[Federal Register: June 11, 2008 (Volume 73, Number 113)]
[Rules and Regulations]
[Page 33002-33005]
[DOCID:fr11jn08-9]

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SECURITIES AND EXCHANGE COMMISSION

17 CFR Part 232

[Release Nos. 33-8922; 34-57888; 39-2454; IC-28292]

Adoption of Updated EDGAR Filer Manual

AGENCY: Securities and Exchange Commission.

ACTION: Final rule.

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SUMMARY: The Securities and Exchange Commission (the Commission) is
adopting revisions to the Electronic Data Gathering, Analysis, and
Retrieval System (EDGAR) Filer Manual to reflect updates to the EDGAR
system. The revisions are being made primarily to reflect the United
States Department of Treasury's Financial Management Service's (FMS)
designation of U.S. Bank of St. Louis, Missouri, as the new Financial
Agent for General Lockbox Services for the Commission. U.S. Bank
assumed this responsibility from Mellon Bank effective February 4,
2008. In addition, the revisions include a modification to the
EDGARLite Form TA-1 (Application for registration as a transfer agent
filed pursuant to the Securities Exchange Act of 1934) to correct the
form version number and Form TA-2 (Annual Report of Transfer Agent
activities filed pursuant to the Securities Exchange Act of 1934) to
allow filers to input up to two decimal places for percentage values in
their response to Question 5(d).
    The filer manual is also being revised to incorporate changes to
reflect several amended rules and forms previously proposed or adopted
by the Commission and implemented in EDGAR. Those rules address (1) the
electronic submission on EDGAR of applications for orders under any
section of the Investment Company Act of 1940 and Regulation E filings
of Small Business Investment Companies (SBIC's) and Business
Development Companies (BDC's) if and when the Commission might adopt
rule changes making these mandatory electronic submissions and (2)
Smaller Reporting Company regulatory relief and simplification.
    The revisions to the Filer Manual reflect changes within Volume II
entitled EDGAR Filer Manual, Volume II: ``EDGAR Filing,'' Version 7
(May 2008). The updated manual will be incorporated by reference into
the Code of Federal Regulations.

DATES: Effective Date: June 11, 2008. The incorporation by reference of
the EDGAR Filer Manual is approved by the Director of the Federal
Register as of June 11, 2008.

