the changes are limited to CME's futures and swaps clearing
businesses and, as such, do not affect the security-based swap clearing
activities of CME in any way and therefore do not impose any burden on
competition that is inappropriate 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

    CME has not solicited, and does not intend to solicit, comments
regarding this proposed rule change. CME has not received any
unsolicited written comments from interested parties.

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

    The foregoing rule change has become effective upon filing pursuant
to Section 19(b)(3)(A) \10\ of the Act and Rule 19b-4(f)(4)(ii) \11\
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.
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    \10\ 15 U.S.C. 78s(b)(3)(A).
    \11\ 17 CFR 240.19b-4(f)(4)(ii).
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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 No. SR-CME-2015-004 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-CME-2015-004. 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 such filing also will be available
for inspection and copying at the principal office of CME and on CME's
Web site at http://www.cmegroup.com/market-regulation/rule-filings.html.
    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-CME-2015-004 and
should be submitted on or before April 29, 2015.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\12\
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    \12\ 17 CFR 200.30-3(a)(12).
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Brent J. Fields,
Secretary.
[FR Doc. 2015-07962 Filed 4-7-15; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 79, Number 187 (Friday, September 26, 2014)]
[Notices]
[Pages 58001-58003]
[FR Doc No: 2014-22993]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-73181; File No. SR-NYSEArca-2014-103]

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change Relating to an
Increase in the Number of Securities Held by the Peritus High Yield ETF

September 23, 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 September 17, 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 Substance
of the Proposed Rule Change

    The Exchange proposes to reflect an increase in the number of
securities that may be held by the Peritus High Yield ETF. 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 the
Statutory Basis for, the Proposed Rule Change

1. Purpose
    The Commission has approved a proposed rule change relating to
listing and trading on the Exchange of shares (``Shares'') of the
Peritus High Yield ETF (``Fund'') under NYSE Arca Equities Rule 8.600
\4\, which governs the listing and trading of Managed Fund Shares.\5\
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    \4\ See Securities Exchange Act Release No. 63329 (November 17,
2010), 75 FR 71760 (November 24, 2010) (SR-NYSEArca-2010-86) (the
``Prior Order''). The notice with respect to the Prior Order was
published in Securities Exchange Act Release No. 63041 (October 5,
2010), 75 FR 62905 (October 13, 2010) (``Prior Notice'' and,
together with the Prior Order, the ``Prior Release''). The Exchange
subsequently filed with the Commission several proposed rule changes
relating to changes in the Fund's holdings. See Securities Exchange
Act Release Nos. 66818 (April 17, 2012), 77 FR 24233 (April 23,
2012) (SR-NYSEArca-2012-33) (notice of filing and immediate
effectiveness of proposed rule change relating to the Fund's
investment in equity securities) (``Equities Investment Release'');
70284 (August 29, 2013), 78 FR 54715 (September 5, 2013) (SR-
NYSEArca-2013-83) (notice of filing and immediate effectiveness of
proposed rule change relating to the Fund's investments in leveraged
loans) (``Leveraged Loan Release''); 72433 (June 19, 2014), 79 FR
36114 (June 25, 2014) (SR-NYSEArca-2014-69) (notice of filing and
immediate effectiveness of proposed rule change relating to an
increase in the Fund's investments in equity securities) (``Equities
Increase Release'', and together with the Prior Release, the Equity
Investment Release, and the Leveraged Loan Release, the ``Prior
Releases'').
    \5\ A Managed Fund Share is a security that represents an
interest in an investment company registered under the Investment
Company Act of 1940 (15 U.S.C. 80a-1) (``1940 Act'') organized as an
open-end investment company or similar entity that invests in a
portfolio of securities selected by its investment adviser
consistent with its investment objectives and policies. In contrast,
an open-end investment company that issues Investment Company Units,
listed and traded on the Exchange under NYSE Arca Equities Rule
5.2(j)(3), seeks to provide investment results that correspond
generally to the price and yield performance of a specific foreign
or domestic stock index, fixed income securities index or
combination thereof.
---------------------------------------------------------------------------

    The Shares are offered by AdvisorShares Trust (the ``Trust''), a

statutory trust organized under the laws of the State of Delaware and
registered with the Commission as an open-end management investment
company.\6\ The Fund's Shares are currently listed and traded on the
Exchange under NYSE Arca Equities Rule 8.600.
---------------------------------------------------------------------------

    \6\ The Trust is registered under the 1940 Act. On October 29,
2012, the Trust filed with the Commission an amendment to its
registration statement on Form N-1A under the Securities Act of 1933
(15 U.S.C. 77a) and the 1940 Act relating to the Fund (File Nos.
333-157876 and 811-22110) (the ``Registration Statement''). The
description of the operation of the Trust and the Fund herein is
based, in part, on the Registration Statement. In addition, the
Commission has issued an order granting certain exemptive relief to
the Trust under the 1940 Act. See Investment Company Act Release No.
29291 (May 28, 2010) (File No. 812-13677) (``Exemptive Order'').
---------------------------------------------------------------------------

    The investment adviser to the Fund is AdvisorShares Investments,
LLC (the ``Adviser''). Peritus I Asset Management, LLC is the Fund's
sub-adviser (``Peritus'' or the ``Sub-Adviser'').
    According to the Registration Statement and as stated in the Prior
Release, the Fund's investment objective is to achieve high current
income with a secondary goal of capital appreciation. The Sub-Adviser
seeks to achieve the Fund's investment objective by selecting, among
other investments, a focused portfolio of high yield debt securities,
which include senior and subordinated corporate debt obligations (such
as bonds, debentures, notes and commercial paper). The Fund does not
have any portfolio maturity limitation and may invest its assets from
time to time primarily in instruments with short-term, medium-term or
long-term maturities. The Adviser represents that the investment
objective of the Fund is not changing.
    As stated in the Prior Release, the Fund's portfolio typically
consists of 40-60 holdings, which are disclosed on its Web site
(www.advisorshares.com) daily after the close of trading on the
Exchange (normally, 4:00 p.m., Eastern time) and prior to the opening
of trading on the Exchange the following day.
    The Exchange proposes to reflect a change to be implemented by the
Fund with respect to the number of holdings that will be included in
the Fund's portfolio. Specifically, going forward, under normal
circumstances,\7\ the Fund's portfolio will consist of 40-100 holdings;
however, the Fund's portfolio may consist of more than 100 holdings if
such increase is in the Fund's best interest.\8\
---------------------------------------------------------------------------

