[Federal Register Volume 86, Number 85 (Wednesday, May 5, 2021)]
[Notices]
[Pages 24093-24096]
[FR Doc No: 2021-09436]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-91707; File No. SR-NYSEArca-2021-30]

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change To Extend the
Effective Date in Commentary .10 under NYSE Arca Rule 2.1210

April 29, 2021.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Exchange Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is
hereby given that on April 19, 2021, NYSE Arca, Inc. (``NYSE Arca'' or
the ``Exchange'') filed with the Securities and Exchange Commission
(``SEC'' or ``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 a rule change to extend the effective date in
Commentary .10 (Temporary Extension of the Limited Period for
Registered Persons to Function as Principals) under NYSE Arca Rule
2.1210 (Registration Requirements) applicable to Equity Trading Permit
(``ETP'') Holders, Options Trading Permit (``OTP'') Holders and OTP
Firms, from April 30, 2021 to June 30, 2021. The Exchange does not
anticipate providing any further extensions to the temporary relief
identified in this proposed rule change beyond June 30, 2021.\4\ The
proposed rule change is available on the Exchange's website at
www.nyse.com, at the principal office of the Exchange, and at the
Commission's Public Reference Room.
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    \4\ If due to unforeseen circumstances a further extension is
necessary, the Exchange will submit a separate rule filing to
further extend the temporary relief.
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II. Self-Regulatory Organization's Statement of the Purpose of, and
Statutory Basis for, the Proposed Rule Change

    In its filing with the Commission, the self-regulatory organization
included statements concerning the purpose of, and basis for, the
proposed rule change and discussed any comments it received

on the proposed rule change. The text of these statements may be
examined at the places specified in Item IV below. The Exchange has
prepared summaries, set forth in sections A, B, and C below, of the
most significant aspects of such statements.

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

1. Purpose
    The Exchange proposes to extend the effective date in Commentary
.10 (Temporary Extension of the Limited Period for Registered Persons
to Function as Principals) under NYSE Arca Rule 2.1210 (Registration
Requirements) applicable to ETP Holders, OTP Holders and OTP Firms
(collectively, ``Members''),\5\ from April 30, 2021 to June 30, 2021.
The proposed rule change would extend the 120-day period that certain
individuals can function as a principal without having successfully
passed an appropriate qualification examination through June 30, 2021,
and would apply only to those individuals who were designated to
function as a principal prior to March 3, 2021. This proposed rule
change is based on a filing recently submitted by the Financial
Industry Regulatory Authority, Inc. (``FINRA'') \6\ and is intended to
harmonize the Exchange's registration rules with those of FINRA so as
to promote uniform standards across the securities industry.
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    \5\ The term ``ETP Holder'' refers to a sole proprietorship,
partnership, corporation, limited liability company or other
organization in good standing that has been issued an ETP. An ETP
Holder must be a registered broker or dealer pursuant to Section 15
of the Exchange Act. See NYSE Arca Rule 1.1(o). The term ``ETP''
refers to an Equity Trading Permit issued by the Exchange for
effecting approved securities transactions on the Exchange's Trading
Facilities. See NYSE Arca Rule 1.1(n). The term ``OTP Holder''
refers to a natural person, in good standing, who has been issued an
OTP. An OTP Holder must be a registered broker or dealer pursuant to
Section 15 of the Exchange Act. Under the Exchange's rules, an OTP
Holder has the status as a ``member'' of the Exchange as that term
is defined in Section 3 of the Exchange Act. See NYSE Arca Rule
1.1(nn). The term ``OTP'' refers to an Options Trading Permit issued
by the Exchange for effecting approved securities transactions on
the Exchange's Trading Facilities. See NYSE Arca Rule 1.1(mm). The
term ``OTP Firm'' refers to a sole proprietorship, partnership,
corporation, limited liability company or other organization in good
standing who holds an OTP or upon whom an individual OTP Holder has
conferred trading privileges on the Exchange's Trading Facilities
pursuant to and in compliance with Exchange rules. An OTP Firm must
be a registered broker or dealer pursuant to Section 15 of the
Exchange Act. See NYSE Arca Rule 1.1(oo).
    \6\ See Exchange Act Release No. 91506 (April 8, 2021) 86 FR
19671 (April 14, 2021) (SR-FINRA-2021-005) (the ``FINRA Filing'').
The Exchange notes that the FINRA Filing also provides temporary
relief to individuals registered with FINRA as Operations
Professionals under FINRA Rule 1220. The Exchange does not have a
registration category for Operations Professionals and therefore,
the Exchange is not proposing to adopt that aspect of the FINRA
Filing.
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    In response to COVID-19 global pandemic, last year FINRA began
providing temporary relief by way of frequently asked questions
(``FAQs'') \7\ to address disruptions to the administration of FINRA
qualification examinations caused by the pandemic that have
significantly limited the ability of individuals to sit for
examinations due to Prometric test center capacity issues.\8\
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    \7\ See https://www.finra.org/rules-guidance/key-topics/covid-19/faq#qe.
    \8\ At the outset of the COVID-19 pandemic, all FINRA
qualification examinations were administered at test centers
operated by Prometric. Based on the health and welfare concerns
resulting from COVID-19, in March 2020 Prometric closed all of its
test centers in the United States and Canada and began to slowly
reopen some of them at limited capacity in May. Currently, Prometric
has resumed testing in many of its United States and Canada test
centers, at either full or limited occupancy, based on local and
government mandates.
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    FINRA published the first FAQ on March 20, 2020, providing that
individuals who were designated to function as principals under FINRA
Rule 1210.04 \9\ prior to February 2, 2020, would be given until May
31, 2020, to pass the appropriate principal qualification
examination.\10\ FINRA revised the FAQ to extend the expiration of the
temporary relief to pass the appropriate principal examination until
June 30, 2020, and then until August 31, 2020.
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    \9\ NYSE Arca Rule 2.1210.03 is the corresponding rule to FINRA
Rule 1210.04.
    \10\ FINRA Rule 1210.04 (Requirements for Registered Persons
Functioning as Principals for a Limited Period) allows a member firm
to designate certain individuals to function in a principal capacity
for 120 calendar days before having to pass an appropriate principal
qualification examination. NYSE Arca Rule 2.1210.03 provides the
same allowance to Members.
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    On September 25, 2020, NYSE Arca filed with the Commission a
proposed rule change for immediate effectiveness to extend the
temporary relief provided via the FAQ by adopting temporary Commentary
.10 (Temporary Extension of the Limited Period for Registered Persons
to Function as Principals) under NYSE Arca Rule 2.1210 (Registration
Requirements).\11\ Pursuant to this rule filing, individuals who were
designated prior to September 3, 2020, to function as a principal under
NYSE Arca Rule 2.1210.10 had until December 31, 2020, to pass the
appropriate qualification examination. The Exchange thereafter filed a
proposed rule change to extend the expiration date of the temporary
relief from December 31, 2020, to April 30, 2021.\12\
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    \11\ See Exchange Act Release No. 90113 (October 7, 2020), 85 FR
65110 (October 14, 2020) (Notice of Filing and Immediate
Effectiveness of SR-NYSEArca-2020-87).
    \12\ See Exchange Act Release No. 90760 (December 21, 2020), 85
FR 85828 (December 29, 2020) (Notice of Filing and Immediate
Effectiveness of SR-NYSEArca-2020-112).
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    As mentioned in the prior filings, FINRA began providing, and then
extended, temporary relief to address the interruptions in the
administration of FINRA qualification examinations at Prometric test
centers and the limited ability of individuals to sit for the
examinations caused by the COVID-19 pandemic.\13\ The prior filings
also noted that the pandemic could result in firms potentially
experiencing significant disruptions to their normal business
operations that may be exacerbated by being unable to keep principal
positions filled. Specifically, the limitation of in-person activities
and staff absenteeism as a result of the health and welfare concerns
stemming from COVID-19 could result in firms having difficulty finding
other qualified individuals to transition into that role or requiring
them to reallocate employee time and resources away from other critical
responsibilities at the firm.
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    \13\ Information about the continued impact of COVID-19 on
FINRA-administered examinations is available at https://www.finra.org/rules-guidance/key-topics/covid-19/exams.
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    While there are signs of improvement, the COVID-19 conditions
necessitating the temporary relief persist and FINRA has determined
that there is a continued need for this temporary relief beyond April
30, 2021. Although Prometric has resumed testing in many of its U.S.
test centers, Prometric's safety practices mean that currently not all
test centers are open, some of the open test centers are at limited
capacity, and some open test centers are delivering only certain
examinations that have been deemed essential by the local
government.\14\ In addition, while certain states have started to ease
COVID-19 restrictions on businesses and social activities, public
health officials continue to emphasize the importance for individuals
to keep taking numerous steps to protect themselves and help slow the
spread of the disease.\15\
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    \14\ Information from Prometric about its safety practices and
the impact of COVID-19 on its operations is available at https://www.prometric.com/covid-19-update/corona-virus-update. See also
supra note 13.
    \15\ See, e.g., Centers for Disease Control and Prevention, How
to Protect Yourself & Others, https://www.cdc.gov/coronavirus/2019-ncov/prevent-getting-sick/prevention.html.
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    Although the COVID-19 conditions necessitating the temporary relief
persist, in the FINRA Filing, FINRA stated that an extension of the
relief is necessary only until June 30, 2021, because FINRA recently
expanded the