FOR FURTHER INFORMATION CONTACT: In the Office of Information
Technology, Rick Heroux, at<PHONE_NUMBER>; in the Office of Financial
Management, for questions concerning the change in financial agents,
contact Connie Cornett, at<PHONE_NUMBER>; in the Division of
Investment Management, for questions concerning applications for orders
under any section of the Investment Company Act of 1940, contact Ruth
Armfield Sanders, Senior Special Counsel, Office of Legal and
Disclosure, at<PHONE_NUMBER>, Nadya Roytblat, Assistant Director,
Office of Investment Company Regulation, at<PHONE_NUMBER>, or Keith
Carpenter, Senior Special Counsel, Office of Insurance Products, at
(202) 551-6766; for questions concerning Regulation E filings of Small
Business Investment Companies (SBIC's) and Business Development
Companies (BDC's), contact Ruth Armfield Sanders, Senior Special
Counsel, Office of Legal and Disclosure, at<PHONE_NUMBER>; in the
Division of Corporation Finance, for questions concerning Smaller
Reporting Companies, Gerald J. Laporte, Chief; Kevin M. O'Neill,
Special Counsel; or Johanna Vega Losert, Attorney-Advisor, Office of
Small Business Policy<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: Today we are adopting an updated EDGAR Filer
Manual, Volume II. The Filer Manual describes the technical formatting
requirements for the preparation and submission of electronic filings
through the EDGAR system.\1\ It also describes the requirements for
filing using EDGARLink \2\ and the Online Forms/XML Web site.
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    \1\ We originally adopted the Filer Manual on April 1, 1993,
with an effective date of April 26, 1993. Release No. 33-6986 (April
1, 1993) [58 FR 18638]. We implemented the most recent update to the
Filer Manual on August 20, 2007. See Release No. 33-8834 (August 15,
2007) [72 FR 46559].
    \2\ This is the filer assistance software. We provide filers
filing on the EDGAR system.
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    The Filer Manual contains all the technical specifications for
filers to submit filings using the EDGAR system. Filers must comply
with the applicable provisions of the Filer Manual in order to assure
the timely acceptance and processing of filings made in electronic
format.\3\ Filers should consult the Filer Manual in conjunction with
our rules governing mandated electronic filing when preparing documents
for electronic submission.\4\
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    \3\ See Rule 301 of Regulation S-T (17 CFR 232.301).
    \4\ See Release Nos. 33-6977 (February 23, 1993) [58 FR 14628],
IC-19284 (February 23, 1993) [58 FR 14848], 35-25746 (February 23,
1993) [58 FR 14999], and 33-6980 (February 23, 1993) [58 FR 15009]
in which we comprehensively discuss the rules we adopted to govern
mandated electronic filing. See also Release No. 33-7122 (December
19, 1994) [59 FR 67752], in which we made the EDGAR rules final and
applicable to all domestic registrants; Release No. 33-7427 (July 1,
1997) [62 FR 36450], in which we adopted minor amendments to the
EDGAR rules; Release No. 33-7472 (October 24, 1997) [62 FR 58647],
in which we announced that, as of January 1, 1998, we would not
accept in paper filings that we require filers to submit
electronically; Release No. 34-40934 (January 12, 1999) [64 FR
2843], in which we made mandatory the electronic filing of Form 13F;
Release No. 33-7684 (May 17, 1999) [64 FR 27888], in which we
adopted amendments to implement the first stage of EDGAR
modernization; Release No. 33-7855 (April 24, 2000) [65 FR 24788],
in which we implemented EDGAR Release 7.0; Release No. 33-7999
(August 7, 2001) [66 FR 42941], in which we implemented EDGAR
Release 7.5; Release No. 33-8007 (September 24, 2001) [66 FR 49829],
in which we implemented EDGAR Release 8.0; Release No. 33-8224
(April 30, 2003) [68 FR 24345], in which we implemented EDGAR
Release 8.5; Release Nos. 33-8255 (July 22, 2003) [68 FR 44876] and
33-8255A (September 4, 2003) [68 FR 53289] in which we implemented
EDGAR Release 8.6; Release No. 33-8409 (April 19, 2004) [69 FR
21954] in which we implemented EDGAR Release 8.7; Release No. 33-
8454 (August 6, 2004) [69 FR 49803] in which we implemented EDGAR
Release 8.8; Release No. 33-8528 (February 3, 2005) [70 FR 6573] in
which we implemented EDGAR Release 8.10; Release No. 33-8573 (May
19, 2005) [70 FR 30899] in which we implemented EDGAR Release 9.0;
Release No. 33-8612 (September 21, 2005) [70 FR 57130] in which the
Commission granted the authorization to publish the release adopting
the reorganized EDGAR Filer Manual; Release No. 33-8633 (November 1,
2005) [70 FR 67350] in which we implemented EDGAR Release 9.2;
Release No 33-8656 (January 27, 2006) [71 FR 5596] in which we
implemented EDGAR Release 9.3; and Release No. 33-8834 (August 15,
2007) [72 FR 46559] in which we implemented EDGAR Release 9.7.

