[Federal Register Volume 84, Number 32 (Friday, February 15, 2019)]
[Notices]
[Pages 4554-4562]
[FR Doc No: 2019-02493]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-85106; File No. S7-966]

Program for Allocation of Regulatory Responsibilities Pursuant to
Rule 17d-2; Notice of Filing and Order Approving and Declaring
Effective an Amendment to the Plan for the Allocation of Regulatory
Responsibilities Among NYSE American LLC, Cboe BZX Exchange, Inc., the
Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc., Cboe Exchange, Inc.,
Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., NYSE
Arca, Inc., The NASDAQ Stock Market LLC, BOX Exchange LLC, NASDAQ BX,
Inc., NASDAQ PHLX LLC, Miami International Securities Exchange, LLC,
Nasdaq GEMX, LLC, Nasdaq MRX, LLC, MIAX PEARL, LLC, and MIAX Emerald,
LLC Concerning Options-Related Sales Practice Matters

February 12, 2019.
    Notice is hereby given that the Securities and Exchange Commission
(``Commission'') has issued an Order, pursuant to Section 17(d) of the
Securities Exchange Act of 1934 (``Act''),\1\ approving and declaring
effective an amendment to the plan for allocating regulatory
responsibility (``Plan'') filed on January 3, 2019, pursuant to Rule
17d-2 of the Act,\2\ by NYSE American LLC (``NYSE American''), Cboe BZX
Exchange, Inc., (``BZX''), the Cboe EDGX Exchange, Inc. (``EDGX''),
Cboe C2 Exchange, Inc. (``C2''), Cboe Exchange, Inc. (``Cboe''), Nasdaq
ISE, LLC (``ISE''), Financial Industry Regulatory Authority, Inc.
(``FINRA''), NYSE Arca, Inc. (``Arca''), The NASDAQ Stock Market LLC
(``Nasdaq''), BOX Exchange LLC (``BOX''), NASDAQ BX, Inc. (``BX''),
NASDAQ PHLX LLC (``PHLX''), Miami International Securities Exchange,
LLC (``MIAX''), Nasdaq GEMX, LLC (``Gemini''), Nasdaq MRX, LLC
(``Mercury''), MIAX PEARL, LLC (``MIAX PEARL''), and MIAX Emerald, LLC
(MIAX Emerald) (collectively, ``Participating Organizations'' or
``parties'').
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    \1\ 15 U.S.C. 78q(d).
    \2\ 17 CFR 240.17d-2.
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I. Introduction

    Section 19(g)(1) of the Act,\3\ among other things, requires every
self-regulatory organization (``SRO'') registered as either a national
securities exchange or national securities association to examine for,
and enforce compliance by, its members and persons associated with its
members with the Act, the rules and regulations thereunder, and the
SRO's own rules, unless the SRO is relieved of this responsibility
pursuant to Section 17(d) \4\ or Section 19(g)(2) \5\ of the Act.
Without this relief, the statutory obligation of each individual SRO
could result in a pattern of multiple examinations of broker-dealers
that maintain memberships in more than one SRO (``common members'').
Such regulatory duplication would add unnecessary expenses for common
members and their SROs.
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    \3\ 15 U.S.C. 78s(g)(1).
    \4\ 15 U.S.C. 78q(d).
    \5\ 15 U.S.C. 78s(g)(2).
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    Section 17(d)(1) of the Act \6\ was intended, in part, to eliminate
unnecessary multiple examinations and regulatory duplication.\7\ With
respect to a common member, Section 17(d)(1) authorizes the Commission,
by rule or order, to relieve an SRO of the responsibility to receive
regulatory reports, to examine for and enforce compliance with
applicable statutes, rules, and regulations, or to perform other
specified regulatory functions.
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    \6\ 15 U.S.C. 78q(d)(1).
    \7\ See Securities Act Amendments of 1975, Report of the Senate
Committee on Banking, Housing, and Urban Affairs to Accompany S.
249, S. Rep. No. 94-75, 94th Cong., 1st Session 32 (1975).
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    To implement Section 17(d)(1), the Commission adopted two rules:
Rule 17d-1 and Rule 17d-2 under the Act.\8\ Rule 17d-1 authorizes the
Commission to name a single SRO as the designated examining authority
(``DEA'') to examine common members for compliance with the financial
responsibility requirements imposed by the Act, or by Commission or SRO
rules.\9\ When an SRO has been named as a common member's DEA, all
other SROs to which the common member belongs are relieved of the
responsibility to examine the firm for compliance with the applicable
financial responsibility rules. On its face, Rule 17d-1 deals only with
an SRO's obligations to enforce member compliance with financial
responsibility requirements. Rule 17d-1 does not relieve an SRO from
its obligation to examine a common member for compliance with its own
rules and provisions of the federal securities laws governing matters
other than financial responsibility, including sales practices and
trading activities and practices.
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    \8\ 17 CFR 240.17d-1 and 17 CFR 240.17d-2, respectively.
    \9\ See Securities Exchange Act Release No. 12352 (April 20,
1976), 41 FR 18808 (May 7, 1976).
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    To address regulatory duplication in these and other areas, the
Commission adopted Rule 17d-2 under the Act.\10\ Rule 17d-2 permits
SROs to propose joint plans for the allocation of regulatory
responsibilities with respect to their common members. Under paragraph
(c) of Rule 17d-2, the Commission may declare such a plan effective if,
after providing for notice and comment, it determines that the plan is
necessary or appropriate in the public interest and for the protection
of investors, to foster cooperation and coordination among the SROs, to
remove impediments to, and foster the development of, a national market
system and a national clearance and settlement system, and is in
conformity with the factors set forth in Section 17(d) of the Act.
Commission approval of a plan filed pursuant to Rule 17d-2 relieves an
SRO of those regulatory responsibilities allocated by the plan to
another SRO.
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    \10\ See Securities Exchange Act Release No. 12935 (October 28,
1976), 41 FR 49091 (November 8, 1976).
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II. The Plan

    On September 8, 1983, the Commission approved the SRO participants'
plan for allocating regulatory responsibilities pursuant to Rule 17d-
2.\11\ On May 23, 2000, the Commission approved an amendment to the
plan that added the ISE as a participant.\12\ On November 8, 2002, the
Commission approved another amendment that replaced the original plan
in its entirety and, among other things, allocated regulatory
responsibilities among all the participants in a more equitable
manner.\13\ On February 5, 2004, the Commission approved an amendment
to the plan, primarily to include the BSE, which was establishing a new
options trading facility to be known as BOX, as