availability of online examinations. Prior to this expansion, the
ongoing effects of the pandemic made it impracticable for FINRA members
to ensure that the individuals who they had designated to function in a
principal capacity, as set forth in FINRA Rule 1210.04, could
successfully sit for and pass an appropriate qualification examination
within the 120-calendar day period required under the rule.\16\
Specifically, if the individual wanted to take a qualifying
examination, they were required to accept the health risks associated
with taking an in-person examination because those examinations were
not available online. On February 24, 2021, however, FINRA adopted an
interim accommodation request process to allow candidates to take
additional FINRA examinations online, including the General Securities
Principal (``Series 24'') examination.\17\ Because the qualifying
examination has been made available online only recently, FINRA is
concerned that individuals who have been designated to function in a
principal capacity may not have sufficient time to schedule, study for,
and take the applicable examination before April 30, 2021, the date the
temporary relief is set to expire.
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    \16\ See supra note 13.
    \17\ Id.
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    These ongoing circumstances make it impracticable for Members to
ensure that the individuals whom they have designated to function in a
principal capacity, as set forth in NYSE Arca Rule 2.1210.03, are able
to successfully sit for and pass an appropriate qualification
examination within the 120-calendar day period required under the rule,
or to find other qualified staff to fill this position. Therefore, NYSE
Arca is proposing to extend the effective date of the temporary relief
provided through SR-NYSEArca-2020-112 until June 30, 2021. The proposed
rule change would apply only to those individuals who were designated
to function as a principal prior to March 3, 2021. Any individuals
designated to function as a principal on or after March 3, 2021, would
need to successfully pass an appropriate qualification examination
within 120 days.
    NYSE Arca believes that this proposed continued extension of time
is tailored to address the needs and constraints on a Member's
operations during the COVID-19 pandemic, without significantly
compromising critical investor protection. The proposed extension of
time will help to minimize the impact of COVID-19 on Members by
providing continued flexibility so that Members can ensure that
principal positions remain filled. The potential risks from the
proposed extension of the 120-day period are mitigated by the Member's
continued requirement to supervise the activities of these designated
individuals and ensure compliance with federal securities laws and
regulations, as well as NYSE Arca rules. NYSE Arca has filed the
proposed rule change for immediate effectiveness and has requested that
the Commission waive the requirement that the proposed rule change not
become operative for 30 days after the date of the filing, so NYSE Arca
can implement the proposed rule change immediately.
2. Statutory Basis
    The proposed rule change is consistent with Section 6(b) of the
Exchange Act,\18\ in general, and furthers the objectives of Section
6(b)(5),\19\ in particular, because it is designed to prevent
fraudulent and manipulative acts and practices, to promote just and
equitable principles of trade, to foster cooperation and coordination
with persons engaged in facilitating transactions in securities, to
remove impediments to, and perfect the mechanism of, a free and open
market and a national market system and, in general, to protect
investors and the public interest.
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    \18\ 15 U.S.C. 78f(b).
    \19\ 15 U.S.C. 78f(b)(5).
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    The proposed rule change is intended to minimize the impact of
COVID-19 on Member operations by extending the 120-day period certain
individuals may function as a principal without having successfully
passed an appropriate qualification examination under NYSE Arca Rule
2.1210.03 until June 30, 2021. The proposed rule change does not
relieve Members from maintaining, under the circumstances, a reasonably
designed system to supervise the activities of their associated persons
to achieve compliance with applicable securities laws and regulations,
and with applicable NYSE Arca rules that directly serve investor
protection. In a time when faced with unique challenges resulting from
the COVID-19 pandemic, NYSE Arca believes that the proposed rule change
is a sensible accommodation that will continue to afford Members the
ability to ensure that critical positions are filled and client
services maintained, while continuing to serve and promote the
protection of investors and the public interest in this unique
environment.

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Exchange Act. As set forth in the
prior filings, the proposed rule change is intended solely to extend
temporary relief necessitated by the continued impacts of the COVID-19
pandemic and the related health and safety risks of conducting in-
person activities. In its filing, FINRA noted that the proposed rule
change is necessary to temporarily rebalance the attendant benefits and
costs of the obligations under FINRA Rule 1210 in response to the
impacts of the COVID-19 pandemic that would otherwise result if the
temporary relief was to expire on April 30, 2021. The Exchange
accordingly incorporates FINRA's abbreviated economic impact assessment
by reference.