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    The FMS has designated U.S. Bank of St. Louis, Missouri, as the new
Financial Agent for General Lockbox Services for the SEC.\5\ U.S. Bank
has taken over this responsibility from Mellon Bank effective February
4, 2008. EDGAR Release 9.9 was implemented on February 4, 2008 to make
the system changes necessary to support this transition. All fee
payments (wires and checks) must be submitted to U.S. Bank on and after
this date. As of February 1, 2008, payments should no longer be
submitted to Mellon Bank. It is not necessary for filers to have an
account at U.S. Bank to submit fee payments.
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    \5\ See Release No. 33-8885 (January 29, 2008) (Amendment of
Procedures for Payment of Fees).
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    For wire payments, the hours of operation at U.S. Bank are 8:30
a.m. until 6 p.m. eastern time for wires. U.S. Bank's ABA number is
081000210. To ensure proper credit and prompt filing acceptance, it is
critical to include the SEC's account number at U.S. Bank
(152307768324) and the payor's SEC-assigned CIK (Central Index Key)
number (also know as the SEC-assigned registrant or payor account
number) in your wire payment.
    To remit your SEC filing fee payment by certified check, cashier's
check or money order, you must make them payable to the Securities and
Exchange Commission, omitting the name or title of any official of the
Commission. On the front of the check or money order, you must include
the SEC's account number<PHONE_NUMBER>24) and CIK number of the account
to which the fee is to be applied. You must mail checks or money orders
to the following U.S. Bank addresses. U.S. Bank does not support walk-
in deliveries by individuals.
    For USPS remittances, they MUST be sent to the following PO Box
address.
    Securities & Exchange Commission, P.O. Box 979081, St. Louis, MO
63197-9000.
    The following address can be used for common carriers such as
FedEx, Airborne, DHL, and UPS.
    U.S. Bank, Government Lockbox 979081, 1005 Convention Plaza, SL-MO-
C2-GL, St. Louis, MO 63101.
    For complete details regarding how to remit wire and check payment,
please refer to the SEC's ``Instructions for Wire Transfer (FEDWIRE)
and Check Payment of SEC Filing Fees'' (http://www.sec.gov/info/edgar/
fedwire.htm) on our ``Information for EDGAR Filers'' Web page. Filers
should periodically check both the SEC's and FMS' Web sites for
additional information and updates.
    Also included in EDGAR Release 9.9 were modifications to the
EDGARLite Form TA-1 (Application for registration as a transfer agent
filed pursuant to the Securities Exchange Act of 1934) to correct the
form version number and TA-2 (Annual Report of Transfer Agent
activities filed pursuant to the Securities Exchange Act of 1934) to
allow filers to input up to two decimal places for percentage values in
their response to Question 5(d) (5(d)(i) Corporate Equity Securities,
5(d)(ii) Corporate Debt Securities, 5(d)(iii) Open-Ended Investment
Company Securities, 5(d)(iv) Limited Partnership Securities, 5(d)(v)
Municipal Debt Securities, 5(d)(vi) Other Securities). Filers have
communicated to the Division of Trading and Markets that their
percentages are not necessarily whole numbers, so this modification
will help filers provide more accurate answers to these questions.
Filers must download the updated EDGARLite TA-1 and TA-2 Submission
Templates from the EDGAR OnlineForms Web site to ensure that
submissions will be processed successfully. Previous versions of the
templates will not work properly.
    We have recently proposed to amend Regulation S-T \6\ to make
mandatory the electronic submission on EDGAR of applications for orders
under any section of the Investment Company Act of 1940 (``Investment
Company Act'') and Regulation E filings of small business investment
companies and business development companies.\7\ We have updated the
EDGAR Filer Manual to describe the EDGAR electronic filing submission
types that filers would use for electronic submission on EDGAR if and
when we might adopt these proposals. The submission types are as
follows:
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    \6\ 17 CFR 232.
    \7\ See Release No. 33-8859 (November 1, 2007) [72 FR 63513]
(Rulemaking for EDGAR System; Mandatory Electronic Submission of
Applications for Orders under the Investment Company Act and Filings
Made Pursuant to Regulation E--proposing release).
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     In connection with applications for orders under the
Investment Company Act,
     40-OIP (Application under the Investment Company Act
submitted pursuant to Investment Company Act Rule 0-2 reviewed by the
Office of Insurance Products)
     40-OIP/A (Amendment to an application under the Investment
Company Act submitted pursuant to Investment Company Act Rule 0-2
reviewed by the Office of Insurance Products)
     40-6B (Application under the Investment Company Act by an
employees' securities company submitted pursuant to Investment Company
Act Rule 0-2)
     40-6B/A (Amendment to an application under the Investment
Company Act by an employees' securities company submitted pursuant to
Investment Company Act Rule 0-2)
     40-APP (Application under the Investment Company Act
submitted pursuant to Investment Company Act Rule 0-2 other than those
reviewed by the Office of Insurance Products or submitted by an
employees' securities company)
     40-APP/A (Amendment to an application under the Investment
Company Act submitted pursuant to Investment Company Act Rule 0-2 other
than those reviewed by the Office of Insurance Products or submitted by
an employees' securities company).
     In connection with Regulation E filings,
     1-E: Notification under Regulation E by small business
investment companies and business development companies
     1-E/A: Amendment to a notification under Regulation E by
small business investment companies and business development companies
     2-E: Report of sales of securities pursuant to Rule 609
under Regulation E
     2-E/A: Amendment to a report of sales of securities
pursuant to Rule 609 under Regulation E
     1-E AD: Sales material filed pursuant to Rule 607 under
Regulation E
     1-E AD/A: Amendment to sales material filed pursuant to
Rule 607 under Regulation E
    The following paper submission types became obsolete as of December
17, 2007: 40-6C, 40-6C/A, and 40-RPT. They have been replaced by paper
submission types 40-APP, 40-OIP, or 40-6B, as appropriate.