an SRO participant.\14\ On March 26, 2007, the Commission approved an
amendment to the plan that, among other things, provided that the
National Association of Securities Dealers (``NASD'') (n/k/a FINRA) and
NYSE are Designated Options Examining Authorities under the plan.\15\
On March 12, 2008, the Commission approved an amendment to the plan
primarily to add NASDAQ as an SRO participant.\16\ On June 18, 2008,
the Commission approved an amendment to the plan primarily to remove
the NYSE as a Designated Options Examining Authority, leaving FINRA as
the sole Designated Options Examining Authority for all common members
that are members of FINRA.\17\ On February 25, 2010, the Commission
approved a proposed amendment to the plan to add Bats and C2 as SRO
participants and to reflect the name changes of the American Stock
Exchange LLC to the NYSE Amex LLC, the Boston Stock Exchange, Inc., to
the NASDAQ OMX BX, Inc. and the Philadelphia Stock Exchange, Inc. to
the NASDAQ OMX PHLX, Inc.\18\ On May 11, 2012, the Commission approved
an amendment to the plan to add BOX as an SRO participant and to amend
Section XIII of the plan to set forth a revised procedure for adding
new participants to the plan.\19\ On December 5, 2012, the Commission
approved an amendment to the plan to add MIAX as an SRO participant,
and to change the name of NYSE Amex LLC to NYSE MKT LLC.\20\ On July
26, 2013, the Commission approved an amendment to the plan to add Topaz
Exchange LLC as an SRO participant.\21\ On October 29, 2015, the
Commission approved an amendment to the plan to add EDGX as an SRO
participant and to change the name of Topaz Exchange, LLC to ISE
Gemini, LLC.\22\ On February 16, 2016, the Commission approved an
amendment to the plan to add ISE Mercury, and remove the NYSE, as an
SRO participant to the Plan.\23\ On February 2, 2017, the Commission
approved an amendment to the plan to add MIAX PEARL as an SRO
participant to the Plan.\24\
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    \11\ See Securities Exchange Act Release No. 20158 (September 8,
1983), 48 FR 41256 (September 14, 1983).
    \12\ See Securities Exchange Act Release No. 42816 (May 23,
2000), 65 FR 34759 (May 31, 2000).
    \13\ See Securities Exchange Act Release No. 46800 (November 8,
2002), 67 FR 69774 (November 19, 2002).
    \14\ See Securities Exchange Act Release No. 49197 (February 5,
2004), 69 FR 7046 (February 12, 2004).
    \15\ See Securities Exchange Act Release No. 55532 (March 26,
2007), 72 FR 15729 (April 2, 2007).
    \16\ See Securities Exchange Act Release No. 57481 (March 12,
2008), 73 FR 14507 (March 18, 2008).
    \17\ See Securities Exchange Act Release No. 57987 (June 18,
2008), 73 FR 36156 (June 25, 2008).
    \18\ See Securities Exchange Act Release No. 61589 (February 25,
2012), 75 FR 9976 (March 4, 2010).
    \19\ See Securities Exchange Act Release No. 66974 (May 11,
2012), 77 FR 29705 (May 18, 2012).
    \20\ See Securities Exchange Act Release No. 68363 (December 5,
2012), 77 FR 73711 (December 11, 2012).
    \21\ See Securities Exchange Act Release No. 70051 (July 26,
2013), 78 FR 46644 (August 1, 2013).
    \22\ See Securities Exchange Act Release No. 76309 (October 29,
2015), 80 FR 68361 (November 4, 2015).
    \23\ See Securities Exchange Act Release No. 77148 (February 16,
2016), 81 FR 8775 (February 22, 2016).
    \24\ See Securities Exchange Act Release No. 79929 (February 2,
2017), 82 FR 9757 (February 8, 2017).
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    The plan reduces regulatory duplication for a large number of firms
currently members of two or more of the SRO participants by allocating
regulatory responsibility for certain options-related sales practice
matters to one of the SRO participants. Generally, under the plan, the
SRO participant responsible for conducting options-related sales
practice examinations of a firm, and investigating options-related
customer complaints and terminations for cause of associated persons of
that firm, is known as the firm's ``Designated Options Examining
Authority'' (``DOEA''). Pursuant to the plan, any other SRO of which
the firm is a member is relieved of these responsibilities during the
period in which the firm is assigned to another SRO acting as that
firm's DOEA.

III. Proposed Amendment to the Plan

    On January 3, 2019, the Parties submitted a proposed amendment to
the Plan. The primary purpose of the amendment is to add MIAX Emerald
as a Participant to the Plan and to reflect name changes of certain
Participating Organizations. The text of the proposed amended 17d-2
plan is as follows (additions are italicized; deletions are
[bracketed]):
* * * * *

Agreement by and Among [Bats]Cboe BZX Exchange, Inc., BOX Options
Exchange, LLC, [the Chicago Board Options]Cboe Exchange,
Inc.[orporated], Cboe C2 [Options] Exchange, Inc.[orporated], [the
International Securities Exchange]Nasdaq ISE, LLC, Financial Industry
Regulatory Authority, Inc., Miami International Securities Exchange,
LLC, [the] NYSE [MKT]American LLC, [the] NYSE Arca, Inc., The
[NASDAQ]Nasdaq Stock Market LLC, [NASDAQ]Nasdaq BX, Inc., [the
NASDAQ]Nasdaq PHLX LLC, [ISE Gemini]Nasdaq GEMX, LLC, [Bats]Cboe EDGX
Exchange, Inc., [ISE Mercury]Nasdaq MRX, LLC [and], MIAX PEARL, LLC and
MIAX Emerald, LLC Pursuant to Rule 17d-2 Under the Securities Exchange
Act of 1934

    This agreement (``Agreement''), by and among [Bats]Cboe BZX
Exchange, Inc., BOX Options Exchange, LLC, [the Chicago Board
Options]Cboe Exchange, Inc.[orporated], Cboe C2 [Options] Exchange,
Inc.[orporated], [the International Securities Exchange]Nasdaq ISE,
LLC, Financial Industry Regulatory Authority, Inc. (``FINRA''), Miami
International Securities Exchange, LLC, The [NASDAQ]Nasdaq Stock Market
LLC (``[NASDAQ]Nasdaq''), [NASDAQ]Nasdaq BX, Inc., [the] NYSE
[MKT]American LLC, [the] NYSE Arca, Inc., [the NASDAQ]Nasdaq PHLX LLC,
[ISE Gemini]Nasdaq GEMX, LLC, [Bats]Cboe EDGX Exchange, Inc., [ISE
Mercury]Nasdaq MRX, LLC [and], MIAX PEARL, LLC and MIAX Emerald, LLC,
hereinafter collectively referred to as the Participants, is made this
[13th] 2nd day of January, [2017]2019, pursuant to the provisions of
Rule 17d-2 under the Securities Exchange Act of 1934 (the ``Exchange
Act''), which allows for plans among self-regulatory organizations to
allocate regulatory responsibility. This Agreement shall be
administered by a committee known as the Options Self-Regulatory
Council (the ``Council'').
    This Agreement amends and restates the agreement entered into among
the Participants on [February 2, 2016]January 13, 2017, entitled
``Agreement by and among [BATS]Bats BZX Exchange, Inc., BOX Options
Exchange, LLC, the Chicago Board Options Exchange, Incorporated, C2
Options Exchange, Incorporated, the International Securities Exchange,
LLC, Financial Industry Regulatory Authority, Inc., Miami International
Securities Exchange, LLC, [the New York Stock Exchange LLC,] NYSE MKT
LLC, the NYSE Arca, Inc., the NASDAQ Stock Market LLC, NASDAQ OMX BX,
Inc., the NASDAQ OMX PHLX, Inc., ISE Gemini, LLC, Bats EDGX Exchange,
Inc. [and], ISE Mercury, LLC and MIAX PEARL, LLC, Pursuant to Rule 17d-
2 under the Securities Exchange Act of 1934.''
    Whereas, the Participants are desirous of allocating regulatory
responsibilities with respect to broker-dealers, and persons associated
therewith, that are members \1\ of more than one Participant (the
``Common Members'') and conduct a public business for compliance with
Common Rules (as hereinafter defined) relating to the conduct by
broker-dealers of accounts for listed options, index warrants, currency
index warrants and

currency warrants (collectively, ``Covered Securities''); and
    Whereas, the Participants are desirous of executing a plan for this
purpose pursuant to the provisions of Rule 17d-2 and filing such plan
with the Securities and Exchange Commission (``SEC'' or the
``Commission'') for its approval;
    Now, therefore, in consideration of the mutual covenants contained
hereafter, the Participants agree as follows:

    I. As used herein the term Designated Options Examining
Authority (``DOEA'') shall mean: (1) FINRA insofar as it shall
perform Regulatory Responsibility (as hereinafter defined) for its
broker-dealer members that also are members of another Participant
or (2) the Designated Examination Authority (``DEA'') pursuant to
SEC Rule 17d-1 under the Securities Exchange Act (``Rule 17d-1'')
for a broker-dealer that is a member of a more than one Participant
(but not a member of FINRA).
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    \1\ In the case of BOX Options Exchange, LLC (``BOX''), [NASDAQ
OMX]Nasdaq BX, Inc. (``BX'') and [NASDAQ]Nasdaq members are those
persons who are options participants (as defined in the BOX, BX and
[NASDAQ]Nasdaq Options Market Rules).
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    II. As used herein, the term ``Regulatory Responsibility'' shall
mean the examination and enforcement responsibilities relating to
compliance by Common Members with the rules of the applicable
Participant that are substantially similar to the rules of the other
Participants (the ``Common Rules''), insofar as they apply to the
conduct of accounts for Covered Securities. A list of the current
Common Rules of each Participant applicable to the conduct of
accounts for Covered Securities is attached hereto as Exhibit A.
Each year within 30 days of the anniversary date of the commencement
of operation of this Agreement, each Participant shall submit in
writing to FINRA and each DEA performing as a DOEA for any members
of such Participant any revisions to Exhibit A reflecting changes in
the rules of the Participant, and confirm that all other rules of
the Participant listed in Exhibit A continue to meet the definition
of Common Rules as defined in this Agreement. Within 30 days from
the date that FINRA and each DEA performing as a DOEA has received
revisions and/or confirmation that no change has been made to
Exhibit A from all Participants, FINRA and each DEA performing as a
DOEA shall confirm in writing to each Participant whether the rules
listed in any updated Exhibit A are Common Rules as defined in this
Agreement. Notwithstanding anything herein to the contrary, it is
explicitly understood that the term ``Regulatory Responsibility''
does not include, and each of the Participants shall (unless
allocated pursuant to Rule 17d-2 otherwise than under this
Agreement) retain full responsibility for, each of the following:
    (a) Surveillance and enforcement with respect to trading
activities or practices involving its own marketplace, including
without limitation its rules relating to the rights and obligations
of specialists and other market makers;
    (b) Registration pursuant to its applicable rules of associated
persons;
    (c) Discharge of its duties and obligations as a DEA; and
    (d) Evaluation of advertising, responsibility for which shall
remain with the Participant to which a Common Member submits same
for approval.
    III. Apparent violations of another Participant's rules
discovered by a DOEA, but which rules are not within the scope of
the discovering DOEA's Regulatory Responsibility, shall be referred
to the relevant Participant for such action as the Participant to
which such matter has been referred deems appropriate.
Notwithstanding the foregoing, nothing contained herein shall
preclude a DOEA in its discretion from requesting that another
Participant conduct an enforcement proceeding on a matter for which
the requesting DOEA has Regulatory Responsibility. If such other
Participants agree, the Regulatory Responsibility in such case shall
be deemed transferred to the accepting Participant and confirmed in
writing by the Participants involved. Each Participant agrees, upon
request, to make available promptly all relevant files, records and/
or witnesses necessary to assist another Participant in an
investigation or enforcement proceeding.
    IV. The Council shall be composed of one representative
designated by each of the Participants. Each Participant shall also
designate one or more persons as its alternate representative(s). In
the absence of the representative of a Participant, such alternate
representative shall have the same powers, duties and
responsibilities as the representative. Each Participant may, at any
time, by notice to the then Chair of the Council, replace its
representative and/or its alternate representative on such Council.
A majority of the Council shall constitute a quorum and, unless
specifically otherwise required, the affirmative vote of a majority
of the Council members present (in person, by telephone or by
written consent) shall be necessary to constitute action by the
Council. The representative from FINRA shall serve as Chair of the
Council. All notices and other communications for the Council shall
be sent to it in care of the Chair or to each of the
representatives.
    V. The Council shall determine the times and locations of
Council meetings, provided that the Chair, acting alone, may also
call a meeting of the Council in the event the Chair determines that
there is good cause to do so. To the extent reasonably possible,
notice of any meeting shall be given at least ten-business days
prior thereto. Notwithstanding anything herein to the contrary,
representatives shall always be given the option of participating in
any meeting telephonically at their own expense rather than in
person.
    VI. FINRA shall have Regulatory Responsibility for all Common
Members that are members of FINRA. For the purpose of fulfilling the
Participants' Regulatory Responsibilities for Common Members that
are not members of FINRA, the Participant that is the DEA shall
serve as the DOEA. All Participants shall promptly notify the DOEAs
no later than the next scheduled meeting of any change in membership
of Common Members. A DOEA may request that a Common Member that is
allocated to it be reallocated to another DOEA by giving thirty days
written notice thereof. The DOEAs in their discretion may approve
such request and reallocate such Common Member to another DOEA.
    VII. Each DOEA shall conduct an examination of each Common
Member. The Participants agree that, upon request, relevant
information in their respective files relative to a Common Member
will be made available to the applicable DOEA. At each meeting of
the Council, each DOEA shall be prepared to report on the status of
its examination program for the previous quarter and any period
prior thereto that has not previously been reported to the Council.
    VIII. Each DOEA will promptly furnish a copy of the Examination
report, relating to Covered Securities, of any examination made
pursuant to the provisions of this Agreement to each other
Participant of which the Common Member examined is a member.
    IX. Each DOEA's Regulatory Responsibility shall for each Common
Member allocated to it include investigations into terminations
``for cause'' of associated persons relating to Covered Securities,
unless such termination is related solely to another Participant's
market. In the latter instance, that Participant to whose market the
termination for cause relates shall discharge Regulatory
Responsibility with respect to such termination for cause. In
connection with a DOEA's examination, investigation and/or
enforcement proceeding regarding a Covered Security-related
termination for cause, the other Participants of which the Common
Member is a member shall furnish, upon request, copies of all
pertinent materials related thereto in their possession. As used in
this Section, ``for cause'' shall include, without limitation,
terminations characterized on Form U5 under the label ``Permitted to
Resign,'' ``Discharge'' or ``Other.''
    X. Each DOEA shall discharge the Regulatory Responsibility for
each Common Member allocated to it relative to a Covered Securities-
related customer complaint \2\ unless such complaint is uniquely
related to another Participant's market. In the latter instance, the
DOEA shall forward the matter to that Participant to whose market
the matter relates, and the latter shall discharge Regulatory
Responsibility with respect thereto. If a Participant receives a
customer complaint for a Common Member related to a Covered Security
for which the Participant is not the DOEA, the Participant shall
promptly forward a copy of such complaint to the DOEA.
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    \2\ For purposes of complaints, they can be reported pursuant to
Form U4, Form U5 or RE-3 and any amendments thereto.
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    XI. Any written notice required or permitted to be given under
this Agreement shall be deemed given if sent by certified mail,
return receipt requested, or by a comparable means of electronic
communication to each Participant entitled to receipt thereof, to
the attention of the Participant's representative on the Council at
the Participant's then principal office or by email at such address
as the representative shall have filed in writing with the Chair.
    XII. The Participants shall notify the Common Members of this
Agreement by

means of a uniform joint notice approved by the Council.
    XIII. This Agreement may be amended to add a new Participant
provided that such Participant does not assume Regulatory
Responsibility, solely by an amendment by FINRA and such new
Participant. All other Participants expressly consent to allow FINRA
to add new Participants to this Agreement as provided above. FINRA
will promptly notify all Participants of any such amendments to add
new Participants. All other amendments to this Agreement must be
approved in writing by each Participant. All amendments, including
adding a new Participant, must be filed with and approved by the SEC
before they become effective.
    XIV. Any of the Participants may manifest its intention to
cancel its participation in this Agreement at any time by giving the
Council written notice thereof at least 90 days prior to the
effective date of such cancellation. Upon receipt of such notice the
Council shall allocate, in accordance with the provisions of this
Agreement, any Common Members for which the petitioning party was
the DOEA. Until such time as the Council has completed the
reallocation described above; the petitioning Participant shall
retain all its rights, privileges, duties and obligations hereunder.
    XV. The cancellation of its participation in this Agreement by
any Participant shall not terminate this Agreement as to the
remaining Participants. This Agreement will only terminate following
notice to the Commission, in writing, by the then Participants that
they intend to terminate the Agreement and the expiration of the
applicable notice period. Such notice shall be given at least six
months prior to the intended date of termination, provided that in
the event a notice of cancellation is received from a Participant
that, assuming the effectiveness thereof, would result in there
being just one remaining member of the Council, notice to the
Commission of termination of this Agreement shall be given promptly
upon the receipt of such notice of cancellation, which termination
shall be effective upon the effectiveness of the cancellation that
triggered the notice of termination to the Commission.
    XVI. No Participant nor the Council nor any of their respective
directors, governors, officers, employees or representatives shall
be liable to any other Participant in this Agreement for any
liability, loss or damage resulting from or claimed to have resulted
from any delays, inaccuracies, errors or omissions with respect to
the provision of Regulatory Responsibility as provided hereby or for
the failure to provide any such Responsibility, except with respect
to such liability, loss or damages as shall have been suffered by
one or more of the Participants and caused by the willful misconduct
of one or more of the other participants or their respective
directors, governors, officers, employees or representatives. No
warranties, express or implied, are made by any or all of the
Participants or the Council with respect to any Regulatory
Responsibility to be performed by each of them hereunder.
    XVII. Pursuant to Section 17(d)(1)(A) of the Securities Exchange
Act of 1934 and Rule 17d-2 promulgated pursuant thereto, the
Participants join in requesting the Securities and Exchange
Commission, upon its approval of this Agreement or any part thereof,
to relieve those Participants which are from time to time
participants in this Agreement which are not the DOEA as to a Common
Member of any and all Regulatory Responsibility with respect to the
matters allocated to the DOEA.
* * * * *

[January 13, 2017]January 2, 2019

Exhibit A

Rules Enforced Under 17d-2 Agreement

    Pursuant to Section II of the Agreement by and among [Bats]Cboe
BZX Exchange, Inc. (``BZX''), BOX Options Exchange, LLC (``BOX''),
[the Chicago Board Options Exchange, Incorporated]Cboe Exchange,
Inc. (``[CBOE]Cboe''), Cboe C2 [Options] Exchange, Inc.[orporated]
(``C2''), [the International Securities Exchange]Nasdaq ISE, LLC
(``ISE''), Financial Industry Regulatory Authority, Inc.
(``FINRA''), Miami International Securities Exchange, LLC
(``MIAX''), The [NASDAQ]Nasdaq Stock Market LLC
(``[NASDAQ]Nasdaq''), [NASDAQ]Nasdaq BX, Inc. (``BX''), [the] NYSE
[MKT]American LLC (``NYSE [MKT]American''), [the] NYSE Arca, Inc.
(``NYSE ARCA''), [the NASDAQ]Nasdaq PHLX LLC (``PHLX''), [ISE
Gemini]Nasdaq GEMX, LLC (``[ISE Gemini]GEMX''), [Bats]Cboe EDGX
Exchange, Inc. (``EDGX''), [ISE Mercury]Nasdaq MRX, LLC (``[ISE
Mercury]MRX'') [and], MIAX PEARL, LLC (``MIAX PEARL'') and MIAX
Emerald, LLC (``MIAX Emerald'') pursuant to Rule 17d-2 under the
Securities Exchange Act of 1934 dated [January 13, 2017]January 2,
2019 (the ``Agreement''), a revised list of the current Common Rules
of each Participant, as compared to those of FINRA, applicable to
the conduct of accounts for Covered Securities is set forth in this
Exhibit A.