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, it has become
effective pursuant to Section 19(b)(3)(A) of the Act \20\ and Rule 19b-
4(f)(6) thereunder.\21\
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    \20\ 15 U.S.C. 78s(b)(3)(A).
    \21\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change, along
with a brief description and text of the proposed rule change, at
least five business days prior to the date of filing of the proposed
rule change, or such shorter time as designated by the Commission.
The Exchange has satisfied this requirement.
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    A proposed rule change filed under Rule 19b-4(f)(6) normally does
not become operative for 30 days after the date of filing. However,
pursuant to Rule 19b-4(f)(6)(iii), the Commission may designate a
shorter time if such action is consistent with the protection of
investors and the public interest. The Exchange has asked the
Commission to waive the 30-day operative delay so that the proposed
rule change may become

operative immediately upon filing. As noted above, the Exchange stated
that the conditions necessitating the temporary relief continue to
exist and the proposed extension of time will help minimize the impact
of the COVID-19 outbreak on NYSE Arca Members' operations by allowing
them to keep principal positions filled and minimizing disruptions to
client services and other critical responsibilities. Despite signs of
improvement, the Exchange further stated that the ongoing extenuating
circumstances of the COVID-19 pandemic make it impractical to ensure
that individuals designated to act in these capacities are able to take
and pass the appropriate qualification examination during the 120-
calendar day period required under the rules.
    The Exchange observed that, following a nationwide closure of all
test centers earlier in the year, some test centers have re-opened, but
are operating at limited capacity or are only delivering certain
examinations that have been deemed essential by the local
government.\22\ However, on February 24, 2021, FINRA began providing
the General Securities Principal (Series 24) Examination online through
an interim accommodation request process.\23\ Prior to this change, if
individuals wanted to take these qualifying examinations, they were
required to accept the health risks associated with taking an in-person
examination. Even with the expansion of online qualifications
examinations, the Exchange stated that extending the expiration date of
the relief set forth in SR-NYSEArca-2020-112 until June 30, 2021 is
still needed. The Exchange stated that this temporary relief will
provide flexibility to allow individuals who have been designated to
function in a principal sufficient time to schedule, study for and take
the applicable examination before the temporary relief expires.
Notably, the Exchange stated that it does not anticipate providing any
further extensions to the temporary amendments and that any individuals
designated to function as a principal on or after March 3, 2021 will
need to successfully pass an appropriate qualification examination
within 120 days.
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    \22\ See supra notes 13 and 14. The Exchange states that
Prometric has also had to close some reopened test centers due to
incidents of COVID-19 cases.
    \23\ See supra note 13 (including the February 24, 2021
announcement of the interim accommodation process for candidates to
take certain examinations, including the General Securities
Principal (Series 24) Examination, online.)
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    For these reasons, the Commission believes that waiver of the 30-
day operative delay is consistent with the protection of investors and
the public interest.\24\ Accordingly, the Commission hereby waives the
30-day operative delay and designates the proposal operative upon
filing.\25\
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    \24\ As noted above by the Exchange, this proposal is an
extension of temporary relief provided in SR-NYSEArca-2020-87 and
SR-NYSEArca-2020-112 where the Exchange also requested and the
Commission granted a waiver of the 30-day operative delay. See SR-
NYSEArca-2020-87, 85 FR at 65112 and SR-NYSEArca-2020-112, 85 FR at
85830.
    \25\ For purposes only of waiving the 30-day operative delay,
the Commission has considered the proposed rule change's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
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    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings to
determine whether the proposed rule should be approved or disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-NYSEArca-2021-30 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-2021-30. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549, on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of such filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number SR-NYSEArca-2021-30 and should be submitted
on or before May 26, 2021.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\26\
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    \26\ 17 CFR 200.30-3(a)(12).
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J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-09436 Filed 5-4-21; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: April 24, 2008 (Volume 73, Number 80)]
[Notices]
[Page 22191-22193]
[DOCID:fr24ap08-89]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-57685; File No. SR-NASDAQ-2008-013]

Self-Regulatory Organizations; The NASDAQ Stock Market LLC;
Notice of Filing of Proposed Rule Change Relating to the Adoption of
Additional Initial Listing Standards for Special Purpose Acquisition
Vehicles

April 18, 2008.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on March 14, 2008, The NASDAQ Stock Market LLC (``Nasdaq'') filed with
the Securities and Exchange Commission (``Commission'') the proposed
rule change as described in Items I, II, and III below, which Items
have been prepared by Nasdaq. The Commission is publishing this notice
to solicit comments on the proposed rule change from interested
persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of the
Substance of the Proposed Rule Change

    The proposed rule change adopts additional listing criteria that
Nasdaq proposes to apply when listing acquisition vehicles. Nasdaq will
implement the proposed rule upon approval.
    The text of the proposed rule change is below. Proposed new
language is in italics; proposed deletions are in brackets.\3\
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    \3\ Changes are marked to the rule text that appears in the
electronic manual of Nasdaq found at http://nasdaq.complinet.com.

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[IM-4300.] IM-4300-1. Use of Discretionary Authority

    No changes.
IM-4300-2. Listing of Companies Whose Business Plan Is To Complete One
or More Acquisitions

    Generally, Nasdaq will not permit the initial or continued listing
of a company that has no specific business plan or that has indicated
that its business plan is to engage in a merger or acquisition with an
unidentified company or companies.
    However, in the case of a company whose business plan is to
complete an initial public offering and engage in a merger or
acquisition with one or more unidentified companies within a specific
period of time, Nasdaq will permit the listing if the company meets all
applicable initial listing requirements, as well as the conditions
described below.
    (a) Gross proceeds from the initial public offering must be
deposited in a trust account maintained by an independent trustee, an
escrow account maintained by an ``insured depository institution,'' as
that term is defined in Section 3(c)(2) of the Federal Deposit
Insurance Act or in a separate bank account established by a registered
broker or dealer (collectively, a ``deposit account'').
    (b) Within 36 months of the effectiveness of its IPO registration
statement, the company must complete one or more business combinations
having an aggregate fair market value of at least 80% of the value of
the deposit account (excluding any deferred underwriters fees and taxes
payable on the income earned on the deposit account) at the time of the
agreement to enter into the initial combination.
    (c) Until the company has satisfied the condition in paragraph (b)
above, each business combination must be approved by a majority of the
company's independent directors.
    (d) Until the company has satisfied the condition in paragraph (b)
above, each business combination must be approved by a majority of the
shares of common stock voting at the meeting at which the combination
is being considered.
    Until the company completes a business combination where all
conditions in paragraph (b) above are met, the company must notify
Nasdaq on the appropriate form about each proposed business
combination. Following each business combination, the combined company
must meet the requirements for initial listing. If the company does not
meet the requirements for initial listing following a business
combination or does not comply with one of the requirements set forth
above, Nasdaq will issue a Staff Determination under Rule 4804 to
delist the company's securities.