    \7\ The term ``under normal circumstances'' includes, but is not
limited to, the absence of adverse market, economic, political or
other conditions, including extreme volatility or trading halts in
the fixed income markets or the financial markets generally;
operational issues causing dissemination of inaccurate market
information; or force majeure type events such as systems failure,
natural or man-made disaster, act of God, armed conflict, act of
terrorism, riot or labor disruption or any similar intervening
circumstance.
    \8\ The change to the number of the Fund's holdings will be
effective upon filing with the Commission of an amendment to the
Trust's Registration Statement on Form N-1A, and shareholders will
be notified of such change by means of such amendment.
---------------------------------------------------------------------------

    Pursuant to the terms of the Exemptive Order, the Fund will not
invest in options contracts, futures contracts or swap agreements. The
Fund's investments will be consistent with its investment objective and
will not be used to enhance leverage.
    As stated in the Prior Release, on a daily basis, the Adviser
discloses for each portfolio security or other financial instrument of
the Fund the following information: ticker symbol (if applicable), name
of security or financial instrument, number of shares or dollar value
of financial instruments held in the portfolio, and percentage
weighting of the security or financial instrument in the portfolio. All
representations made in the Prior Releases regarding the availability
of information relating to the Shares, trading halts, trading rules,
the Portfolio Indicative Value and surveillance, among others, will
continue to apply to trading in the Shares.
    The Adviser represents that the proposed change to permit an
increase in the number of portfolio holdings, as described above, is
consistent with the Fund's investment objective, and will further
assist the Adviser and Sub-Adviser to achieve such investment
objective. Because the size of the Fund has grown substantially since
its inception, in terms of market capitalization and Shares
outstanding, the Adviser and Sub-Adviser believe that it is appropriate
for the Fund to increase the number of securities in which the Fund may
invest under normal circumstances for the purpose of allowing the Fund
to take advantage of an increased number of investment opportunities in
the fixed income and equities markets. Such an increase will provide
the Fund with additional flexibility to achieve high current income
through investments in fixed income and equity securities, and to
achieve the secondary goal of capital appreciation through possible
price appreciation of such investments. Except for the change noted
above, all other representations made in the Prior Releases remain
unchanged.\9\ The Fund will continue to comply with all initial and
continued listing requirements under NYSE Arca Equities Rule 8.600.
---------------------------------------------------------------------------

    \9\ See note 4, supra. All terms referenced but not defined
herein are defined in the Prior Release.
---------------------------------------------------------------------------

2. Statutory Basis
    The basis under the Act for this proposed rule change is the
requirement under Section 6(b)(5) \10\ that an exchange have rules that
are designed to prevent fraudulent and manipulative acts and practices,
to promote just and equitable principles of trade, to remove
impediments to, and perfect the mechanism of a free and open market
and, in general, to protect investors and the public interest.
---------------------------------------------------------------------------

    \10\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Exchange believes that the proposed rule change is designed to
prevent fraudulent and manipulative acts and practices in that the
Shares will be listed and traded on the Exchange pursuant to the
initial and continued listing criteria in NYSE Arca Equities Rule
8.600. The Exchange has in place surveillance procedures that are
adequate to properly monitor trading in the Shares in all trading
sessions and to deter and detect violations of Exchange rules and
applicable federal securities laws. The Exchange may obtain information
via the Intermarket Surveillance Group (``ISG'') from other exchanges
that are members of ISG or with which the Exchange has entered into a
comprehensive surveillance sharing agreement.
    The proposed rule change is designed to promote just and equitable
principles of trade and to protect investors and the public interest in
that the NAV per Share is calculated daily and that the NAV and the
Disclosed Portfolio is made available to all market participants at the
same time. In addition, a large amount of information is publicly
available regarding the Fund and the Shares, thereby promoting market
transparency. The Portfolio Indicative Value, as defined in NYSE Arca
Equities Rule 8.600(c)(3), is disseminated by one or more major market
data vendors at least every 15 seconds during the Exchange's Core
Trading Session. On a daily basis, the Adviser discloses for each
portfolio security or other financial instrument of the Fund the
following information: ticker symbol (if applicable), name of security
or financial instrument, number of shares or dollar value of financial
instruments held in the portfolio, and percentage weighting of the
security or financial instrument in the portfolio. The Fund's holdings
are disclosed on its Web site daily after the close of trading on the
Exchange and prior to the opening of trading on the Exchange the
following day. Information regarding

market price and trading volume of the Shares is and will be
continually available on a real-time basis throughout the day on
brokers' computer screens and other electronic services, and quotation
and last sale information is available via the Consolidated Tape
Association high-speed line. Price information regarding the Fund's
fixed income investments is available from major market data vendors.
The intra-day, closing and settlement prices for exchange-listed equity
securities held by the Fund are also readily available from the
national securities exchanges trading such securities. Trading in
Shares of the Fund will be halted if the circuit breaker parameters in
NYSE Arca Equities Rule 7.12 have been reached or because of market
conditions or for reasons that, in the view of the Exchange, make
trading in the Shares inadvisable. Trading in the Shares is subject to
NYSE Arca Equities Rule 8.600(d)(2)(D), which sets forth circumstances
under which Shares of the Fund may be halted. The Web site for the Fund
includes a form of the prospectus for the Fund and additional data
relating to NAV and other applicable quantitative information. In
addition, as stated in the Prior Notice, investors have ready access to
information regarding the Fund's holdings, the Portfolio Indicative
Value, the Disclosed Portfolio, and quotation and last sale information
for the Shares.
    The proposed rule change is designed to perfect the mechanism of a
free and open market and, in general, to protect investors and the
public interest. As noted above, the Exchange has in place surveillance
procedures relating to trading in the Shares and may obtain information
via ISG from other exchanges that are members of ISG or with which the
Exchange has entered into a comprehensive surveillance sharing
agreement. In addition, as stated in the Prior Release, investors have
ready access to information regarding the Fund's holdings, the
Portfolio Indicative Value, the Disclosed Portfolio, and quotation and
last sale information for the Shares. The Adviser represents that the
proposed change to permit an increase in the number of portfolio
holdings, as described above, is consistent with the Fund's investment
objective, and will further assist the Adviser and Sub-Adviser to
achieve such investment objective. Such an increase may further the
public interest by providing the Fund with additional flexibility to
achieve high current income through investments in fixed income and
equity securities, and to achieve the secondary goal of capital
appreciation through possible price appreciation of such investments.