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------------------------------------------------------------------------
                           Opening of Accounts
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NYSE [MKT]American...........  Rules 411, 921 and 1101.
BZX..........................  Rule 26.2.
BOX..........................  Rule 4020.
[CBOE]Cboe...................  Rule 9.7.
C2 *.........................  [CBOE]Cboe Rule 9.7.
EDGX.........................  Rule 26.2
ISE..........................  Rule 608.
FINRA........................  Rules 2360(b)(16) and 2352.
MIAX.........................  Rule 1307.
MIAX PEARL...................  Rule 1307.
MIAX Emerald.................  Rule 1307.
[ISE Gemini]GEMX.............  Rule 608.
[ISE Mercury]MRX.............  Rule 608.
PHLX.........................  Rule 1024(b) and (c).\1\
NYSE ARCA....................  Options Rules 9.2-O(a) and 9.18-O(b) and
                                Equities Rules 9.18-E(b) and 8.4-E.
BX...........................  Chapter XI, Section 7.
[NASDAQ]Nasdaq...............  Chapter XI, Section 7.
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                               Supervision
------------------------------------------------------------------------
NYSE [MKT]American...........  Rules 411, 922 and 1104.
BZX..........................  Rule 26.3.
BOX..........................  Rule 4030.
[CBOE]Cboe...................  Rule 9.8.\2\
C2*..........................  [CBOE]Cboe Rule 9.8.\2\
EDGX.........................  Rule 26.3.
ISE..........................  Rule 609.
FINRA........................  Rules 2360(b)(20), 2360(b)(17)(B),
                                2360(b)(16)(E), 2355 and 2358.
MIAX.........................  Rule 1308.
MIAX PEARL...................  Rule 1308.
MIAX Emerald.................  Rule 1308.
[ISE Gemini]GEMX.............  Rule 609.

[ISE Mercury]MRX.............  Rule 609.
PHLX.........................  Rule 1025.
NYSE ARCA....................  Options Rules 9.2-O(b) and 9.18-O
                                (d)(2)(G) and Equities Rule 8.7-E.
BX...........................  Chapter XI, Section 8.
[NASDAQ]Nasdaq...............  Chapter XI, Section 8.
------------------------------------------------------------------------
                               Suitability
------------------------------------------------------------------------
NYSE [MKT]American...........  Rules 923 and 1102.
BZX..........................  Rule 26.4.
BOX..........................  Rule 4040.
[CBOE]Cboe...................  Rule 9.9.
C2 *.........................  [CBOE]Cboe Rule 9.9.
EDGX.........................  Rule 26.4.
ISE..........................  Rule 610.
FINRA........................  Rule 2360(b)(19) and 2353.
MIAX.........................  Rule 1309.
MIAX PEARL...................  Rule 1309.
MIAX Emerald.................  Rule 1309.
[ISE Gemini]GEMX.............  Rule 610.
[ISE Mercury]MRX.............  Rule 610.
PHLX.........................  Rule 1026.
NYSE ARCA....................  Options Rule 9.18-O(c) and Equities Rules
                                9.18-E(c) and 8.5-E.
BX...........................  Chapter XI, Section 9.
[NASDAQ]Nasdaq...............  Chapter XI, Section 9.
------------------------------------------------------------------------
                         Discretionary Accounts
------------------------------------------------------------------------
NYSE [MKT]American...........  Rules 421, 924 and 1103.
BZX..........................  Rule 26.5.\3\
BOX..........................  Rule 4050.
[CBOE]Cboe...................  Rule 9.10.
C2 *.........................  [CBOE]Cboe Rule 9.10.
EDGX.........................  Rule 26.5.\3\
ISE..........................  Rule 611.
FINRA........................  Rules 2360(b)(18) and 2354.
MIAX.........................  Rule 1310.
MIAX PEARL...................  Rule 1310.
MIAX Emerald.................  Rule 1310.
[ISE Gemini]GEMX.............  Rule 611.
[ISE Mercury]MRX.............  Rule 611.
PHLX.........................  Rule 1027.
NYSE ARCA....................  Options Rule 9.18-O(e) and Equities Rules
                                9.18-E(e) and 8.6-E.
BX...........................  Chapter XI, Section 10.
[NASDAQ]Nasdaq...............  Chapter XI, Section 10.
------------------------------------------------------------------------
                  Customer Communications (Advertising)
------------------------------------------------------------------------
NYSE [MKT]American...........  Rules 991 and 1106.
BZX..........................  Rule 26.16.
BOX..........................  Rule 4170.
[CBOE]Cboe...................  Rule 9.21.
C2 *.........................  [CBOE]Cboe Rule 9.21.
EDGX.........................  Rule 26.16.
ISE..........................  Rule 623.
FINRA........................  Rules 2220 and 2357.
MIAX.........................  Rule 1322.
MIAX PEARL...................  Rule 1322.
MIAX Emerald.................  Rule 1322.
[ISE Gemini]GEMX.............  Rule 623.
[ISE Mercury]MRX.............  Rule 623.
PHLX.........................  [N/A] Rule 1049.
NYSE ARCA....................  Options Rules 9.21-O(a) and 9.21-O(b).
BX...........................  Chapter XI, Section 22.
[NASDAQ]Nasdaq...............  Chapter XI, Section 22.
------------------------------------------------------------------------
                           Customer Complaints
------------------------------------------------------------------------
NYSE [MKT]American...........  Rules 932 and 1105.
BZX..........................  Rule 26.17.
BOX..........................  Rule 4190.
[CBOE]Cboe...................  Rule 9.23.
C2*..........................  [CBOE]Cboe Rule 9.23.
EDGX.........................  Rule 26.17.
ISE..........................  Rule 625.
FINRA........................  FINRA Rules 2360(b)(17)(A) and 2356.
MIAX.........................  Rule 1324.