    Similarly, the following new paper submission types, 1-E AD and 1-E
AD/A, were added.
    Revisions were made to support Smaller Reporting Company regulatory
relief and simplification.\8\ Specifically, we added a ``Smaller
Reporting Company'' indicator to the header of submission types: 10-K,
10-K/A, 10-KT, 10-KT/A, 10-Q, 10-Q/A, 10-QT, 10-QT/A, S-1, S-1/A, S-
1MEF, S-3, S-3/A, S-3D, S-3DPOS, S-3MEF, S-4, S-4POS, S-4/A, S-4EF, S-
4EF/A, S-4MEF, S-8, S-8POS, S-11, S-11/A, S-11MEF, 10-12B, 10-12B/A,
10-12G, and 10-12G/A; suspending the filing of the following submission
types: 10SB12B, 10SB12B/A, 10SB12G, 10SB12G/A, SB-1, SB-1/A, SB-1MEF,
SB-2, SB-2/A, and SB-2MEF as of February 4, 2008; suspending the filing
of the following submission types: 10QSB and 10QSB/A as of November 3,
2008; and suspending the filing of the following submission types:
10KSB and 10KSB/A as of March 16, 2009. Those filers needing to file
amendments to filings previously submitted on submission types 10SB12B,
10SB12G, SB-1, SB-1MEF, SB-2, SB-2MEF, 10QSB, or 10KSB may do so using
submission type 10-12B, 10-12G, S-1, S-1MEF, S-2, S-2MEF, 10-Q, and 10-
K respectively.
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    \8\ See Release No. 33-8876 (December 19, 2007).
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    Additional changes to the Filer Manual are being made to update
obsolete material such as references to Effective Dates that have
already passed (e.g., S-3ASR Effective 12/1/2005) and instructions for
submitting fees.
    The submission templates 1 and 3 were updated to support the
aforementioned EDGARLink submission type changes in EDGAR Release 9.8.
The new submission types added for applications for orders under any
section of the Investment Company Act and Regulation E filings of small
business investment companies and business development companies should
only be used on EDGAR if and when we might adopt these proposals.
However, with regard to the EDGARLink submission type changes made to
support Smaller Reporting Company regulatory relief and simplification,
filers must download, install, and use the updated EDGARLink software
and submission templates to ensure that submissions will be processed
successfully. Previous versions of the templates will not work
properly. Notice of the update has previously been provided on the
EDGAR Filing Web site and on the Commission's public Web site. The
discrete updates are reflected on the EDGAR Filing Web site and in the
updated Filer Manual, Volume II. No EDGARLink software or submission
template changes were made for EDGAR Release 9.9 implemented on
February 4, 2008.
    Along with adoption of the Filer Manual, we are amending Rule 301
of Regulation S-T to provide for the incorporation by reference into
the Code of Federal Regulations of today's revisions. This
incorporation by reference was approved by the Director of the Federal
Register in accordance with 5 U.S.C. 552(a) and 1 CFR Part 51.
    You may obtain paper copies of the updated Filer Manual at the
following address: Public Reference Room, U.S. Securities and Exchange
Commission, 100 F Street, NE., Room 1580, Washington, DC 20549, on
official business days between the hours of 10 a.m. and 3 p.m. We will
post electronic format copies on the Commission's Web site; the address
for the Filer Manual is http://www.sec.gov/info/edgar.shtml. You may
also obtain copies from Thomson Financial, the paper document
contractor for the Commission, at<PHONE_NUMBER>.
    Since the Filer Manual relates solely to agency procedures or
practice, publication for notice and comment is not required under the
Administrative Procedure Act (APA).\9\ It follows that the requirements
of the Regulatory Flexibility Act \10\ do not apply.
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    \9\ 5 U.S.C. 553(b).
    \10\ 5 U.S.C. 601-612.
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    The effective date for the updated Filer Manual and the rule
amendments is June 11, 2008. In accordance with the APA,\11\ we find
that there is good cause to establish an effective date less than 30
days after publication of these rules. The EDGAR system upgrade to
Release 9.9 was made available on February 4, 2008. The Commission
believes that it is necessary to align the updated Filer Manual with
the system upgrade.
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    \11\ 5 U.S.C. 553(d)(3).
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Statutory Basis