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 purpose of the Act. The Exchange believes the
proposed rule change, in permitting the Fund, under normal
circumstances, to hold an increased number of securities as part of its
portfolio, will help the Fund to achieve its investment objective, and
will enhance competition among issues of Managed Fund Shares that
invest in fixed income and equity securities.

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

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

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

    Because the foregoing proposed rule change does not: (i)
significantly affect the protection of investors or the public
interest; (ii) impose any significant burden on competition; and (iii)
become operative for 30 days from the date on which it was filed, or
such shorter time as the Commission may designate, 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
\11\ and Rule 19b-4(f)(6)(iii) thereunder.\12\
---------------------------------------------------------------------------

    \11\ 15 U.S.C. 78s(b)(3)(A).
    \12\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change at
least five business days prior to the date of filing of the proposed
rule change, or such shorter time as designated by the Commission.
The Exchange has satisfied this requirement.
---------------------------------------------------------------------------

    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.

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-2014-103 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-2014-103.
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 such filing will also 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-2014-103 and should be submitted on or before October 17,
2014.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\13\
---------------------------------------------------------------------------

    \13\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2014-22993 Filed 9-25-14; 8:45 am]
BILLING CODE 8011-01-P


Comment Info: =================

General Comment:Attached please find a Notice of Additional Codesharing filed by Air France and  Northwest.


[Federal Register Volume 76, Number 59 (Monday, March 28, 2011)]
[Notices]
[Pages 17182-17183]
[FR Doc No: 2011-7179]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

Agency Information Collection Activities: Proposed Collection;
Comment Request; Generic Clearance for the Collection of Qualitative
Feedback on Agency Service Delivery

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: 30-Day notice of submission of information collection approval
from the Office of Management and Budget and request for comments.

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

SUMMARY: As part of a Federal Government-wide effort to streamline the
process to seek feedback from the public on service delivery, FAA has
submitted a Generic Information Collection Request (Generic ICR):
``Generic Clearance for the Collection of Qualitative Feedback on
Agency Service Delivery '' to OMB for approval under the Paperwork
Reduction Act (PRA) (44 U.S.C. 3501 et seq.).

DATES: Comments must be submitted by April 27, 2011.

ADDRESSES: Interested persons are invited to submit written comments on
the proposed information collection to the Office of Information and
Regulatory Affairs, Office of Management and Budget. Comments should be
addressed to the attention of the Desk Officer, Department of
Transportation/FAA, and sent via electronic mail to<EMAIL_ADDRESS>or faxed to<PHONE_NUMBER>, or mailed to the
Office of Information and Regulatory Affairs, Office of Management and
Budget, Docket Library, Room 10102, 725 17th Street, NW., Washington,
DC 20503.

FOR FURTHER INFORMATION CONTACT: Carla Scott on<PHONE_NUMBER>, or by
e-mail at<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:
    Title: Generic Clearance for the Collection of Qualitative Feedback
on Agency Service Delivery.
    Abstract: The information collection activity will garner
qualitative customer and stakeholder feedback in an efficient, timely
manner, in accordance with the Administration's commitment to improving
service delivery. By qualitative feedback we mean information that
provides useful insights on perceptions and opinions, but are not
statistical surveys that yield quantitative results that can be
generalized to the population of study. This feedback will provide
insights into customer or stakeholder perceptions, experiences and
expectations, provide an early warning of issues with service, or focus
attention on areas where communication, training or changes in
operations might improve delivery of products or services. These
collections will allow for ongoing, collaborative and actionable
communications between the Agency and its customers and stakeholders.
It will also allow feedback to contribute directly to the improvement
of program management.
    Feedback collected under this generic clearance will provide useful
information, but it will not yield data that can be generalized to the
overall population. This type of generic clearance for qualitative
information will not be used for quantitative information collections
that are designed to yield reliably actionable results, such as
monitoring trends over time or documenting program performance. Such
data uses require more rigorous designs that address: the target
population to which generalizations will be made, the sampling frame,
the sample design (including stratification and clustering), the
precision requirements or power calculations that justify the proposed
sample size, the expected response rate, methods for assessing
potential non-response bias, the protocols for data collection, and any
testing procedures that were or will be undertaken prior to fielding
the study. Depending on the degree of influence the results are likely
to have, such collections may still be eligible for submission for
other generic mechanisms that are designed to yield quantitative
results.
    The FAA received no comments in response to the 60-day notice
published in the Federal Register of December 22, 2010 (75 FR 80542).

    Below we provide FAA's projected average estimates for the next
three years: \1\
---------------------------------------------------------------------------

    \1\ The 60-day notice included the following estimate of the
aggregate burden hours for this generic clearance Federal-wide:
    Average Expected Annual Number of activities: 25,000.
    Average number of Respondents per Activity: 200.
    Annual responses: 5,000,000.
    Frequency of Response: Once per request.
    Average minutes per response: 30.
    Burden hours: 2,500,000.
---------------------------------------------------------------------------

    Current Actions: New collection of information.
    Type of Review: New Collection.
    Affected Public: Individuals and Households, Businesses and
Organizations, State, Local or Tribal Government.
    Average Expected Annual Number of activities: 2.
    Respondents: 2,813.
    Annual responses: 2,813.
    Frequency of Response: Once per request.
    Average minutes per response: 15.
    Burden hours: 704.
    An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid Office of Management and Budget control number.
    Public Comments Invited: You are asked to comment on any aspect of
this information collection, including (a) Whether the proposed
collection of information is necessary for FAA's performance; (b) the
accuracy of the estimated burden; (c) ways for FAA to enhance the
quality, utility and clarity of the information collection; and (d)
ways that the burden could be minimized without reducing the quality of
the collected information. The agency will summarize and/or include
your comments in the request for OMB's clearance of this information
collection.

    Issued in Washington, DC, on March 21, 2011.
Carla Scott,
FAA Information Collection Clearance Officer, IT Enterprises Business
Services Division, AES-200.
[FR Doc. 2011-7179 Filed 3-25-11; 8:45 am]
BILLING CODE 4910-13-P


[Federal Register: December 19, 2006 (Volume 71, Number 243)]
[Notices]
[Page 76007]
[DOCID:fr19de06-97]

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SECURITIES AND EXCHANGE COMMISSION

Proposed Collection; Comment Request

Upon written request, copies available from: Securities and Exchange
Commission, Office of Filings and Information Services, Washington, DC
20549-0004.