MIAX PEARL...................  Rule 1324.
MIAX Emerald.................  Rule 1324.
[ISE Gemini]GEMX.............  Rule 625.
[ISE Mercury]MRX.............  Rule 625.
PHLX.........................  Rule 1028.
NYSE ARCA....................  Options Rule 9.18-O(I) and Equities Rules
                                9.18-E(l) and 8.8-E.
BX...........................  Chapter XI, Section 24.
[NASDAQ]Nasdaq...............  Chapter XI, Section 24.
------------------------------------------------------------------------
                           Customer Statements
------------------------------------------------------------------------
NYSE [MKT]American...........  Rules 419 and 930.
BZX..........................  Rule 26.7.
BOX..........................  Rule 4070.
[CBOE]Cboe...................  Rule 9.12.
C2 *.........................  [CBOE]Cboe Rule 9.12.
EDGX.........................  Rule 26.7.
ISE..........................  Rules 613.
FINRA........................  Rule 2360(b)(15).
MIAX.........................  Rule 1312.
MIAX PEARL...................  Rule 1312.
MIAX Emerald.................  Rule 1312.
[ISE Gemini]GEMX.............  Rule 613.
[ISE Mercury]MRX.............  Rule 613.
PHLX.........................  Rule 1032.
NYSE ARCA....................  Options Rule 9.18-O(j) and Equities Rule
                                9.18-E(j).
BX...........................  Chapter XI, Section[s] 12.
[NASDAQ]Nasdaq...............  Chapter XI, Section 12.
------------------------------------------------------------------------
                              Confirmations
------------------------------------------------------------------------
NYSE [MKT]American...........  Rule 925.
BZX..........................  Rule 26.6.
BOX..........................  Rule 4060.
[CBOE]Cboe...................  Rule 9.11.
C2*..........................  [CBOE]Cboe Rule 9.11.
EDGX.........................  Rule 26.6.
ISE..........................  Rule 612.
FINRA........................  Rule 2360(b)(12).
MIAX.........................  Rule 1311.
MIAX PEARL...................  Rule 1311.
MIAX Emerald.................  Rule 1311.
[ISE Gemini]GEMX.............  Rule 612.
[ISE Mercury]MRX.............  Rule 612.
PHLX.........................  Rule 1028.
NYSE ARCA....................  Options Rule 9.18-O(f) and Equities Rule
                                9.18-E(f).
BX...........................  Chapter XI, Section 11.
[NASDAQ]Nasdaq...............  Chapter XI, Section 11.
------------------------------------------------------------------------
                Allocation of Exercise Assignment Notices
------------------------------------------------------------------------
NYSE [MKT]American...........  Rule 981.
BZX..........................  Rule 23.2.
BOX..........................  Rule 9010.
[CBOE]Cboe...................  Rule 11.2.
C2 *.........................  [CBOE]Cboe Rule 11.2.
EDGX.........................  Rule 23.2.
ISE..........................  Rule 1101.
FINRA........................  Rule 2360(b)(23)(C).
MIAX.........................  Rule 701.
MIAX PEARL...................  Rule 701.
MIAX Emerald.................  Rule 701.
[ISE Gemini]GEMX.............  Rule 1101.
[ISE Mercury]MRX.............  Rule 1101.
PHLX.........................  Rule 1043.
NYSE ARCA....................  Options Rule 6.25-O(a).
BX...........................  Chapter VIII, Section 2.
[NASDAQ]Nasdaq...............  Chapter VIII, Section 2.
------------------------------------------------------------------------
                          Disclosure Documents
------------------------------------------------------------------------
NYSE [MKT]American...........  Rules 921 and 926.
BZX..........................  Rule 26.10.
BOX..........................  Rule 4100.
[CBOE]Cboe...................  Rule 9.15.
C2 *.........................  [CBOE]Cboe Rule 9.15.
EDGX.........................  Rule 26.10.
ISE..........................  Rule 616.

FINRA........................  Rule 2360(b)(11).
MIAX.........................  Rule 1315.
MIAX PEARL...................  Rule 1315.
MIAX Emerald.................  Rule 1315.
[ISE Gemini]GEMX.............  Rule 616.
[ISE Mercury]MRX.............  Rule 616.
PHLX.........................  Rule 1024(b)(v), 1029.
NYSE ARCA....................  Options Rule 9.18-O(g) and Equities Rule
                                9.18-E(g).
BX...........................  Chapter XI, Section 15.
[NASDAQ]Nasdaq...............  Chapter XI, Section 15.
------------------------------------------------------------------------
                 Branch Offices of Member Organizations
------------------------------------------------------------------------
NYSE [MKT]American...........  Rule 922(d).\4\
BOX..........................  Rule 4010(b).
[CBOE]Cboe...................  Rule 9.6.
C2 *.........................  [CBOE]Cboe Rule 9.6.
ISE..........................  Rule 607.
FINRA........................  Rules 2360(b)(20)(B) and 2355.
MIAX.........................  Rule 1306.
MIAX PEARL...................  Rule 1306.
MIAX Emerald.................  Rule 1306.
[ISE Gemini]GEMX.............  Rule 607.
[ISE Mercury]MRX.............  Rule 607.
PHLX.........................  N/A.
NYSE ARCA....................  Options Rule 9.18-O(m) and Equities Rule
                                9.18-E(m).
BX...........................  Chapter XI, Section 6.
[NASDAQ]Nasdaq...............  Chapter XI, Section 6.
------------------------------------------------------------------------
                     Prohibition Against Guarantees
------------------------------------------------------------------------
NYSE [MKT]American...........  Rule 390.
BZX..........................  Rule 26.13.
BOX..........................  Rule 4130.
[CBOE]Cboe...................  Rule 9.18.
C2 *.........................  [CBOE]Cboe Rule 9.18.
EDGX.........................  Rule 26.13.
ISE..........................  Rules 619.
FINRA........................  Rule 2150(b).
MIAX.........................  Rule 1318.
MIAX PEARL...................  Rule 1318.
MIAX Emerald.................  Rule 1318.
[ISE Gemini]GEMX.............  Rule 619.
[ISE Mercury]MRX.............  Rule 619.
PHLX.........................  Rule 777.
NYSE ARCA....................  Options Rule 9.1-O(e) and Equities Rules
                                9.1-E(e).
BX...........................  Chapter XI, Sections 18 and 19.
[NASDAQ]Nasdaq...............  Chapter XI, Sections 18 and 19.
------------------------------------------------------------------------
                           Sharing in Accounts
------------------------------------------------------------------------
NYSE [MKT]American...........  Rule 390.
BZX..........................  Rule 26.14.\6\
BOX..........................  Rule 4140.
[CBOE]Cboe...................  Rule 9.18(b).
C2 *.........................  [CBOE]Cboe Rule 9.18(b).
EDGX.........................  Rule 26.14.\6\
ISE..........................  Rule 620.\5\
FINRA........................  Rule 2150(c).
MIAX.........................  Rule 1319.
MIAX PEARL...................  Rule 1319.
MIAX Emerald.................  Rule 1319.
[ISE Gemini]GEMX.............  Rule 620.\5\
[ISE Mercury]MRX.............  Rule 620.\5\
PHLX.........................  N/A.
NYSE ARCA....................  Options Rule 9.1-O(f).
BX...........................  Chapter XI, Section 19.\6\
[NASDAQ]Nasdaq...............  Chapter XI, Section 19.\6\
------------------------------------------------------------------------
                           Registration of ROP
------------------------------------------------------------------------
NYSE [MKT]American...........  Rule 920.
BZX..........................  Rule 17.2(g)(1), (2), (6) and (7).
BOX..........................  Rule 2020(c)(1), (e)(1) and IM-2040-4 and
                                IM-2040-5(b).
[CBOE]Cboe...................  Rule 9.2.
C2 *.........................  [CBOE]Cboe Rule 9.2.
EDGX.........................  Rule 17.2(g)(1), (2), (6) and (7).

ISE..........................  Rule 601.
FINRA........................  [NASD Rules 1022(f), IM-1022-1, &
                                1250(a)(1)] Rule 1220(a)(8).
MIAX.........................  Rule 1301.
MIAX PEARL...................  Rule 1301.
MIAX Emerald.................  Rule 1301.
[ISE Gemini]GEMX.............  Rule 601.
[ISE Mercury]MRX.............  Rule 601.
PHLX.........................  Rule 1024(a)(i).
NYSE ARCA....................  Options Rule 9.26-O and Equities Rule
                                9.26-E.
BX...........................  Chapter XI, Section 2 and Chapter II,
                                Section 2(g).
[NASDAQ]Nasdaq...............  Chapter XI, Section 2 and Chapter II,
                                Section 2(g).
------------------------------------------------------------------------
                  Certification of Registered Personnel
------------------------------------------------------------------------
NYSE [MKT]American...........  Rule 920.
BZX..........................  Rule 2.5 Interpretation .01(c) and
                                11.4(e).
BOX..........................  IM-2040-3.
[CBOE]Cboe...................  Rule 9.3.
C2 *.........................  [CBOE]Cboe Rule 9.3.
EDGX.........................  Rule 2.5 Interpretation .01(c) and
                                11.4(e).
ISE..........................  Rule 602.
FINRA........................  [NASD Rule 1032(d)] Rule 1220(b) and
                                FINRA By-Laws Article V Sections 2 and
                                3.
MIAX.........................  Rule 1302.
MIAX PEARL...................  Rule 1302.
MIAX Emerald.................  Rule 1302.
[ISE Gemini]GEMX.............  Rule 602.
[ISE Mercury]MRX.............  Rule 602.
PHLX.........................  Rule 1024.
NYSE ARCA....................  Options Rule 9.27-O(a) and Equities Rule
                                9.27-E(a).
BX...........................  Chapter XI, Section 3 and Chapter II,
                                Section 2(h).
[NASDAQ]Nasdaq...............  Chapter XI, Section 3 and Chapter II,
                                Section 2(h).
------------------------------------------------------------------------
\1\ FINRA shall not have any Regulatory Responsibility regarding foreign
  currency option requirements specified in any of the PHLX rules in
  this Exhibit A.
\2\ FINRA shall not have any Regulatory Responsibility regarding receipt
  of written reports by April 1 of each year pursuant to [CBOE]Cboe Rule
  9.8(g).
\3\ FINRA shall not have any Regulatory Responsibility to enforce this
  rule as to time and price discretion in institutional accounts.
\4\ FINRA shall only have Regulatory Responsibility for the first
  paragraph and shall not have any Regulatory Responsibility regarding
  the requirements for debt options.
\5\ FINRA shall not have any Regulatory Responsibility regarding ISE's,
  [ISE Gemini]GEMX's and [ISE Mercury]MRX's requirements to the extent
  its rule does not contain an exception to permit sharing in the
  profits and losses of an account.
\6\ FINRA shall not have any Regulatory Responsibility regarding
  [NASDAQ]Nasdaq's, BX's, BZX's, and EDGX's requirements to the extent
  such rules do not contain an exception addressing immediate family.