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

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

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

1. Purpose
    In the past, Nasdaq has applied its discretionary authority under
Rule 4300 to deny listing to companies whose business plan is to
complete an initial public offering and engage in a subsequent,
unidentified merger or acquisition (an ``acquisition vehicle'').\4\
However, Nasdaq has observed that a number of such recent offerings
have included investor protections that serve to mitigate Nasdaq's past
concerns about listing such companies.\5\ As a result, Nasdaq has
reconsidered its prior policy and determined to list acquisition
vehicles provided they do not otherwise raise public interest
concerns.\6\ In order to provide transparency to that change in policy,
and to describe certain additional criteria that Nasdaq will require
for acquisition vehicles, Nasdaq proposes to adopt IM-4300-2, which
will set out criteria designed to afford investors in acquisition
vehicles additional protection.
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    \4\ Nasdaq Rule 4300 provides Nasdaq with broad discretionary
authority over the initial and continued listing of securities in
order to maintain the quality of and public confidence in its
market, to prevent fraudulent and manipulative acts and practices,
to promote just and equitable principles of trade, and to protect
investors and the public interest, even though the securities meet
all enumerated criteria for initial or continued listing.
    \5\ In addition, while some of Nasdaq's past denials were based,
in part, upon concerns surrounding the underwriter or sponsor of the
company, Nasdaq has observed that the underwriters and sponsors of
recent offerings do not raise similar concerns.
    \6\ As it does with any initial listing, Nasdaq will evaluate
the reputation of the company's sponsors and underwriters pursuant
to Nasdaq Rule 4300 in determining whether listing is appropriate.
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    First, these companies must meet all applicable initial listing
requirements. Thus, for initial listing, companies seeking to list on
the Nasdaq Global Market must have a minimum market value of listed
securities of $75 million and companies seeking to list on the

Nasdaq Capital Market must have a minimum market value of listed
securities of $50 million.\7\ In addition, Nasdaq has determined to
impose the following additional criteria for listing a company whose
business plan is to complete an initial public offering and engage in a
subsequent, unidentified merger or acquisition: \8\
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    \7\ Nasdaq Rules 4310(c)(2)(B) and 4420(c). Note that given the
nature of these companies, they will not satisfy the alternative
initial listing requirements because of the income and operating
history requirements of those standards. If the company chooses to
list a unit, then Rule 4310(c)(10) or 4420(h) would also be
applicable. As noted below, these companies will be required to
satisfy the initial listing requirements following subsequent
business combinations.
    \8\ These criteria were derived from protections Nasdaq has
observed built into recent transactions and Rule 419 under the
Securities Act of 1933, 17 CFR 230.419.
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    (a) Gross proceeds from the initial public offering must be
deposited in a trust account maintained by an independent trustee, an
escrow account maintained by an ``insured depository institution,'' as
that term is defined in Section 3(c)(2) of the Federal Deposit
Insurance Act or in a separate bank account established by a registered
broker or dealer (collectively, a ``deposit account'').
    (b) Within 36 months of the effectiveness of its IPO registration
statement, the company must complete one or more business combinations
having an aggregate fair market value of at least 80% of the value of
the deposit account (excluding any deferred underwriters fees and taxes
payable on the income earned on the deposit account) at the time of the
agreement to enter into the initial combination.
    (c) Until the company has satisfied the condition in paragraph (b)
above, each business combination must be approved by a majority of the
company's independent directors.
    (d) Until the company has satisfied the condition in paragraph (b)
above, each business combination must be approved by a majority of the
shares of common stock voting at the meeting at which the combination
is being considered.
    Nasdaq will also review such a company in connection with each
acquisition to assure that it remains appropriate to continue to list
the company. In that regard, Nasdaq will require that the company meet
the initial listing requirements upon conclusion of the transaction \9\
and will conduct a regulatory review of any individuals that become
newly involved with the company as a result of the transaction. If the
company does not meet the requirements for initial listing following a
business combination or does not comply with one of the requirements
set forth above, Nasdaq will issue a Staff Determination under Rule
4804 to delist the company's securities.\10\
---------------------------------------------------------------------------

    \9\ Companies will not be required to pay a new listing fee in
connection with such a review.
    \10\ The Commission notes acquisition companies listed on Nasdaq
would need to meet the applicable Nasdaq's continued listing
standards. See Telephone conversation between Steve L. Kuan, Special
Counsel, Division of Trading and Markets, Commission and Arnold
Golub, Associate General Counsel, Nasdaq, on April 4, 2008. For
example, acquisition companies that list on the Nasdaq Global Market
would need to meet the Global Market continued listing standards in
Nasdaq Rule 4450. Further, the Commission notes that units would
need to meet the listing standards in Nasdaq Rule 4310(c)(10), which
requires all component parts to meet the applicable initial and
continued listing standards.
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2. Statutory Basis
    Nasdaq believes that the proposed rule change is consistent with
the provisions of Section 6 of the Act,\11\ in general and with
Sections 6(b)(5) of the Act,\12\ in particular. Section 6(b)(5)
requires, among other things, that a registered national securities
exchange's rules must be designed to prevent fraudulent and
manipulative acts and practices, to promote just and equitable
principles of trade, and, in general, to protect investors and the
public interest. The proposed rule change is consistent with these
requirements in that it imposes additional requirements on acquisition
vehicles, which are designed to protect investors and the public
interest and prevent fraudulent and manipulative acts and practices on
the part of acquisition vehicles and their promoters.
---------------------------------------------------------------------------

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

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

    Nasdaq does not believe that the proposed rule change will result
in any burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Act, as amended.

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

    Written comments were neither solicited nor received.

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

    Within 35 days of the date of publication of this notice in the
Federal Register or within such longer period (i) as the Commission may
designate up to 90 days of such date if it finds such longer period to
be appropriate and publishes its reasons for so finding or (ii) as to
which the self-regulatory organization consents, the Commission will:
    A. By order approve such proposed rule change, or
    B. Institute proceedings to determine whether the proposed rule
change should be disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://
www.sec.gov/rules/sro.shtml); or
     Send an e-mail to<EMAIL_ADDRESS>Please include
File Number SR-Nasdaq-2008-013 on the subject line.

Paper Comments

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

.All submissions should refer to File Number SR-Nasdaq-2008-013. This
file number should be included on the subject line if e-mail is used.
To help the Commission process and review your comments more
efficiently, please use only one method. The Commission will post all
comments on the Commission's Internet Web site (http://www.sec.gov/
rules/sro.shtml). Copies of the submission, all subsequent amendments,
all written statements with respect to the proposed rule change that
are filed with the Commission, and all written communications relating
to the proposed rule change between the Commission and any person,
other than those that may be withheld from the public in accordance
with the provisions of 5 U.S.C. 552, will be available for inspection
and copying in the Commission's Public Reference Room, 100 F Street,
NE., Washington, DC 20549, on official business days between the hours
of 10 a.m. and 3 p.m. Copies of such filing also will be available for
inspection and copying at the principal office of the Exchange. All
comments received will be posted without change; the Commission does
not edit personal identifying information from submissions. You should
submit only information that

you wish to make available publicly. All submissions should refer to
File Number SR-Nasdaq-2008-013 and should be submitted on or before May
15, 2008.