Extension: Form 1-E, Regulation E; SEC File No. 270-221; OMB Control
No. 3235-0232.

    Notice is hereby given that, pursuant to the Paperwork Reduction
Act of 1995 (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') is soliciting comments on the collections
of information summarized below. The Commission plans to submit the
existing collection of information of the Office of Management and
Budget (``OMB'') for extension and approval.
    Form 1-E (17 CFR 239.200) under the Securities Act of 1933 (15
U.S.C. 77a et seq.) (``Securities Act'') is the form that a small
business investment company (``SBIC'') or business development company
(``BDC'') uses to notify the Commission that it is claiming an
exemption under Regulation E from registering its securities under the
Securities Act. Rule 605 of Regulation E (17 CFR 230.605) under the
Securities Act requires an SBIC or BDC claiming such an exemption to
file an offering circular with the Commission that must also be
provided to persons to whom an offer is made. Form 1-E requires an
issuer to provide the names and addresses of the issuer, its
affiliates, directors, officers, and counsel; a description of events
which would make the exemption unavailable; the jurisdiction in which
the issuer intends to offer its securities; information about
unregistered securities issued or sold by the issuer within one year
before filing the notification on Form 1-E; information as to whether
the issuer is presently offering or contemplating offering any other
securities; and exhibits, including copies of the rule 605 offering
circular and any underwriting contracts.
    The Commission uses the information provided in the notification on
Form 1-E and the offering circular to determine whether an offering
qualifies for the exemption under Regulation E. It is estimated that
approximately ten issuers file notifications, together with attached
offering circulars, on Form 1-E with the Commission annually. The
Commission estimates that the total burden hours for preparing these
notifications would be 1,000 hours in the aggregate. Estimates of the
burden hours are made solely for the purposes of the PRA, and are not
derived from a comprehensive or even a representative survey or study
of the costs of SEC rules and forms.
    Written comments are invited on: (a) Whether the proposed
collection of information is necessary for the proper performance of
the functions of the agency, including whether the information will
have practical utility; (b) the accuracy of the agency's estimate of
the burden of the collection of information; (c) ways to enhance the
quality, utility, and clarity of the information collected; and (d)
ways to minimize the burden of the collection of information on
respondents, including through the use of automated collection
techniques or other forms of information technology. Consideration will
be given to comments and suggestions submitted in writing within 60
days of this publication.
    Please direct your written comments to R. Corey Booth, Director/
Chief Information Officer, Securities and Exchange Commission, C/O
Shirley Martinson, 6432 General Green Way, Alexandria, Virginia, 22312;
or send an e-mail to<EMAIL_ADDRESS>
    Dated: December 11, 2006.
Nancy M. Morris,
Secretary.
 [FR Doc. E6-21596 Filed 12-18-06; 8:45 am]

BILLING CODE 8011-01-P


2015 Ozone Transport FIP Meeting Title:Good Neighbor Plan Proposal Comments Submitted by MISO Date/Time: 9/20/2022, 9-10 AM EST Agenda/Meeting Summary: Stakeholder engagement conducted to discuss the questions and concerns identified in the comment submissions regarding ensuring electric reliability under the proposed rule raised by reliability authorities during the GNP comment period.  Participants/Affiliations: Name Affiliation Corcoran, Katherine EPA Smith, Freedom MISO Lalani, Imran EPA Lifland, David EPA Schramm, Daniel EPA Powers, Garrett EPA Quintin Thompson MISO Fisher, Brian EPA James Okullo MISO Profeta, Timothy EPA Jordan Bakke MISO Birnbaum, Rona EPA Kurt Bilas MISO LaCount, Melanie EPA Murray, Beth EPA Brian Hansen MISO Timothy Caister MISO Anna Foglesong MISO Mark, Jeremy EPA


[Federal Register Volume 86, Number 154 (Friday, August 13, 2021)]
[Rules and Regulations]
[Pages 44618-44620]
[FR Doc No: 2021-17184]

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ENVIRONMENTAL PROTECTION AGENCY

40 CFR Part 180

[EPA-HQ-OPP-2021-0066; FRL-8671-01-OCSPP]

Emamectin benzoate; Pesticide Tolerances

AGENCY: Environmental Protection Agency (EPA).

ACTION: Final rule.

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SUMMARY: This regulation establishes tolerances for residues of
emamectin benzoate in or on soybean, seed. Syngenta Crop Protection,
LLC, requested these tolerances under the Federal Food, Drug, and
Cosmetic Act (FFDCA).

DATES: This regulation is effective August 13, 2021. Objections and
requests for hearings must be received on or before October 12, 2021,
and must be filed in accordance with the instructions provided in 40
CFR part 178 (see also Unit I.C. of the SUPPLEMENTARY INFORMATION).

ADDRESSES: The docket for this action, identified by docket
identification (ID) number EPA-HQ-OPP-2021-0066, is available at http://www.regulations.gov or at the Office of Pesticide Programs Regulatory
Public Docket (OPP Docket) in the Environmental Protection Agency
Docket Center (EPA/DC), West William Jefferson Clinton Bldg., Rm. 3334,
1301 Constitution Ave. NW, Washington, DC 20460-0001. The Public
Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through
Friday, excluding legal holidays. The telephone number for the Public
Reading Room is<PHONE_NUMBER>, and the telephone number for the OPP
Docket is<PHONE_NUMBER>.
    Due to the public health concerns related to COVID-19, the EPA
Docket Center (EPA/DC) and Reading Room is closed to visitors with
limited exceptions. The staff continues to provide remote customer
service via email, phone, and webform. For the latest status
information on EPA/DC services and docket access, visit https://www.epa.gov/dockets.

FOR FURTHER INFORMATION CONTACT: Marietta Echeverria, Registration
Division (7505P), Office of Pesticide Programs, Environmental
Protection Agency, 1200 Pennsylvania Ave. NW, Washington, DC 20460-
0001; main telephone number:<PHONE_NUMBER>; email address:
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. General Information

A. Does this action apply to me?

    You may be potentially affected by this action if you are an
agricultural producer, food manufacturer, or pesticide manufacturer.
The following list of North American Industrial Classification System
(NAICS) codes is not intended to be exhaustive, but rather provides a
guide to help readers determine whether this document applies to them.
Potentially affected entities may include:

 Crop production (NAICS code 111).
 Animal production (NAICS code 112).
 Food manufacturing (NAICS code 311).
 Pesticide manufacturing (NAICS code 32532).