    We are adopting the amendments to Regulation S-T under Sections 6,
7, 8, 10, and 19(a) of the Securities Act of 1933,\12\ Sections 3, 12,
13, 14, 15, 23, and 35A of the Exchange Act,\13\ Section 319 of the
Trust Indenture Act of 1939,\14\ and Sections 8, 30, 31, and 38 of the
Investment Company Act of 1940.\15\
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    \12\ 15 U.S.C. 77f, 77g, 77h, 77j, and 77s(a).
    \13\ 15 U.S.C. 78c, 78l, 78m, 78n, 78o, 78w, and 78ll.
    \14\ 15 U.S.C. 77sss.
    \15\ 15 U.S.C. 80a-8, 80a-29, 80a-30, and 80a-37.
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List of Subjects in 17 CFR Part 232

    Incorporation by reference, Reporting and recordkeeping
requirements, Securities.

Text of the Amendment

0
In accordance with the foregoing, Title 17, Chapter II of the Code of
Federal Regulations is amended as follows:

PART 232--REGULATION S-T--GENERAL RULES AND REGULATIONS FOR
ELECTRONIC FILINGS

0
1. The authority citation for part 232 continues to read in part as
follows:

    Authority: 15 U.S.C. 77f, 77g, 77h, 77j, 77s(a), 77sss(a),
78c(b), 78l, 78m, 78n, 78o(d), 78w(a), 78ll(d), 79t(a), 80a-8, 80a-
29, 80a-30, 80a-37, and 7201 et seq.; and 18 U.S.C. 1350.
* * * * *

0
2. Section 232.301 is revised to read as follows:

Sec.  232.301  EDGAR Filer Manual.

    Filers must prepare electronic filings in the manner prescribed by
the EDGAR Filer Manual, promulgated by the Commission, which sets out
the technical formatting requirements for electronic submissions. The
requirements for becoming an EDGAR Filer and updating company data are
set forth in the updated EDGAR Filer Manual, Volume I: ``General
Information,'' Version 4 (August 2007). The requirements for filing on
EDGAR are set forth in the updated EDGAR Filer Manual, Volume II:
``EDGAR Filing,'' Version 7 (May 2008). Additional provisions
applicable to Form N-SAR filers are set forth in the EDGAR Filer
Manual, Volume III: ``N-SAR Supplement,'' Version 1 (September 2005).
All of these provisions have been incorporated by reference into the
Code of Federal Regulations, which action was approved by the Director
of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR
part 51. You must comply with these requirements in order for documents
to be timely received and accepted. You can obtain paper copies of the
EDGAR Filer Manual from the following address: Public Reference Room,
U.S. Securities and Exchange Commission, 100 F Street, NE., Room 1580,
Washington, DC 20549, on official business days between the hours of 10
a.m. and 3 p.m., or by calling Thomson Financial at<PHONE_NUMBER>.
Electronic copies are available on the Commission's Web site. The
address for the Filer Manual is http://www.sec.gov/info/edgar.shtml.
You can also inspect the document at the National Archives and Records

Administration (NARA). For information on the availability of this
material at NARA, call<PHONE_NUMBER>, or go to: http://www.archives.gov/
federal_register/code_of_federal_regulations/ibr_locations.html.