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

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

Florence E. Harmon,
Deputy Secretary.
[FR Doc. E8-8912 Filed 4-23-08; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register Volume 83, Number 117 (Monday, June 18, 2018)]
[Notices]
[Pages 28329-28330]
[FR Doc No: 2018-13009]

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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

[FMCSA Docket No. FMCSA-2018-0023]

Qualification of Drivers; Exemption Applications; Diabetes
Mellitus

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

ACTION: Notice of final disposition.

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SUMMARY: FMCSA announces its decision to exempt 46 individuals from the
prohibition in the Federal Motor Carrier Safety Regulations (FMCSRs)
against persons with insulin-treated diabetes mellitus (ITDM) from
operating a commercial motor vehicle (CMV) in interstate commerce. The
exemptions enable these individuals with ITDM to operate CMVs in
interstate commerce.

DATES: The exemptions were applicable on May 10, 2018. The exemptions
expire on May 10, 2020.

FOR FURTHER INFORMATION CONTACT: Ms. Christine A. Hydock, Chief,
Medical Programs Division,<PHONE_NUMBER>, [email protected], FMCSA,
Department of Transportation, 1200 New Jersey Avenue SE, Room W64-224,
Washington, DC 20590-0001. Office hours are from 8:30 a.m. to 5 p.m.,
e.t., Monday through Friday, except Federal holidays. If you have
questions regarding viewing or submitting material to the docket,
contact Docket Services, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

I. Electronic Access

    You may see all the comments online through the Federal Document
Management System (FDMS) at: http://www.regulations.gov.
    Docket: For access to the docket to read background documents or
comments, go to http://www.regulations.gov and/or 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., e.t., Monday through Friday,
except Federal holidays.
    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 http://www.regulations.gov, as described in
the system of records notice (DOT/ALL-14 FDMS), which can be reviewed
at http://www.dot.gov/privacy.

II. Background

    On April 9, 2018, FMCSA published a notice announcing receipt of
applications from 46 individuals requesting an exemption from diabetes
requirement in 49 CFR 391.41(b)(3) and requested comments from the
public (83 FR 15225). The public comment period ended on May 9, 2018,
and one comment was received.
    FMCSA has evaluated the eligibility of these applicants and
determined that granting the exemptions to these individuals would
achieve a level of safety equivalent to or greater than the level that
would be achieved by complying with the current regulation 49 CFR
391.41(b)(3).
    The physical qualification standard for drivers regarding diabetes
found in 49 CFR 391.41(b)(3) states that a person is physically
qualified to drive a CMV if that person has no established medical
history or clinical diagnosis of diabetes mellitus currently requiring
insulin for control.

III. Discussion of Comments

    FMCSA received one comments in this proceeding. Mr. Norman Le Doux
Sr. stated his company supports Mr. Daniel Howell receiving his Federal
diabetes exemption.

IV. Basis for Exemption Determination

    Under 49 U.S.C. 31136(e) and 31315, FMCSA may grant an exemption
from the diabetes standard in 49 CFR 391.41(b)(3) if the exemption is
likely to achieve an equivalent or greater level of safety than would
be achieved without the exemption. The exemption allows the applicants
to operate CMVs in interstate commerce.
    The Agency's decision regarding these exemption applications is
based on the program eligibility criteria and an individualized
assessment of information submitted by each applicant. The
qualifications, experience, and medical condition of

each applicant were stated and discussed in detail in the April 9,
2018, Federal Register notice (83 FR 15225) and will not be repeated in
this notice.
    These 46 applicants have had ITDM over a range of 1 to 28 years.
These applicants report no severe hypoglycemic reactions resulting in
loss of consciousness or seizure, requiring the assistance of another
person, or resulting in impaired cognitive function that occurred
without warning symptoms, in the past 12 months and no recurrent (two
or more) severe hypoglycemic episodes in the past five years. In each
case, an endocrinologist verified that the driver has demonstrated a
willingness to properly monitor and manage his/her diabetes mellitus,
received education related to diabetes management, and is on a stable
insulin regimen. These drivers report no other disqualifying
conditions, including diabetes related complications. Each meets the
vision requirement at 49 CFR 391.41(b)(10).
    Consequently, FMCSA finds that in each case exempting these
applicants from the diabetes requirement in 49 CFR 391.41(b)(3) is
likely to achieve a level of safety equal to that existing without the
exemption.

V. Conditions and Requirements

    The terms and conditions of the exemption are provided to the
applicants in the exemption document and includes the following: (1)
Each driver must submit a quarterly monitoring checklist completed by
the treating endocrinologist as well as an annual checklist with a
comprehensive medical evaluation; (2) each driver must report within
two business days of occurrence, all episodes of severe hypoglycemia,
significant complications, or inability to manage diabetes; also, any
involvement in an accident or any other adverse event in a CMV or
personal vehicle, whether or not it is related to an episode of
hypoglycemia; (3) each driver must provide a copy of the
ophthalmologist's or optometrist's report to the Medical Examiner at
the time of the annual medical examination; and (4) each driver must
provide a copy of the annual medical certification to the employer for
retention in the driver's qualification file, or keeping a copy in his/
her driver's qualification file if he/she is self-employed. The driver
must also have a copy of the exemption when driving, for presentation
to a duly authorized Federal, State, or local enforcement official.

VI. Preemption

    During the period the exemption is in effect, no State shall
enforce any law or regulation that conflicts with this exemption with
respect to a person operating under the exemption.

VII. Conclusion

    Based upon its evaluation of the 46 exemption applications, FMCSA
exempts the following drivers from the diabetes requirement in 49 CFR
391.41(b)(10), subject to the requirements cited above:

Mark G. Albertson (NY)
Duane L. Barrett (AL)
Marvin L. Bodey (TX)
Kevin A. Cardona (NY)
James W. Carlson (WI)
Kyle E. Caswell (MA)
Nathaniel W. Curry (NC)
Henry H. Daugherty (PA)
Victor D. Davis (DE)
Todd E. Dawson (MI)
James A. Denmark (GA)
John V. Dobrowski (NH)
Michael W. Driggers (SC)
Michael J. Duffey (VA)
Timothy L. Ebbers (IL)
Alfred K. Estes (WI)
Travis L. Gelbrich (OR)
Wyllshaun A. Gipson (ME)
Adam K. Graham (PA)
Nicholas D. Haggerty (WV)
John A. Hayes (NY)
Dennis R. Henry (TX)
Kenneth R. Henry (TX)
Robert T. Holcombe (TN)
Richard P. Houle (WA)
Daniel S. Howell (PA)
Christopher S. Justice (NC)
William T. Kribell (SD)
Jason A. Lantz (MN)
Dennis A. Lightbown (CO)
Anthony L. Maita (PA)
Robert M. Matthies (MA)
James J.P. May (CA)
Dale H.N. McCann (PA)
James L. Morgan, Jr. (NC)
William L. Nicklas (PA)
Lorenzo E. Romo (TX)
Dennis K. Rottenbucher (SD)
Gregory Schembri (PA)
Douglas R. Schrader (WI)
Ethan J. Stewmon (TN)
Charles F. Stockton (MO)
Michael E. Thomas (NE)
Benjamin D. Utoft (IA)
Cassandra D. Waters (MD)
Daniel J. Welch (MI)

    In accordance with 49 U.S.C. 31136(e) and 31315, each exemption
will be valid for two years from the effective date unless revoked
earlier by FMCSA. The exemption will be revoked if the following
occurs: (1) The person fails to comply with the terms and conditions of
the exemption; (2) the exemption has resulted in a lower level of
safety than was maintained prior to being granted; or (3) continuation
of the exemption would not be consistent with the goals and objectives
of 49 U.S.C. 31136(e) and 31315.