B. How can I get electronic access to other related information?

    You may access a frequently updated electronic version of EPA's
tolerance regulations at 40 CFR part 180 through the Government
Publishing Office's e-CFR site at http://www.ecfr.gov/cgi-bin/text-idx?&c=ecfr&tpl=/ecfrbrowse/Title40/40tab_02.tpl.

C. How can I file an objection or hearing request?

    Under FFDCA section 408(g), 21 U.S.C. 346a, any person may file an
objection to any aspect of this regulation and may also request a
hearing on those objections. You must file your objection or request a
hearing on this regulation in accordance with the instructions provided
in 40 CFR part 178. To ensure proper receipt by EPA, you must identify
docket ID number EPA-HQ-OPP-2021-0066 in the subject line on the first
page of your submission. All objections and requests for a hearing must
be in writing and must be received by the Hearing Clerk on or before
October 12, 2021. Addresses for mail and hand delivery of objections
and hearing requests are provided in 40 CFR 178.25(b).
    In addition to filing an objection or hearing request with the
Hearing Clerk as described in 40 CFR part 178, please submit a copy of
the filing (excluding any Confidential Business Information (CBI)) for
inclusion in the public docket. Information not marked confidential
pursuant to 40 CFR part 2 may be disclosed publicly by EPA without
prior notice. Submit the non-CBI copy of your objection or hearing
request, identified by docket ID number EPA-HQ-OPP-2019-0387, by one of
the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov.
Follow the online instructions for submitting comments. Do not submit
electronically any information you consider to be CBI or other
information whose disclosure is restricted by statute.
     Mail: OPP Docket, Environmental Protection Agency Docket
Center (EPA/DC), (28221T), 1200 Pennsylvania Ave. NW, Washington, DC
20460-0001.
     Hand Delivery: To make special arrangements for hand
delivery or delivery of boxed information, please follow the
instructions at http://www.epa.gov/dockets/contacts.html.
    Additional instructions on commenting or visiting the docket, along
with more information about dockets generally, is available at http://www.epa.gov/dockets.

II. Summary of Petitioned-For Tolerance

    In the Federal Register of March 22, 2021 (86 FR 15162) (FRL-10021-
44), EPA issued a document pursuant to FFDCA section 408(d)(3), 21
U.S.C. 346a(d)(3), announcing the filing of a pesticide petition (PP
9F8817) by Syngenta Crop Protection, LLC, 410 Swing Road, Greensboro,
NC 27409. The petition requested that 40 CFR part 180 be amended by
establishing a tolerance for residues of insecticide emamectin benzoate
(a mixture of a minimum of 90% 4'-epi-methylamino-4'- deoxyavermectin
B1a and a maximum of 10% 4'-epi-methylamino-4'deoxyavermectin B1b
benzoate), and its metabolites 8,9 isomer of the B1a and B1b component
of the parent insecticide in or on soybean, seed at 0.01 parts per
million (ppm). That document referenced a summary of the petition
prepared by Syngenta Crop Protection, LLC, the registrant, which is
available in the docket, https://www.regulations.gov/docket/EPA-HQ-OPP-2021-0066. There were no comments received in response to the notice of
filing.

III. Aggregate Risk Assessment and Determination of Safety

    Section 408(b)(2)(A)(i) of FFDCA allows EPA to establish a
tolerance (the legal limit for a pesticide chemical residue in or on a
food) only if EPA determines that the tolerance is ``safe.'' Section
408(b)(2)(A)(ii) of FFDCA defines ``safe'' to mean that ``there is a
reasonable certainty that no harm will result from aggregate exposure
to the pesticide chemical residue, including all anticipated dietary
exposures and all other exposures for which there is reliable
information.'' This includes exposure through drinking water and in
residential settings but does not include occupational exposure.
Section 408(b)(2)(C) of FFDCA requires EPA to give special
consideration to exposure