IV. Solicitation of Comments

    Interested persons are invited to submit written data, views, and
arguments concerning the foregoing. 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 S7-966 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 S7-966. 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 plan that are filed with the
Commission, and all written communications relating to the proposed
plan between the Commission and any person, other than those that may
be withheld from the public in accordance with the provisions of 5
U.S.C. 552, will be available for website viewing and printing in the
Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549, on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the plan also will be available for inspection and
copying at the principal offices of NYSE American, BZX, C2, Cboe, EDGX,
Gemini, ISE, Mercury, FINRA, Arca, Nasdaq, BOX, BX, PHLX, MIAX, MIAX
PEARL, and MIAX Emerald. 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 S7-966 and should
be submitted on or before March 8, 2019.

V. Discussion

    The Commission continues to believe that the proposed plan is an
achievement in cooperation among the SRO participants. The Plan, as
amended, will reduce unnecessary regulatory duplication by allocating
to the designated SRO the responsibility for certain options-related
sales practice matters that would otherwise be performed by multiple
SROs. The plan promotes efficiency by reducing costs to firms that are
members of more than one of the SRO participants. In addition, because
the SRO participants coordinate their regulatory functions in
accordance with the plan, the plan promotes, and will continue to
promote, investor protection.
    Under paragraph (c) of Rule 17d-2, the Commission may, after
appropriate notice and comment, declare a plan, or any part of a plan,
effective. In this instance, the Commission believes that

appropriate notice and comment can take place after the proposed
amendment is effective. The primary purpose of the amendment is to add
MIAX Emerald as a Participant and to reflect the name changes of
certain Participating Organizations. By declaring it effective today,
the amended Plan can become effective and be implemented without undue
delay.\25\ The Commission notes that the prior version of this plan
immediately prior to this proposed amendment was published for comment
and the Commission did not receive any comments thereon.\26\
Furthermore, the Commission does not believe that the amendment to the
plan raises any new regulatory issues that the Commission has not
previously considered.
---------------------------------------------------------------------------

    \25\ On December 20, 2018, the Commission approved MIAX
Emerald's application for registration as a national securities
exchange. See Securities Exchange Act Release No. 84891, 83 FR 67421
(December 28, 2018).
    \26\ See Securities Exchange Act Release No. 79929 (February 2,
2017), 82 FR 9757 (February 8, 2017).
---------------------------------------------------------------------------

VI. Conclusion

    This order gives effect to the amended Plan submitted to the
Commission that is contained in File No. S7-966.
    It is therefore ordered, pursuant to Section 17(d) of the Act, that
the Plan, as amended, filed with the Commission pursuant to Rule 17d-2
on January 3, 2019, is hereby approved and declared effective.
    It is further ordered that those SRO participants that are not the
DOEA as to a particular common member are relieved of those regulatory
responsibilities allocated to the common member's DOEA under the
amended Plan to the extent of such allocation.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\27\
---------------------------------------------------------------------------

    \27\ 17 CFR 200.30-3(a)(34).
---------------------------------------------------------------------------

Eduardo A. Aleman,
Deputy Secretary.
[FR Doc. 2019-02493 Filed 2-14-19; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 82, Number 42 (Monday, March 6, 2017)]
[Notices]
[Page 12577]
[FR Doc No: 2017-04304]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Notice of Commission Staff Attendance

    The Federal Energy Regulatory Commission (Commission) hereby gives
notice that members of the Commission's staff will attend the following
meeting related to the Midcontinent Independent System Operator, Inc.
(MISO)--PJM Interconnection, L.L.C. (PJM) Joint and Common Market
Initiative (Docket No. AD14-3-000):

MISO/PJM Joint Stakeholder Meeting--February 28, 2017

    The above-referenced meeting will be held at: PJM Valley Forge
Campus, Conference and Training Center, 2750 Monroe Blvd., Audubon, PA
19403.
    The above-referenced meeting is open to the public.
    Further information may be found at www.pjm.com.
    The discussions at the meeting described above may address matters
at issue in the following proceedings:

Docket No. EL13-88, Northern Indiana Public Service Company v.
Midcontinent Independent System Operator, Inc. and PJM Interconnection,
L.L.C.
Docket No. ER10-1791, Midwest Independent Transmission System Operator,
Inc.
Docket Nos. ER13-1937, ER13-1939, Southwest Power Pool, Inc.
Docket No. ER14-1736, Midcontinent Independent System Operator, Inc.
Docket Nos. EL15-99, EL16-12, Internal MISO Generation v. Midcontinent
Independent System Operator, Inc.
Docket No. ER17-718, PJM Interconnection, L.L.C.
Docket No. ER17-721, Midcontinent Independent System Operator, Inc.
Docket No. ER17-729, PJM Interconnection, L.L.C.
Docket No. ER17-934, PJM Interconnection, L.L.C. and Midcontinent
Independent System Operator, Inc.
Docket Nos. EL16-108, EL17-29, Midcontinent Independent System
Operator, Inc.
Docket Nos. EL17-31, EL17-37, PJM Interconnection, L.L.C.

    For more information, contact Bahaa Seireg, Office of Energy Policy
and Innovation, Federal Energy Regulatory Commission at<PHONE_NUMBER>
or<EMAIL_ADDRESS>
    Dated: February 27, 2017.
Kimberly D. Bose,
Secretary.
[FR Doc. 2017-04304 Filed 3-3-17; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register Volume 81, Number 165 (Thursday, August 25, 2016)]
[Notices]
[Page 58549]
[FR Doc No: 2016-20373]

=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

Meeting: RTCA Program Management Committee

AGENCY: Federal Aviation Administration (FAA), U.S. Department of
Transportation (DOT).

ACTION: Notice of RTCA Program Management Committee Meeting.

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

SUMMARY: The FAA is issuing this notice to advise the public of a
meeting of RTCA Program Management Committee.

DATES: The meeting will be held September 22nd 2016 from 8:30 a.m.-4:30
p.m.

ADDRESSES: The meeting will be held at RTCA, Inc., 1150 18th Street
NW., Suite 910, Washington, DC 20036.

FOR FURTHER INFORMATION CONTACT: The RTCA Secretariat, 1150 18th Street
NW., Suite 910, Washington, DC 20036, or by telephone at (202) 833-
9339, fax at<PHONE_NUMBER>, or Web site at http://www.rtca.org.

SUPPLEMENTARY INFORMATION: Pursuant to section 10(a)(2) of the Federal
Advisory Committee Act (Pub. L. 92-463, 5 U.S.C., App.), notice is
hereby given for a Program Management Committee meeting. The agenda
will include the following:

September 22nd

1. WELCOME AND INTRODUCTIONS
2. REVIEW/APPROVE
    A. Meeting Summary June 21, 2016
    B. Administrative Special Committee TOR Revisions
3. PUBLICATION CONSIDERATION/APPROVAL
    A. Final Draft, New Document--Final Phase One, C2 Data Link MOPS
and V&V (Terrestrial), prepared by SC-228
4. INTEGRATION and COORDINATION COMMITTEE (ICC)
    A. Word Definitions/Usage--Update
    B. Cross Cutting Committee (CCC) Process Recommendations--
Discussion
5. PAST ACTION ITEM REVIEW
    A. SC-214 participation with SC-223 Internet Protocol Suites
Activity--Update
    B. Ad-hoc to draft words covering Cyber Security Guidelines--Update
    C. Global Aeronautical Distress and Safety System (GADSS)--
Presentation
    D. Updating References to RTCA Documents Recommendations--Update
6. DISCUSSION
    A. SC-225--Rechargeable Lithium Batteries and Battery Systems--
Discussion--Update on DO-311 Revision
    B. SC-223--Internal Protocol Suite (IPS) and AeroMACS--Discussion--
Revised TOR Update
    C. SC-228--Minimum Performance Standards for Unmanned Aircraft
Systems--Discussion--Revised TOR Update
    D. NAC--Status Update
    E. TOC--Status Update
    F. DAC--Status Update
    G. FAA Actions Taken on Previously Published Documents--Report
    H. Special Committees--Chairmen's Reports and Active Inter-Special
Committee Requirements Agreements (ISRA)--Review
    I. European/EUROCAE Coordination--Status Update
7. OTHER BUSINESS
8. SCHEDULE for COMMITTEE DELIVERABLES and NEXT MEETING DATE
9. NEW ACTION ITEM SUMMARY
    Attendance is open to the interested public but limited to space
availability. With the approval of the chairman, members of the public
may present oral statements at the meeting. Persons wishing to present
statements or obtain information should contact the person listed in
the FOR FURTHER INFORMATION CONTACT section. Members of the public may
present a written statement to the committee at any time.