    Issued on: June 11, 2018.
Larry W. Minor,
Associate Administrator for Policy.
[FR Doc. 2018-13009 Filed 6-15-18; 8:45 am]
 BILLING CODE 4910-EX-P


                     U.S. Environmental Protection Agency
               CHILDREN'S HEALTH PROTECTION ADVISORY COMMITTEE
                               January 15, 2020
                                Teleconference
                1200 Pennsylvania Ave NW, Washington, DC 20004

                             -  Meeting Summary  -
On January 15, 2020, the Children's Health Protection Advisory Committee (CHPAC) held a public teleconference from 10:30 a.m. to 12:00 p.m. EST. [See Appendix A for the meeting agenda, Appendix B for a list of the CHPAC members present.]
For questions regarding CHPAC, please contact the U.S. Environmental Protection Agency (EPA or the Agency) Designated Federal Official (DFO), Nica Louie, at<EMAIL_ADDRESS>or at<PHONE_NUMBER>.
Welcome, Introductions and Agenda Review
Barbara Morrissey, CHPAC chair, introduced the co-chairs of the CHPAC risk communication workgroup and gave an overview of the agenda. Nica Louie, EPA, introduced herself and reminded members of her role as the CHPAC DFO. CHPAC members, OCHP staff, and members of the public introduced themselves.
Rebecca Bratspies, CHPAC risk communication workgroup co-chair, discussed the draft of the CHPAC's risk communication comment letter. She began by reviewing the changes that were made to the letter since the CHPAC's last meeting in September. Rebecca explained that after the meeting she worked with her co-chair, Maureen Little, to incorporate the feedback that they had received into the new draft letter.
Barbara thanked the workgroup co-chairs and other CHPAC members for their contributions to the letter. She then described where the CHPAC was in the process of finalizing the letter and identifying remaining issues. The CHPAC had two plenary meetings in 2019, including a breakout session in the Fall to brainstorm ideas that should be included in the letter. After the Fall meeting, all CHPAC members were given the opportunity to review the draft of the letter and submit comments. She explained that the focus of today's meeting was to identify any remaining issues and to make sure there is support for the final letter by the end of the meeting.
Barbara asked the CHPAC members for general comments on the letter.
 One CHPAC member said the letter was good and clear. Another CHPAC member agreed and said thank you to the co-chairs.
Review of CHPAC's Risk Communication Comment Letter for the EPA Administrator
Barbara Morrissey, CHPAC chair, asked CHPAC members and the general public to follow along as they began to review the letter line by line.
The CHPAC had no comments or edits for lines 7-23.
CHPAC members raised the following point when reading lines 24-60:
 One CHPAC member mentioned the section was missing a discussion about the toxicodynamic aspect of children's unique vulnerabilities and that a sentence should be added to capture this important factor.
CHPAC members discussed the following edits while reviewing lines 67-98:
 A CHPAC member said the meaning of the "train the trainer" program was confusing. She was unsure who would be trained and how the training would help EPA improve its risk communication. Another CHPAC member explained that the train the trainer program was meant to help EPA work with partner organizations to better tailor its risk communication messaging to the specific audience that it is trying to target. The program would help EPA draw on the expertise of its partners to develop better and more robust messaging that was more accessible to a range of audiences. Deanna said she would provide the necessary changes to make the letter clearer.
CHPAC members made the following suggestions for lines 102-177.
 One CHPAC member liked how lines 98-118 were written, but they were confused about how the section related to culturally appropriate and consistent risk communication. The CHPAC member felt that since lines 98-118 focused on ideas related to how EPA can build capacity, it should be included in its own section on "capacity building". The workgroup co-chairs agreed and said they would work on making sure the sections were organized in a way that made sense.
 Two CHPAC members asked that both "Design for the Environment" and "Safer Choice" cleaning supplies be included in this section since both are equally important.
 Another CHPAC member recommended grammar and punctuation edits.
The following points were raised by CHPAC members for lines 182-220:
 One CHPAC member said they liked the examples that were used in this section to illustrate their points.
 A CHPAC member asked that a reference or footnote be added for people who want to find out more information on EPA's integrated pest management program.
 A member requested that a few words be added to this section to emphasize the need for better coordination between EPA and its regional offices.
 Another CHPAC member said they liked that the letter mentioned the importance for EPA to better understand and tailor its risk communication to match the literacy level of the intended audience for the messaging.
CHPAC members discussed the following edits for lines 224-263:
 One member suggested that the term "non-traditional audiences" be changed to something that was more comprehensive. The member suggested changing the phrase to "a variety of audiences" or "the fullest range of audiences".
 The CHPAC workgroup co-chair requested that the group read the last paragraph in the sentence and make sure that there is consensus since the paragraph was recently added. There were no additional comments.
 A CHPAC member requested that state and local environmental agencies be added to the list of organizations that support EPA's mission to provide services for school environmental health programs. The member felt that all of EPA's state and local partners should be recognized for their work. The CHPAC co-chairs asked the group if there were any other existing networks of state and local partners that should be added to this section.
CHPAC members made the following recommendations when reviewing lines 264-289:
 Several CHPAC members requested that school nurses, PEHSUs and nurse alliances be referenced specifically in this part of the letter.
 Another CHPAC member agreed and said that the Alliance for Nurses for Healthy Environments and the National Association of School Nurses would both be added to the examples of trusted partners in Charge Question 3.
Appendix 1
CHPAC members discussed adding several new community groups, healthcare organizations, trade associations, and health centers to the list of partners in Appendix 1. The CHPAC co-chair requested that members send her an email with additional information that they wanted included in Appendix 1 after the meeting was over.
Appendix 2
Alternative methods of reaching the target audience were discussed when reviewing Appendix 2. Outreach to trade associations, development of new k-12 curriculum, certificates in environmental health for early childhood educators and social media campaigns targeted at teenagers were a few of the ideas that were mentioned by the CHPAC.
Public Comments
 Michael Bailey, Georgia Department of Human Services, recommended a train the trainer program that would task EPA with training state and local agencies be mentioned in line 91. Michael requested that universities and research institutions be added as trusted partners. He also explained that environmental justice organizations and parent-student associations should be added to the list of community groups in line 333 of the letter. Regarding scientific and healthcare communities, Michael requested that the letter include hospital associations, public health and environmental professional organizations, and groups for professionals in economics. He added that two alternative ways EPA could reach its target audiences through messaging is through county health departments and the offices of vital records, and through the development of continuing education units (CEUs) for early childhood professionals.
Next Steps
 Barbara requested that all CHPAC members send any remaining suggestions in writing to the work group chairs. Barbara explained that a consensus form and final draft of the letter would be sent out shortly. No members indicated that they would not support the final letter.