of infants and children to the pesticide chemical residue in
establishing a tolerance and to ``ensure that there is a reasonable
certainty that no harm will result to infants and children from
aggregate exposure to the pesticide chemical residue . . . .''
    Consistent with FFDCA section 408(b)(2)(D), and the factors
specified in FFDCA section 408(b)(2)(D), EPA has reviewed the available
scientific data and other relevant information in support of this
action. EPA has sufficient data to assess the hazards of and to make a
determination on aggregate exposure for emamectin including exposure
resulting from the tolerance established by this action. EPA's
assessment of exposures and risks associated with emamectin follows.
    In an effort to streamline Federal Register publications, EPA is
not reprinting sections of the rule that would repeat what has been
previously published in tolerance rulemakings for the same pesticide
chemical. Where scientific information concerning a particular chemical
remains unchanged, the content of those sections would not vary between
tolerance rulemakings, and republishing the same sections is
unnecessary. EPA considers referral back to those sections as
sufficient to provide an explanation of the information EPA considered
in making its safety determination for the new rulemaking.
    EPA has previously published a number of tolerance rulemakings for
emamectin, in which EPA concluded, based on the available information,
that there is a reasonable certainty that no harm would result from
aggregate exposure to emamectin and established tolerances for residues
of that chemical. EPA is incorporating previously published sections
from those rulemakings as described further in this rulemaking, as they
remain unchanged.
    Toxicological profile. The Toxicological Profile of emamectin
remains unchanged from the Toxicological Profile in Unit III.A. of the
August 27, 2019 rulemaking (84 FR 44718) (FRL-9997-10). Refer to that
section for a discussion of the Toxicological Profile of emamectin.
    Toxicological points of departure/Levels of concern. The
Toxicological Points of Departure/Levels of Concern used for the safety
assessment remain unchanged from Unit III.B. of the August 27, 2019
rulemaking. For a summary, refer to that discussion.
    Exposure assessment. Much of the exposure assessment remains the
same, although updates have occurred to accommodate exposures from the
petitioned-for tolerance. These updates are discussed in this section;
for a description of the rest of the EPA approach to and assumptions
for the exposure assessment, see Unit III. C. of the August 27, 2019
rulemaking.
    EPA's dietary exposure assessments have been updated to include the
additional exposure from the new use of emamectin on soybean, seed. All
other assumptions in the exposure assessments for emamectin remain the
same as in the August 27, 2019 rulemaking.
    Drinking water and non-occupational exposures. Drinking water
exposures and residential (non-occupational) exposures are not impacted
by the new use, and thus have not changed since the last assessment.
    There are no proposed residential uses of emamectin that would
result in residential exposures. As a result, there are no residential
risk estimates recommended for use in the aggregate risk assessment for
emamectin.
    Cumulative exposures. Section 408(b)(2)(D)(v) of FFDCA requires
that, when considering whether to establish, modify, or revoke a
tolerance, the Agency consider ``available information'' concerning the
cumulative effects of a particular pesticide's residues and ``other
substances that have a common mechanism of toxicity.'' For the new uses
of emamectin, the quantitative exposures to residues of emamectin
remain unchanged, and the cumulative exposures remain identical to
those as assessed within the 2021 cumulative assessment. There are no
risks of concern resulting from these cumulative exposures.
    Safety factor for infants and children. The scientific information
underpinning EPA's prior safety factor determination remains unchanged
from the August 27, 2019 rulemaking. EPA continues to conclude that
there is reliable data to support the reduction of the Food Quality
Protection Act (FQPA) safety factor. See Unit III.D. of the August 27,
2019 rulemaking for a discussion of the Agency's rationale for that
determination.
    Aggregate risks and determination of safety. EPA determines whether
acute and chronic dietary pesticide exposures are safe by comparing
aggregate exposure estimates to the acute PAD (aPAD) and chronic PAD
(cPAD). Short-, intermediate-, and chronic-term risks are evaluated by
comparing the estimated aggregate food, water, and residential exposure
to the appropriate points of departure to ensure that an adequate
margin of exposure (MOE) exists. For linear cancer risks, EPA
calculates the lifetime probability of acquiring cancer given the
estimated aggregate exposure.
    Acute dietary risks are below the Agency's level of concern: 30% of
the acute population adjusted dose (aPAD) for children 1 to 2 years
old, the population group of concern. Chronic dietary risks are below
the Agency's level of concern: 3.8% of the chronic population adjusted
dose (cPAD) for children 1 to 2 years old, the group with the highest
exposure. Emamectin is classified as ``Not likely to be Carcinogenic to
Humans'', therefore, a cancer dietary exposure analysis was not
performed.
    There are no registered uses of emamectin that would result in
residential exposure; therefore, aggregate exposure and risk estimates
are equivalent to the dietary exposure and risk estimates and are not
of concern. Using the exposure assumptions described for acute and
chronic exposures, EPA has concluded the combined dermal and inhalation
exposures result in aggregate margins of exposures for handler
scenarios ranging from 200 to 27,000 and post-application scenarios
ranging from 48,000 to 750,000, which are not of concern because they
exceed EPA's level of concern (MOEs less than or equal to 100).
    Therefore, based on the risk assessments and information described
above, EPA concludes there is a reasonable certainty that no harm will
result to the general population, or to infants and children from
aggregate exposure to emamectin residues. More detailed information
about the Agency's analysis can be found at http://www.regulations.gov
in the document titled ``Emamectin Benzoate; Human Health Risk
Assessment for a Proposed New Use on Soybean'' in docket ID number EPA-
HQ-OPP-2021-0066.

IV. Other Considerations

A. Analytical Enforcement Methodology

    For a discussion of the available analytical enforcement method,
see Unit IV.A. of the August 27, 2019 rulemaking.

B. International Residue Limits

    In making its tolerance decisions, EPA seeks to harmonize U.S.
tolerances with international standards whenever possible, consistent
with U.S. food safety standards and agricultural practices. EPA
considers the international maximum residue limits (MRLs) established
by the Codex Alimentarius Commission (Codex), as required by FFDCA
section 408(b)(4).
    The Codex has not established MRLs for residues of emamectin on
soybeans.

V. Conclusion

    Therefore, tolerances are established for residues of emamectin
benzoate (a mixture of a minimum of 90% 4'-epi-methylamino-4'-
deoxyavermectin B1a and a maximum of 10% 4'-epi-methlyamino-
4'deoxyavermectin B1b benzoate) and its metabolites in or on in or on
the soybean, seed at 0.01 ppm.

VI. Statutory and Executive Order Reviews

    This action establishes a tolerance under FFDCA section 408(d) in
response to a petition submitted to the Agency. The Office of
Management and Budget (OMB) has exempted these types of actions from
review under Executive Order 12866, entitled ``Regulatory Planning and
Review'' (58 FR 51735, October 4, 1993). Because this action has been
exempted from review under Executive Order 12866, this action is not
subject to Executive Order 13211, entitled ``Actions Concerning
Regulations That Significantly Affect Energy Supply, Distribution, or
Use'' (66 FR 28355, May 22, 2001) or Executive Order 13045, entitled
``Protection of Children from Environmental Health Risks and Safety
Risks'' (62 FR 19885, April 23, 1997). This action does not contain any
information collections subject to OMB approval under the Paperwork
Reduction Act (PRA) (44 U.S.C. 3501 et seq.), nor does it require any
special considerations under Executive Order 12898, entitled ``Federal
Actions to Address Environmental Justice in Minority Populations and
Low-Income Populations'' (59 FR 7629, February 16, 1994).
    Since tolerances and exemptions that are established on the basis
of a petition under FFDCA section 408(d), such as the tolerance in this
final rule, do not require the issuance of a proposed rule, the
requirements of the Regulatory Flexibility Act (RFA) (5 U.S.C. 601 et
seq.), do not apply.
    This action directly regulates growers, food processors, food
handlers, and food retailers, not States or Tribes, nor does this
action alter the relationships or distribution of power and
responsibilities established by Congress in the preemption provisions
of FFDCA section 408(n)(4). As such, the Agency has determined that
this action will not have a substantial direct effect on States or
Tribal Governments, on the relationship between the National Government
and the States or Tribal Governments, or on the distribution of power
and responsibilities among the various levels of government or between
the Federal Government and Indian Tribes. Thus, the Agency has
determined that Executive Order 13132, entitled ``Federalism'' (64 FR
43255, August 10, 1999) and Executive Order 13175, entitled
``Consultation and Coordination with Indian Tribal Governments'' (65 FR
67249, November 9, 2000) do not apply to this action. In addition, this
action does not impose any enforceable duty or contain any unfunded
mandate as described under Title II of the Unfunded Mandates Reform Act
(UMRA) (2 U.S.C. 1501 et seq.).
    This action does not involve any technical standards that would
require Agency consideration of voluntary consensus standards pursuant
to section 12(d) of the National Technology Transfer and Advancement
Act (NTTAA) (15 U.S.C. 272 note).