    Dated: May 30, 2008.
* * * * *
    By the Commission.
Florence E. Harmon,
Acting Secretary.
 [FR Doc. E8-13093 Filed 6-10-08; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register Volume 77, Number 216 (Wednesday, November 7, 2012)]
[Notices]
[Pages 66827-66828]
[FR Doc No: 2012-27154]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings 1

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

    Docket Numbers: EC13-25-000.
    Applicants: Lord, Abbett & Co. LLC.
    Description: Request for Reauthorization and Extension of Blanket
Authorizations to Acquire and Dispose of Securities Under Section 203
of the Federal Power Act of Lord, Abbett & Co. LLC.
    Filed Date: 10/26/12.
    Accession Number: 20121026-5225.
    Comments Due: 5 p.m. ET 11/16/12.

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

    Docket Numbers: ER10-1987-001.
    Applicants: Ontario Power Generation Energy Trading, Inc.
    Description: Notice of Non-Material Change in Status of Ontario
Power Generation Energy Trading, Inc.
    Filed Date: 10/26/2012.
    Accession Number: 20121026-5220.
    Comments Due: 5 p.m. ET 11/16/12.

    Docket Numbers: ER10-2507-002.
    Applicants: Westar Energy, Inc.
    Description: Amended Non-Material Change in Status Notice of Westar
Energy, Inc.
    Filed Date: 10/29/12.
    Accession Number: 20121029-5119.
    Comments Due: 5 p.m. ET 11/19/12.

    Docket Numbers: ER10-2507-003.
    Applicants: Westar Energy, Inc.
    Description: Notice of Non-Material Change in Status of Westar
Energy, Inc.
    Filed Date: 10/29/12.
    Accession Number: 20121029-5118.
    Comments Due: 5 p.m. ET 11/19/12.

    Docket Numbers: ER10-2794-004; ER11-2028-004; ER10-2849-003; ER12-
1825-005.
    Applicants: EDF Trading North America, LLC, EDF Industrial Power
Services (IL), LLC, EDF Industrial Power Services (NY), LLC, EDF
Industrial Power Services (CA), LLC.
    Description: Updated Market Power Analysis for the Central Region
on behalf of EDF Trading North America, LLC, et al.
    Filed Date: 10/26/12.
    Accession Number: 20121026-5226.
    Comments Due: 5 p.m. ET 11/16/12.

    Docket Numbers: ER10-2985-007; ER10-3049-008; ER10-3051-008.
    Applicants: Champion Energy Marketing LLC, Champion Energy
Services, LLC, Champion Energy, LLC.
    Description: Notice of Non-Material Change in Status of Champion
Energy Marketing LLC, et al.
    Filed Date: 10/29/12.
    Accession Number: 20121029-5116.
    Comments Due: 5 p.m. ET 11/19/12.

    Docket Numbers: ER12-718-002.
    Applicants: New York Independent System Operator, Inc., PJM
Interconnection, L.L.C.
    Description: NYISO PJM Joint Market to Market Compliance--Michigan
Ontario PARs to be effective 1/15/2013.
    Filed Date: 10/22/12.
    Accession Number: 20121022-5101.
    Comments Due: 5 p.m. ET 11/13/12.

    Docket Numbers: ER12-2380-001.
    Applicants: Midwest Independent Transmission System Operator, Inc.
    Description: 10-29-12 Compliance Filing to be effective 10/1/2012.
    Filed Date: 10/30/12.
    Accession Number: 20121030-5001.
    Comments Due: 5 p.m. ET 11/20/12.

    Docket Numbers: ER12-2508-001.
    Applicants: PacifiCorp.
    Description: OATT Revised Section 14 Compliance Filing to be
effective 10/23/2012.
    Filed Date: 10/29/12.
    Accession Number: 20121029-5008.
    Comments Due: 5 p.m. ET 11/19/12.
    Docket Numbers: ER13-55-001.
    Applicants: Homer City Generation, L.P.
    Description: Supplement to MBR Tariff to be effective 10/26/2012.
    Filed Date: 10/26/12.
    Accession Number: 20121026-5197.
    Comments Due: 5 p.m. ET 11/9/12.

    Docket Numbers: ER13-218-000.
    Applicants: California Independent System Operator Corporation.
    Description: 2012-10-26 Amendment re Downsizing Opportunity for
Generator Projects to be effective 1/1/2013.
    Filed Date: 10/29/12.
    Accession Number: 20121029-5000.
    Comments Due: 5 p.m. ET 11/19/12.