    Issued in Washington, DC, on August 22, 2016.
Mohannad Dawoud,
Management & Program Analyst, Partnership Contracts Branch, ANG-A17,
NextGen, Procurement Services Division, Federal Aviation
Administration.
[FR Doc. 2016-20373 Filed 8-24-16; 8:45 am]
 BILLING CODE 4910-13-P


MEMORANDUM
SUBJECT: 	6-18-12 Phone Conversation with AF&PA
FROM:		Marc Thomas
      Office of Resource Conservation and Recovery
TO:		Docket ID No. EPA-HQ-RCRA-2008-0329
--------------------------------------------------------------------------------

On June 18, 2012, EPA, represented by Suzanne Rudzinski, Director of the Office of Resource Conservation and Recovery, and Jim Berlow, Director of ORCR's Program Implementation and Information Division, had a phone conversation with Tim Hunt and Susan Bodine of the American Forest and Paper Association (AF&PA).  Below are the key issues raised during this call.  EPA asked clarifying questions.

1) Pulp and Paper WW Treatment Sludges:
	- EPA should not be considering how sludges that are not burned are managed
      - Rule does not apply to sludges except when burned; therefore we must only consider if discard is occurring when burned
	- Sludges are managed like analogous wastes such as bark; rule says analogous is the test

2) OCC Rejects (aka paper processing residuals)
      - Should be considered for a regulatory determination or preamble language saying this material appears to meet legitimacy

3) C&D Materials that are not initially clean but have been processed
	- Industry has defined practices that should assure effective processing to meet legitimacy
      - EPA should provide reg determination or preamble language saying this material appears to meet legitimacy when processed in this manner

4) Treated Wood
      - EPA should provide reg determination or preamble language saying this material appears to meet legitimacy

5) Contained Gas:
      - Industry concerned about generic impacts of RCRA waste finding on gases in pipes (not just NHSM materials)
      - Concerned with materials being transported by pipe for incineration/destruction by air emission controls (maybe other destruction scenarios), not just energy recovery
      - Only workable/defensible solution is to state that RCRA position is that contained gas is gas in container when combusted


[Federal Register Volume 82, Number 211 (Thursday, November 2, 2017)]
[Notices]
[Page 50931]
[FR Doc No: 2017-23847]

=======================================================================
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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

[Summary Notice No. PE-2017-88]

Petition for Exemption; Summary of Petition Received

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of petition for exemption received.

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

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

DATES: Comments on this petition must identify the petition docket
number involved and must be received on or before November 13, 2017.

ADDRESSES: Send comments identified by docket number FAA-2017-0999
using any of the following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov and follow the online instructions for sending your
comments electronically.
     Mail: Send comments to Docket Operations, M-30, U.S.
Department of Transportation (DOT), 1200 New Jersey Avenue SE., Room
W12-140, West Building Ground Floor, Washington, DC 20590-0001.
     Hand Delivery or Courier: Take comments to Docket
Operations in Room W12-140 of the West Building Ground Floor at 1200
New Jersey Avenue SE., Washington, DC, between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays.
     Fax: Fax comments to Docket Operations at<PHONE_NUMBER>.
    Privacy: 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.
    Docket: Background documents or comments received may be read at
http://www.regulations.gov at any time. Follow the online instructions
for accessing the docket or go to the Docket Operations in Room W12-140
of the West Building Ground Floor at 1200 New Jersey Avenue SE.,
Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal holidays.

FOR FURTHER INFORMATION, CONTACT: Lynette Mitterer, AIR-673, Federal
Aviation Administration, 1601 Lind Avenue SW., Renton, WA 98057-3356,
email [email protected], phone<PHONE_NUMBER>; or Alphonso
Pendergrass, ARM-200, Office of Rulemaking, Federal Aviation
Administration, 800 Independence Avenue SW., Washington, DC 20591,
email [email protected], phone<PHONE_NUMBER>.
    This notice is published pursuant to 14 CFR 11.85.

    Issued in Renton, Washington, on October 27, 2017.
Victor Wicklund,
Manager, Transport Standards Branch.

Petition for Exemption

    Docket No.: FAA-2017-0999.
    Petitioner: Boeing.
    Section of 14 CFR Affected: Sec.  25.1301(a) and (d).
    Description of Relief Sought: Boeing is petitioning for a time
limited exemption to 14 CFR 25.1301(a) and (d) at amendment 25-0 for
the annunciation of altitude callouts during an overflight scenario
that does not allow full compliance of the Boeing Model 767-2C.

[FR Doc. 2017-23847 Filed 11-1-17; 8:45 am]
 BILLING CODE 4910-13-P


[Federal Register: May 27, 2008 (Volume 73, Number 102)]
[Notices]
[Page 30405-30406]
[DOCID:fr27my08-66]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2008-N-0298]

Reportable Food Registry as Required by the Food and Drug
Administration Amendments Act of 2007; Announcement of Delay in
Implementation and Request for Comments

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice; delay in implementation and request for comments.

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

SUMMARY:  The Food and Drug Administration (FDA) is announcing a delay
in the implementation of the Reportable Food Registry (the Registry) of
the Food and Drug Administration Amendments Act of 2007 (FDAAA). FDA
intends to implement the FDAAA requirement to establish an electronic
portal for reportable food by utilizing the business enterprise system
currently under development by the agency. This system will be easy to
use and the most efficient and cost effective for both users and the
agency. FDA expects that the agency's business enterprise system will
be operational in spring 2009. FDA acknowledges that the prohibited act
provisions relating to the Registry will not apply until such time as
FDA establishes the electronic portal to implement the Registry. In
conjunction with this delay announcement, FDA is requesting comments on
certain aspects of the Registry provisions.

DATES:  Submit written or electronic comments by August 11, 2008.

ADDRESSES:  Submit written comments to the Division of Dockets
Management (HFA-305), Food and Drug Administration, 5630 Fishers Lane,
rm. 1061, Rockville, MD 20852. Submit electronic comments to http://
www.regulations.gov.

FOR FURTHER INFORMATION CONTACT:  Faye Feldstein, Center for Food
Safety and Applied Nutrition (HFS-005), Food and Drug Administration,
5100 Paint Branch Pkwy., College Park, MD 20740,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

I. Background

    On September 27, 2007, the President signed FDAAA into law (Public
Law 110-85). Section 1005 of FDAAA amends the Federal Food, Drug, and
Cosmetic Act (the act) by creating a new section 417 (21 U.S.C. 350f).
Section 417 of the act requires the Secretary of Health and Human
Services (the Secretary) to establish within FDA a Reportable Food
Registry (the Registry); the Registry is to be established not later
than 1 year after the date of enactment (i.e., by September 27, 2008).
The Congressionally-identified purpose of the Registry is to provide a
``reliable mechanism to track patterns of adulteration in food [which]
would support efforts by the Food and Drug Administration to target
limited inspection resources to protect the public health'' (121 Stat.
965). The Secretary has delegated to the Commissioner of Food and Drugs
the responsibility for administering the act, including section 417 of
the act.
    To further the development of the Registry, section 417 of the act
requires FDA to establish, also within 1 year after the date of
enactment (i.e., by September 27, 2008), an electronic portal (the
Reportable Food electronic portal) by which instances of reportable
food may be submitted to FDA by responsible parties or public health
officials.
     Section 417(a)(1) of the act defines ``responsible party'' as a
person that submits the registration under section 415(a) of the act
(21 U.S.C. 350d) for a food facility that is required to register under
section 415(a), at which such article of food is manufactured,
processed, packed, or held. Persons who are authorized to submit a
facility registration under section 415 of the act are the owner,
operator, or agent in charge of a domestic or foreign facility engaged
in manufacturing, processing, packing, or holding food for consumption
in the United States. Section 417(a)(2) of the act defines a
``reportable food'' as an article of food (other than infant formula)
for which there is a reasonable probability that the use of, or
exposure to, such article of food will cause serious adverse health
consequences or death to humans or animals.
    Under section 417(d) of the act, a responsible party is required to
submit a report to FDA through the Reportable Food electronic portal as
soon as practicable, but in no case later than 24 hours after the
responsible party determines that an article of food is a reportable
food. Federal, State, and local public health officials may voluntarily
submit such reports to FDA through the electronic portal under section
417(d)(3) of the act. Section 417(e) of the act specifies 11 data
elements that are required in the initial report or in a subsequent
report to FDA; such reports are to be submitted via the Reportable Food
electronic portal. Examples of required data elements include the
following: (1) The registration numbers