                                  Appendix A

                    U.S. Environmental Protection Agency (EPA)
           Children's Health Protection Advisory Committee (CHPAC)
                               January 15, 2020

                  Call-In Number:<PHONE_NUMBER> Code: 9394482#

                                    AGENDA

Meeting Objective
Review and finalize the CHPAC letter re: Recommendations for Improving Children's Environmental Health Messaging and Risk Communication at EPA.

Wednesday, January 15, 2020
10:30  -  10:35
Welcome
Nica Louie, Designated Federal Official, EPA Office of Children's Health Protection

10:35  -  10:40

Introductions
Barbara Morrissey, CHPAC Chair

10:40  -  10:50

Summary of Changes to the Letter
Maureen Little and Rebecca Bratspies, Workgroup Co-Chairs

10:50  -  11:40

Review of Draft Risk Communications Letter
Barbara Morrissey, CHPAC Chair

Discussion

11:40  -  11:50

Public Comment

11:50  -  12:00

Wrap-Up and Next Steps
Barbara Morrissey, CHPAC Chair

12:00

Adjourn

                                  Appendix B

                     U.S. Environmental Protection Agency
               Children's Health Protection Advisory Committee
                               January 15, 2020

                  Members Present on the Teleconference Line

Lori Byron
Indian Health Service - Crow Agency (Retired)
Billings
MT
Ellen Braff-Guajardo
W.K. Kellogg Foundation
Battle Creek
MI
Rebecca Bratspies
CUNY School of Law
Long Island City
NY
Joel Forman
Department of Pediatrics, Icahn School of Medicine at Mount Sinai
New York
NY
Julie Froelicher
Procter & Gamble
Cincinnati
OH
Pinar Kodaman
Yale University
New Haven
CT
Maureen Little
NYC Department of Health and Mental Hygiene
New York
NY
Mark Miller
California Environmental Protection Agency;
University of California, San Francisco
San Francisco
CA
Barbara Morrissey
Washington State Department of Health
Olympia
WA
Tom Neltner
Environmental Defense Fund
Washington
DC
Greg Ornella
Sherwin-Williams
Cleveland
OH
Rubin Patterson
Howard University
Washington
DC
James Roberts
Medical University of South Carolina
Charleston
SC
Deanna Scher
Minnesota Department of Health
Saint Paul
MN


[Federal Register Volume 88, Number 196 (Thursday, October 12, 2023)]
[Notices]
[Pages 70674-70675]
[FR Doc No: 2023-22567]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2023-N-0008]

Request for Nominations of Individuals and Consumer Organizations
for the Digital Health Advisory Committee

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice.

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

SUMMARY: The Food and Drug Administration (FDA or Agency) is requesting
nominations for a voting consumer representative to serve on the
Digital Health Advisory Committee. FDA is also requesting that any
consumer organizations interested in participating in the selection of
a voting consumer representative to serve on the Digital Health
Advisory Committee notify FDA in writing. Nominees recommended to serve
as a voting consumer representative may either be self-nominated or may
be nominated by a consumer organization. Nominations will be accepted
for the current vacancy effective with this notice. FDA seeks to
include the views of members of all gender groups, members of all
racial and ethnic groups, and individuals with and without disabilities
on its advisory committees and, therefore encourages nominations of
appropriately qualified candidates from these groups.

DATES: Any consumer organization interested in participating in the
selection of an appropriate voting member to represent consumer
interests on the Digital Health Advisory Committee may send a letter or
email stating that interest to FDA (see ADDRESSES) by November 27, 2023
for vacancy listed in this notice. Concurrently, nomination materials
for prospective candidates should be sent to FDA (see ADDRESSES) by
November 27, 2023. Nominations will be accepted for current vacancy.

ADDRESSES: All statements of interest from consumer organizations
interested in participating in the selection process should be
submitted electronically to [email protected] or by mail to
Advisory Committee and Management Staff, Food and Drug Administration,
10903 New Hampshire Ave., Bldg. 32, Rm. 5122, Silver Spring, MD 20993-
0002.
    Consumer representative nominations should be submitted
electronically by logging into the FDA Advisory Committee Membership
Nomination Portal: https://www.accessdata.fda.gov/scripts/FACTRSPortal/FACTRS/index.cfm or by mail to Advisory Committee Oversight and
Management Staff, 10903 New Hampshire Ave., Bldg. 32, Rm. 5122, Silver
Spring, MD 20993-0002. Additional information about becoming a member
of an FDA advisory committee can also be obtained by visiting FDA's
website at https://www.fda.gov/AdvisoryCommittees/default.htm.

FOR FURTHER INFORMATION CONTACT:
    For questions relating to participation in the selection process:
Kimberly Hamilton, Advisory Committee Oversight and Management Staff,
Food and Drug Administration, 10903 New Hampshire Ave., Bldg. 32, Rm.
5122, Silver Spring, MD 20993-0002,<PHONE_NUMBER>,
[email protected].
    For questions relating to the Digital Health Advisory Committee:
James Swink, Center for Devices and Radiological Health, Food and Drug
Administration, 10903 New Hampshire Ave., Bldg. 66, Rm. 5211, Silver
Spring, MD 20993-0002,<PHONE_NUMBER>, [email protected].

SUPPLEMENTARY INFORMATION: FDA is requesting nominations for a voting
consumer representative on the Digital Health Advisory Committee.
Elsewhere in this Federal Register, FDA is publishing separate
documents regarding:

1. Digital Health Advisory Committee; Notice of Establishment
2. Request for Nominations for Voting Members on a Public Advisory
Committee: Digital Health Advisory Committee
3. Request for Nominations of Individuals and Industry Organizations
for the Digital Health Advisory Committee

I. Function and General Description of the Committee Duties

Digital Health Advisory Committee

    The Committee provides advice on complex scientific and technical
issues related to Digital Health Technologies (DHTs). This also may
include advice on the regulation of DHTs, and/or their use, including
use of DHTs in clinical trials or postmarket studies subject to FDA
regulation. Topics relating to DHTs, such as artificial intelligence/
machine learning, augmented reality, virtual reality, digital
therapeutics, wearables, remote patient monitoring, and software, may
be considered by the Committee. The Committee advises the Commissioner
on issues related to DHTs, including, for example, real-world data,
real-world evidence, patient-generated health data,

interoperability, personalized medicine/genetics, decentralized
clinical trials, use of DHTs in clinical trials for medical products,
cybersecurity, DHT user experience, and Agency policies and regulations
regarding these technologies. The Committee provides relevant expertise
and perspective to improve Agency understanding of the benefits, risks,
and clinical outcomes associated with use of DHTs.