VII. Congressional Review Act

    Pursuant to the Congressional Review Act (5 U.S.C. 801 et seq.),
EPA will submit a report containing this rule and other required
information to the U.S. Senate, the U.S. House of Representatives, and
the Comptroller General of the United States prior to publication of
the rule in the Federal Register. This action is not a ``major rule''
as defined by 5 U.S.C. 804(2).

List of Subjects in 40 CFR Part 180

    Environmental protection, Administrative practice and procedure,
Agricultural commodities, Pesticides and pests, Reporting and
recordkeeping requirements.

    Dated: July 29, 2021.
Marietta Echeverria,
Acting Director, Registration Division, Office of Pesticide Programs.

    Therefore, for the reasons stated in the preamble, EPA is amending
40 CFR chapter I as follows:

PART 180--TOLERANCES AND EXEMPTIONS FOR PESTICIDE CHEMICAL RESIDUES
IN FOOD

0
1. The authority citation for part 180 continues to read as follows:

    Authority: 21 U.S.C. 321(q), 346a and 371.

0
2. In Sec.  180.505, add alphabetically the entry ``Soybean, seed'' to
table 1 to paragraph (a)(1) to read as follows:

Sec.  180.505  Emamectin; tolerances for residues.

    (a) * * *
    (1) * * *

                       Table 1 to Paragraph (a)(1)
------------------------------------------------------------------------
                                                               Parts per
                          Commodity                             million
------------------------------------------------------------------------

                                * * * * *
Soybean, seed...............................................        0.01

                                * * * * *
------------------------------------------------------------------------

* * * * *
[FR Doc. 2021-17184 Filed 8-12-21; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register: May 16, 2006 (Volume 71, Number 94)]
[Notices]
[Page 28316]
[DOCID:fr16my06-66]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. RP06-346-000]

Puget Sound Energy, Inc.; Notice of Proposed Changes in FERC Gas
Tariff

May 9, 2006.
    Take notice that on May 3, 2006, Puget Sound Energy, Inc. (Puget)
tendered for filing as part of its FERC Gas Tariff, Original Volume No.
1, the following tariff sheets, to be effective June 3, 2006:

Fifth Revised Sheet No. 1
Original Sheet Nos. 122 through 126

    Any person desiring to intervene or to protest this filing must
file in accordance with Rules 211 and 214 of the Commission's Rules of
Practice and Procedure (18 CFR 385.211 and 385.214). Protests will be
considered by the Commission in determining the appropriate action to
be taken, but will not serve to make protestants parties to the
proceeding. Any person wishing to become a party must file a notice of
intervention or motion to intervene, as appropriate. Such notices,
motions, or protests must be filed in accordance with the provisions of
Section 154.210 of the Commission's regulations (18 CFR 154.210).
Anyone filing an intervention or protest must serve a copy of that
document on the Applicant. Anyone filing an intervention or protest on
or before the intervention or protest date need not serve motions to
intervene or protests on persons other than the Applicant.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper using the ``eFiling'' link at http://www.ferc.gov.
 Persons unable to file electronically should submit an

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

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

TTY, call<PHONE_NUMBER>.

Magalie R. Salas,
Secretary.
 [FR Doc. E6-7379 Filed 5-15-06; 8:45 am]

BILLING CODE 6717-01-P


From:   "Pugh, Theresa" <  HYPERLINK<EMAIL_ADDRESS><EMAIL_ADDRESS>>

To:     Lanelle Wiggins/DC/USEPA/US@EPA, "  HYPERLINK
<EMAIL_ADDRESS><EMAIL_ADDRESS>"

            <  HYPERLINK<EMAIL_ADDRESS><EMAIL_ADDRESS>>, "  HYPERLINK
<EMAIL_ADDRESS><EMAIL_ADDRESS>"

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            "  HYPERLINK<EMAIL_ADDRESS><EMAIL_ADDRESS>" <  HYPERLINK<EMAIL_ADDRESS><EMAIL_ADDRESS>>,

            "  HYPERLINK<EMAIL_ADDRESS><EMAIL_ADDRESS>" <  HYPERLINK<EMAIL_ADDRESS><EMAIL_ADDRESS>>,

            "  HYPERLINK<EMAIL_ADDRESS><EMAIL_ADDRESS>" <  HYPERLINK<EMAIL_ADDRESS><EMAIL_ADDRESS>>,

            "  HYPERLINK<EMAIL_ADDRESS><EMAIL_ADDRESS>" <  HYPERLINK<EMAIL_ADDRESS><EMAIL_ADDRESS>>,

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            <  HYPERLINK<EMAIL_ADDRESS><EMAIL_ADDRESS>>, Caryn Muellerleile/DC/USEPA/US@EPA,

            "Wehrum, William L." <  HYPERLINK
<EMAIL_ADDRESS><EMAIL_ADDRESS>>, RobertJ

            Wayland/RTP/USEPA/US@EPA, "Nipper, Joe"

            <  HYPERLINK<EMAIL_ADDRESS><EMAIL_ADDRESS>>, "Spooner, Brad"

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            <  HYPERLINK<EMAIL_ADDRESS><EMAIL_ADDRESS>>, "Voyles, Seth"

            <  HYPERLINK<EMAIL_ADDRESS><EMAIL_ADDRESS>>

Date:   07/06/2011 02:22 PM

Subject:        NRECA/APPA follow up with suggestions for EPA's
July 13 NSPS meeting

July 6, 2011

Ms. Lanelle Bembenek Wiggins

RFA/SBREFA Team Leader

U.S. Environmental Protection Agency

Office of Policy

1200 Pennsylvania Avenue, NW (1806A)

Washington, DC  20460

Dear Ms. Wiggins:

Good afternoon. On behalf of the Small Entity Representatives (SER) for
the NSPS for the electric generation sector (EGU-NSPS for CO2) group we
write to make several suggestions.