    Docket Numbers: ER13-219-000.
    Applicants: California Independent System Operator Corporation.
    Description: 2012-10-29 Tariff Amendment to Allow Recovery of
Greenhouse Gas Compliance Costs to be effective 1/1/2013.
    Filed Date: 10/29/12.
    Accession Number: 20121029-5014.
    Comments Due: 5 p.m. ET 11/19/12.

    Docket Numbers: ER13-220-000.
    Applicants: Southern California Edison Company.
    Description: SGIA with RE Rosamond Two LLC--Rosamond Two Project to
be effective 10/30/2012.
    Filed Date: 10/29/12.
    Accession Number: 20121029-5015.
    Comments Due: 5 p.m. ET 11/19/12.

    Docket Numbers: ER13-221-000.
    Applicants: Southwestern Public Service Company.
    Description: 2012-10-30-GSEC-LCEC-Amherst-CA-656-0.0.0 to be
effective 10/31/2012.
    Filed Date: 10/30/12.
    Accession Number: 20121030-5016.
    Comments Due: 5 p.m. ET 11/20/12.

    Docket Numbers: ER13-222-000.
    Applicants: Citizens Sunrise Transmission LLC.
    Description: Annual TRBAA Filing to be effective 1/1/2013.
    Filed Date: 10/30/12.
    Accession Number: 20121030-5017.
    Comments Due: 5 p.m. ET 11/20/12.

    Docket Numbers: ER13-223-000.
    Applicants: Arizona Public Service Company.
    Description: Cancellation of Rate Schedule No. 253-Phase I of WAPA
Bouse Construction AG to be effective 12/30/2012.
    Filed Date: 10/30/12.
    Accession Number: 20121030-5029.
    Comments Due: 5 p.m. ET 11/20/12.

    Docket Numbers: ER13-224-000.
    Applicants: California Independent System Operator Corporation.
    Description: 2012-10-30 Filing of Rate Schedule 72 and Termination
of Rate Schedule 40 to be effective 1/3/2013.
    Filed Date: 10/30/12.
    Accession Number: 20121030-5100.
    Comments Due: 5 p.m. ET 11/20/12.

    Docket Numbers: ER13-225-000.
    Applicants: Nevada Power Company.
    Description: Rate Schedule No. 120 Second Amended-- Restated
Transmission Interconnection Agm-VEA to be effective 1/3/2013.
    Filed Date: 10/30/12.
    Accession Number: 20121030-5124.
    Comments Due: 5 p.m. ET 11/20/12.

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

    Docket Numbers: ES13-4-000.
    Applicants: Baltimore Gas and Electric Company.
    Description: Application of Baltimore Gas and Electric Company for
Short Term Borrowing Authority.
    Filed Date: 10/26/12.
    Accession Number: 20121026-5224.
    Comments Due: 5 p.m. ET 11/16/12.

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

    Dated: October 31, 2012.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2012-27154 Filed 11-6-12; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register: April 20, 2009 (Volume 74, Number 74)]
[Notices]
[Page 18017]
[DOCID:fr20ap09-127]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-59756; File No. SR-ISE-2009-08]

Self-Regulatory Organizations; International Securities Exchange,
LLC; Order Granting Approval of Proposed Rule Change Relating to
Changes to the Third Amended and Restated Limited Liability Company
Operating Agreement of Direct Edge Holdings LLC

April 13, 2009.

I. Introduction

    On February 27, 2009, the International Securities Exchange, LLC
(the ``Exchange'' or ``ISE''), filed with the Securities and Exchange
Commission (``Commission''), pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4
thereunder,\2\ this proposed rule change. On March 3, 2009, the
Exchange filed Amendment No. 1 to the proposed rule change. The
proposed rule change, as modified by Amendment No. 1, was published for
comment in the Federal Register on March 10, 2009.\3\ The Commission
received no comments on the proposal. This order approves the proposed
rule change, as modified by Amendment No. 1.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 59492 (March 3,
2009), 74 FR 10322 (``Notice'').
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II. Description