II. Criteria for Members

    Persons nominated for membership as a consumer representative on
this committee should meet the following criteria: (1) demonstrate an
affiliation with and/or active participation in in consumer or
community-based organizations, (2) be able to analyze technical data,
(3) understand research design, (4) discuss benefits and risks, and (5)
evaluate the safety and efficacy of products under review. The consumer
representative should be able to represent the consumer perspective on
issues and actions before the advisory committee; serve as a liaison
between the committee and interested consumers, associations,
coalitions, and consumer organizations; and facilitate dialogue with
the advisory committees on scientific issues that affect consumers.

III. Selection Procedures

    Selection of members representing consumer interests is conducted
through procedures that include the use of organizations representing
the public interest and public advocacy groups. These organizations
recommend nominees for the Agency's selection. Representatives from the
consumer health branches of Federal, State, and local governments also
may participate in the selection process. Any consumer organization
interested in participating in the selection of an appropriate voting
member to represent consumer interests should send a letter stating
that interest to FDA (see ADDRESSES) within 30 days of publication of
this document.
    Within the subsequent 45 days, FDA will compile a list of consumer
organizations that will participate in the selection process and will
forward to each such organization a ballot listing at least two
qualified nominees selected by the Agency based on the nominations
received, together with each nominee's current curriculum vitae or
r[eacute]sum[eacute]. Ballots are to be filled out and returned to FDA
within 30 days. The nominee receiving the highest number of votes
ordinarily will be selected to serve as the member representing
consumer interests for that particular advisory committee.

IV. Nomination Procedures

    Any interested person or organization may nominate one or more
qualified persons to represent consumer interests on the Digital Health
Advisory Committee with the exception of the following: individuals who
are not U.S. citizens or nationals cannot be appointed as Advisory
Committee Members (42 U.S.C. 217(a)) in FDA. Self-nominations are also
accepted. Nominations must include a current, complete
r[eacute]sum[eacute] or curriculum vitae for each nominee, including
current business and/or home address, telephone number, and email
address if available; a signed copy of the Acknowledgment and Consent
form available at the FDA Advisory Nomination Portal (see ADDRESSES),
and a list of consumer or community-based organizations for which the
candidate can demonstrate active participation.
    Nominations should also specify the advisory committee for which
the nominee is recommended. In addition, nominations must also
acknowledge that the nominee is aware of the nomination, unless self-
nominated. FDA will ask potential candidates to provide detailed
information concerning such matters related to financial holdings,
employment, and research grants and/or contracts to permit evaluation
of possible sources of conflicts of interest. Members will be invited
to serve for terms up to 4 years.
    FDA will review all nominations received within the specified
timeframes and prepare a ballot containing the names of qualified
nominees. Names not selected will remain on a list of eligible nominees
and be reviewed periodically by FDA to determine continued interest.
After selecting qualified nominees for the ballot, FDA will provide
those consumer organizations that are participating in the selection
process with the opportunity to vote on the listed nominees. Only
organizations vote in the selection process. Persons who nominate
themselves to serve as voting consumer representatives will not
participate in the selection process.
    This notice is issued under the Federal Advisory Committee Act (5
U.S.C. app. 2) and 21 CFR part 14, relating to advisory committees.

    Dated: October 6, 2023.
Lauren K. Roth,
Associate Commissioner for Policy.
[FR Doc. 2023-22567 Filed 10-11-23; 8:45 am]
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[Federal Register Volume 88, Number 14 (Monday, January 23, 2023)]
[Notices]
[Page 3983]
[FR Doc No: 2023-01177]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings

    Take notice that the Commission has received the following Natural
Gas Pipeline Rate and Refund Report filings:

Filings Instituting Proceedings

    Docket Numbers: RP23-357-000.
    Applicants: LA Storage, LLC.
    Description: Sec.  4(d) Rate Filing: Filing of Negotiated Rate,
Conforming IW Agreement 1.13.23 to be effective 1/16/2023.
    Filed Date: 1/13/23.
    Accession Number: 20230113-5148.
    Comment Date: 5 p.m. ET 1/25/23.

    Docket Numbers: RP23-358-000.
    Applicants: Spire STL Pipeline LLC.
    Description: Compliance filing: Spire STL Cost and Revenue Study re
CP17-40-000 to be effective N/A.
    Filed Date: 1/13/23.
    Accession Number: 20230113-5249.
    Comment Date: 5 p.m. ET 1/25/23.

    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.
    The filings are accessible in the Commission's eLibrary system
(https://elibrary.ferc.gov/idmws/search/fercgensearch.asp) by querying
the docket number.
    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: January 17, 2023.
Debbie-Anne A. Reese,
Deputy Secretary.
[FR Doc. 2023-01177 Filed 1-20-23; 8:45 am]
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[Federal Register: July 16, 2009 (Volume 74, Number 135)]
[Notices]
[Page 34626]
[DOCID:fr16jy09-99]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

Agency Information Collection Activity Seeking OMB Approval

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice.

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SUMMARY: The FAA invites public comments about our intention to request
the Office of Management and Budget's (OMB) revision of a current
information collection. The Federal Register Notice with a 60-day
comment period soliciting comments on the following collection of
information was published on February 2, 2009, vol. 74, no. 20, page
5885. This information is used to issue special flight authorizations
for non-revenue operations of Stage 2 airplanes at U.S. airports.

DATES: Please submit comments by August 17, 2009.

FOR FURTHER INFORMATION CONTACT: Carla Mauney at<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Federal Aviation Administration (FAA)

    Title: Changes in Permissible Stage 2 Airplane Operations.
    Type of Request: Extension without change of a currently approved
collection.
    OMB Control Number: 2120-0652.
    Forms(s): There are no FAA forms associated with this collection.
    Affected Public: An estimated 50 Respondents
    Frequency: This information is collected on occasion.
    Estimated Average Burden Per Response: Approximately 14.4 minutes
per response.
    Estimated Annual Burden Hours: An estimated 12 hours annually.
    Abstract: This information is used to issue special flight
authorizations for non-revenue operations of Stage 2 airplanes at U.S.
airports. Only a minimal amount of data is requested to identify the
affected parties and determine whether the purpose for the flight is
one of those enumerated by law.

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 oira_
<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.
    Comments are invited on: Whether the proposed collection of
information is necessary for the proper performance of the functions of
the Department, including whether the information will have practical
utility; the accuracy of the Department's estimates of the burden of
the proposed information collection; ways to enhance the quality,
utility, and clarity of the information to be collected; and ways to
minimize the burden of the collection of information on respondents,
including the use of automated collection techniques or other forms of
information technology.

    Issued in Washington, DC, on July 10, 2009.
Carla Mauney,
FAA Information Collection Clearance Officer, IT Enterprises Business
Services Division, AES-200.
[FR Doc. E9-16807 Filed 7-15-09; 8:45 am]

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