We believe that the proposal of an NSPS in September should be delayed
until the SER panel spends considerable time discussing regulatory
options for various sizes, types, a variety of fuels and ages of
plants. We don’t think that the last meeting even scratched the
surface. We think that it could have been more useful to discuss
specific efficiency opportunities with different types of generation
technology.

We note that, as of July 6, 2011, we have received no agenda or listing
of specific regulatory alternatives identifying options on fuel types,
generation types, or ages of plant.  In light of the general
discussions regarding the June 17, 2011 meeting, we would like to make
some recommendations. We believe that these recommendations will enable
the U. S. EPA staff (and contractors) to make better decisions regarding
least cost or less burdensome regulatory options. Although the U. S. EPA
has not offered specific regulatory alternatives (as requested and as is
the standard for a SER panel), we do believe, based upon your slides,

that a pounds/mwH has been informally implied by your staff.

On behalf of the participants, we suggest the following issues to be
added to the agenda for July 13th assuming that you intend to proceed
with the SER meeting. If the EPA had already planned a full day’s
program, then we would like to suggest that these topics be added to the
meeting. If needed, we suggest that you add a third day to the SER
process to make certain that these topics are included in the SER panel.

(As you might recall, APPA requested 4 or 5 SER meetings to discuss NSPS
for CO2 and other GHGs).

•       Limited use boilers with limited opportunities for
efficient improvements due to NSR complications for conventional
pollutants (even though we believe that the pollution control exclusion
applies in the

context of NSPS) (30 minutes)

•       Variances per kwH and heat rates over monthly and annual
operations (six  real world case studies by utilities totaling 45
minutes)

•       Why age of plant is significant in setting any NSPS for
CO2 (Wyandotte) (1hour) (if speaker is available by phone or in person)

•       A brief presentation on legal issues on NSPS for CO2
(Bill Wehrum)  (30 minutes)

•       Why knowing the end game on biomass is critical before
proposing NSPS for EPA and utilities (Holland) (30 minutes)

•       Why municipal government electric utilities are
different from other utilities. Examples: why the business model is
based upon cost-effective decisions that integrate wastewater treatment
waste

combustion, etc. Why waste heat for snow melt and community energy plan
provides high temperature for high temperature water in buildings to
reduce CO2 used from heating of water, etc (Holland) (30 minutes)

These recommendations, totaling about 4 hours, should improve the SBERFA
SER process significantly given the importance of a NSPS for the power
sector and your impending September 30th deadline.  Thank you for your
consideration.

Thank you,

(approval given for electronic signature by e-mail)

Rae

Theresa

Rae Cronmiller

Theresa Pugh

NRECA

APPA

Sent by:

Theresa Pugh

Director, Environmental Services

APPA

1875 Connecticut Ave, NW

Suite 1200

Washington, D. C. 20009

202 467 2943 (direct)

202-495-7443 personal fax number

Note new e-mail address:   HYPERLINK<EMAIL_ADDRESS><EMAIL_ADDRESS> HYPERLINK<EMAIL_ADDRESS><EMAIL_ADDRESS>


[Federal Register Volume 86, Number 190 (Tuesday, October 5, 2021)]
[Notices]
[Pages 55024-55025]
[FR Doc No: 2021-21585]

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

SECURITIES AND EXCHANGE COMMISSION

[SEC File No. 270-562, OMB Control No. 3235-0624]

Submission for OMB Review; Comment Request

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

Extension:
    Regulation R, Rule 701

    Notice is hereby given that pursuant to the Paperwork Reduction Act
of 1995

(``PRA'') (44 U.S.C. 3501 et seq.), the Securities and Exchange
Commission (``Commission'') has submitted to the Office of Management
and Budget (``OMB'') a request for approval of extension of the
previously approved collection of information provided for in
Regulation R, Rule 701 (17 CFR 247.701) under the Securities Exchange
Act of 1934 (15 U.S.C. 78a et seq.).
    Regulation R, Rule 701 requires a broker or dealer (as part of a
written agreement between the bank and the broker or dealer) to notify
the bank if the broker or dealer makes certain determinations regarding
the financial status of the customer, a bank employee's statutory
disqualification status, and compliance with suitability or
sophistication standards.
    The Commission estimates there are 3,560 registered brokers or
dealers that would, on average, notify 1,000 banks approximately two
times annually about a determination regarding a customer's high net
worth or institutional status or suitability or sophistication standing
as well as a bank employee's statutory disqualification status. Based
on these estimates, the Commission anticipates that Regulation R, Rule
701 would result in brokers or dealers making approximately 2,000
notifications to banks per year. The Commission further estimates
(based on the level of difficulty and complexity of the applicable
activities) that a broker or dealer would spend approximately 15
minutes per notice to a bank. Therefore, the estimated total annual
third party disclosure burden for the requirements in Regulation R,
Rule 701 is 500 \1\ hours for brokers or dealers.
---------------------------------------------------------------------------

    \1\ 1,000 banks x 2 notices = 2,000 notices; (2,000 notices x 15
minutes) = 30,000 minutes/60 minutes = 500 hours.
---------------------------------------------------------------------------

    The retention period for the recordkeeping requirement under Rule
17Ad-2(c), (d), and (h) is not less than two years following the date
the notice is submitted. The recordkeeping requirement under this rule
is mandatory to assist the Commission in monitoring transfer agents who
fail to meet the minimum performance standards set by the Commission
rule. This rule does not involve the collection of confidential
information. Please note that a transfer agent is not required to file
under the rule unless it does not meet the minimum performance
standards for turnaround, processing or forwarding items received for
transfer during a month.
    An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information under the PRA unless it
displays a currently valid OMB control number.
    The public may view background documentation for this information
collection at the following website: www.reginfo.gov. Find this
particular information collection by selecting ``Currently under 30-day
Review--Open for Public Comments'' or by using the search function.
    Written comments and recommendations for the proposed information
collection should be sent within 30 days of publication of this notice
to (i) www.reginfo.gov/public/do/PRAMain and (ii) David Bottom,
Director/Chief Information Officer, Securities and Exchange Commission,
c/o Cynthia Roscoe, 100 F Street NE, Washington, DC 20549, or by
sending an email to<EMAIL_ADDRESS>
    Dated: September 29, 2021.
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-21585 Filed 10-4-21; 8:45 am]
BILLING CODE 8011-01-P