    Maple Merger Sub, LLC (``Merger Sub''), a wholly-owned subsidiary
of Direct Edge Holdings, LLC (``Direct Edge''), currently owns and
operates a marketplace for the trading of U.S. cash equity securities
by Equity Electronic Access Members of ISE under the rules of ISE, as a
facility, as that term is defined in Section 3(a)(2) of the Act, of ISE
(the ``Equity Facility'').\4\ As a facility of ISE, the Equity Facility
is subject to regulation by ISE and oversight by the Commission. In
addition, because Direct Edge is the sole owner of the entity that
operates the Equity Facility, ISE must review any amendments to Direct
Edge's governing documents, including the Third Amended and Restated
Limited Liability Company Operating Agreement of Direct Edge Holdings
LLC (``Third Amended and Restated DE Operating Agreement''), to
determine whether it must be filed with, or filed with and approved by,
the Commission before it may become effective under Section 19 of the
Act.\5\ Accordingly, ISE reviewed the proposed changes to the Third
Amended and Restated DE Operating Agreement and determined that such
changes were required to be filed with and approved by the Commission,
consistent with the requirements in Section 15.2 of the Third Amended
and Restated DE Operating Agreement.
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    \4\ See Exchange Act Release No. 59135 (December 22, 2008), 73
FR 79954 (December 30, 2008) (SR-ISE-2008-85) (order approving a
proposed rule change, as modified by Amendment No. 1, relating to
the purchase by ISE Holdings of an ownership interest in Direct
Edge).
    \5\ See Third Amended and Restated DE Operating Agreement,
Section 15.2.
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    ISE, on behalf of Direct Edge, proposes to amend and restate the
Third Amended and Restated DE Operating Agreement to decrease from 7.5%
to 5% the percentage ownership interest in Direct Edge that the ISE
Stock Exchange Consortium Members \6\ must retain in order to retain
the right to designate a Manager to the Direct Edge Holdings Board of
Managers. ISE also proposes that if any ISE Stock Exchange Consortium
Member elects to sell its ownership interest in Direct Edge, it must
first offer to sell such interest to the non-selling ISE Stock Exchange
Consortium Members to allow such non-selling ISE Stock Exchange
Consortium Members to collectively maintain their current percentage
ownership interest. In addition, ISE proposes to make other non-
substantive clean-up changes necessary to reflect that the Third
Amended and Restated DE Operating Agreement, as amended, will become
the Fourth Amended and Restated Limited Liability Company Operating
Agreement of Direct Edge Holdings, LLC.
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    \6\ Currently, the ISE Stock Exchange Consortium Members are DB
US Financial Markets Holding Corporation, LabMorgan Corporation,
Merrill Lynch L.P. Holdings, Inc., Nomura Securities International,
Inc., and Sun Partners LLC. See Notice, supra note 3. The ISE Stock
Exchange Consortium Members formerly were minority unitholders of
the ISE Stock Exchange, LLC. See id. Currently, the ISE Stock
Exchange Consortium Members have a collective ownership interest of
8.76% in Direct Edge.
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III. Commission's Findings and Order Granting Approval of the Proposed
Rule Change

    After careful review, 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.\7\
In particular, the Commission finds that the proposed rule change is
consistent with Section 6(b)(1) of the Act,\8\ which requires, among
other things, that a national securities exchange be so organized and
have the capacity to carry out the purposes of the Act, and the rules
and regulation thereunder, and Section 6(b)(5) of the Act \9\ in that
it is designed to promote just and equitable principles of trade, to
prevent fraudulent and manipulative acts, and, in general, to protect
investors and the public interest. The Commission believes that the
proposed changes to the Third Amended and Restated DE Operating
Agreement should not adversely affect the ability of ISE and the
Commission to fulfill their respective regulatory obligations under the
Act.
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    \7\ In approving this proposed rule change, the Commission notes
that it has considered the proposed rule's impact on efficiency,
competition, and capital formation. See 15 U.S.C. 78c(f).
    \8\ 15 U.S.C. 78f(b)(1).
    \9\ 15 U.S.C. 78f(b)(5).
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IV. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the
Act,\10\ that the proposed rule change, as amended (SR-ISE-2009-08) be,
and it hereby is, approved.
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    \10\ 15 U.S.C. 78s(b)(2).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\11\
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    \11\ 17 CFR 200.30-3(a)(12).
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Florence E. Harmon,
Deputy Secretary.
[FR Doc. E9-8962 Filed 4-17-09; 8:45 am]

BILLING CODE 8010-01-P