of the responsible party provided under section 415(a)(3) of the act;
(2) the date on which the article of food was determined to be a
reportable food; and (3) a description of the article of food including
the quantity or amount.
    Section 417(b)(2) of the act requires FDA to review promptly and
assess information submitted via the electronic portal. Section
417(c)(1) requires FDA to issue, or cause to be issued, an alert or
notification with respect to a reportable food using the information
from the Registry as FDA deems necessary to protect the public health.
In addition, following submission of a report via the Reportable Food
electronic portal and after consultation with the responsible party
that submitted a report, FDA may require the responsible party to
provide a notification consistent with section 417(d)(6)(B) of the act.
Section 1005(e) of FDAAA provides that the requirements of section
417(d) of the act are effective 1 year after the enactment date (i.e.,
on September 27, 2008). The failure to submit a report or provide a
notification required by section 417(d) of the act is a prohibited act
under section 301(mm) of the act (21 U.S.C. 331(mm)); persons who
commit a prohibited act may be enjoined (21 U.S.C. 332) or prosecuted
criminally (21 U.S.C. 333).
    Under section 1005(f) of FDAAA, FDA is required to issue a guidance
to industry about submitting reports to the electronic portal
established under section 417(b)(1) of the act and providing
notifications to other persons in the supply chain of an article of
food. This guidance is required to be issued not later than 9 months
after the date of enactment of FDAAA (i.e., by June 27, 2008).

II. Delay in Implementation of the Registry

    FDA has determined that the most efficient and cost effective means
of implementing the requirements of section 417 of the act relating to
the Registry is to utilize the business enterprise system currently
under development within the agency. This system will permit FDA to
establish an electronic portal through which instances of reportable
food may be submitted to the agency, and will be easy to use, for both
those submitting reports to the agency and for FDA. However, the agency
anticipates that FDA's business enterprise system will not be
implemented in time to meet the statutory deadline of section 417(b)(1)
of the act which, as stated, requires FDA to establish the Reportable
Food electronic portal by September 27, 2008. Therefore, FDA is
announcing a delay in the implementation of the requirements of section
417 of the act.
    FDA expects that the agency's business enterprise system will be
operational in spring 2009. In a future issue of the Federal Register,
the agency will notify the public, including the industry, of the date
the Reportable Food electronic portal becomes available to accept
reports under section 417(d) of the act. After that date, FDA expects
that responsible parties will comply with the requirements of section
417 of the act, including the requirement to submit instances of
reportable food to the agency via the Reportable Food electronic
portal. In the interim, FDA strongly encourages persons to continue to
report instances of adulterated food through existing mechanisms, such
as notifying the relevant FDA District office, until such time as the
Registry and its associated electronic portal are fully implemented.

III. Request for Comments

    FDA is seeking comments on the requirements contained in the
Registry provisions of section 417 of the act. In addition to general
information, data, and comments, we request comments on the following
questions:
    (1) What obstacles, if any, do responsible parties anticipate in
complying with the requirements of section 417 of the act?
    (2) How can FDA enhance the quality, utility, and clarity of the
information to be submitted to the Registry?
    (3) What would be an efficient and effective method for providing
and receiving notifications to and from sources and recipients in the
supply chain of instances of reportable food?
    (4) In addition to the data elements set out in section 417 of the
act, what other information, if any, would be important to provide in
responsible party notifications to the immediate previous source and
immediate subsequent recipient of the article of food?

IV. Comments

    Interested persons may submit to the Division of Dockets Management
(see ADDRESSES) written or electronic comments regarding this document.
Submit a single copy of electronic comments or two paper copies of any
mailed comments, except that individuals may submit one paper copy.
Comments are to be identified with the docket number found in brackets
in the heading of this document. Received comments may be seen in the
Division of Dockets Management between 9 a.m. and 4 p.m., Monday
through Friday.
    Please note that on January 15, 2008, the FDA Division of Dockets
Management Web site transitioned to the Federal Dockets Management
System (FDMS). FDMS is a Government-wide, electronic docket management
system. Electronic comments or submissions will be accepted by FDA only
through FDMS at http://www.regulations.gov.

    Dated: May 16, 2008.
Jeffrey Shuren,
Associate Commissioner for Policy and Planning.
[FR Doc. E8-11517 Filed 5-23-08; 8:45 am]

BILLING CODE 4160-01-S


[Federal Register Volume 85, Number 31 (Friday, February 14, 2020)]
[Proposed Rules]
[Pages 8504-8507]
[FR Doc No: 2020-02945]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 100

[Docket Number USCG-2020-0084]
RIN 1625-AA08

Special Local Regulation; Tred Avon River, Between Bellevue and
Oxford, MD

AGENCY: Coast Guard, DHS.

ACTION: Notice of proposed rulemaking.

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

SUMMARY: The Coast Guard is proposing to establish temporary special
local regulations for certain waters of the Tred Avon River. This
action is necessary to provide for the safety of life on these
navigable waters located between Bellevue, MD, and Oxford, MD, during a
swim event on June 6, 2020. This proposed rulemaking would prohibit
persons and vessels from entering the regulated area unless authorized
by the Captain of the Port Maryland-National Capital Region or the
Coast Guard Patrol Commander. We invite your comments on this proposed
rulemaking.

DATES: Comments and related material must be received by the Coast
Guard on or before March 16, 2020.

ADDRESSES: You may submit comments identified by docket number USCG-
2020-0084 using the Federal eRulemaking Portal at http://www.regulations.gov. See the ``Public Participation and Request for
Comments'' portion of the SUPPLEMENTARY INFORMATION section for further
instructions on submitting comments.

FOR FURTHER INFORMATION CONTACT: If you have questions about this
proposed rulemaking, call or email Mr. Ron Houck, U.S. Coast Guard
Sector Maryland-National Capital Region; telephone<PHONE_NUMBER>, email
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

I. Table of Abbreviations

CFR Code of Federal Regulations
COTP Captain of the Port
DHS Department of Homeland Security
FR Federal Register
NPRM Notice of proposed rulemaking
PATCOM Coast Guard Patrol Commander
Sec.  Section
U.S.C. United States Code

II. Background, Purpose, and Legal Basis

    Charcot Marie Tooth Association and Therapies for Inherited
Neuropathies of Trappe, MD, notified the Coast Guard that it will be
conducting the swim portion of the Oxford Funathlon from 7:45 a.m. to
9:15 a.m. on June 6, 2020. There is no alternate date scheduled for
this event. The open water swim consists of approximately 40
participants competing in a designated 1200-meter course that starts at
the ferry dock in Bellevue, MD, and finishes at the Tred Avon Yacht
Club in Oxford, MD. Hazards from the swim competition include
participants swimming within and adjacent to the designated navigation
channel and interfering with vessels intending to operate within that
channel, as well as swimming within approaches to local public and
private marinas and public boat facilities. The Captain of the Port
(COTP) Maryland-National Capital Region has determined that potential
hazards associated with the swim would

be a safety concern for anyone intending to participate in this event
and for vessels that operate within specified waters of the Tred Avon
River.
    The purpose of this rulemaking is to protect event participants,
non-participants, and transiting vessels on before, during, and after
the scheduled event. The Coast Guard is proposing this rulemaking under
authority in 46 U.S.C. 70034 (previously 33 U.S.C. 1231).

III. Discussion of Proposed Rule

    The COTP Maryland-National Capital Region is proposing to establish
special local regulations that would be enforced from 6:45 a.m. to
10:15 a.m. on June 6, 2020. The regulated area would cover all
navigable waters of the Tred Avon River, from shoreline to shoreline,
within an area bounded on the east by a line drawn from latitude
38[deg]42'25'' N, longitude 076[deg]10'45'' W, thence south to latitude
38[deg]41'37'' N, longitude 076[deg]10'26'' W, and bounded on the west
by a line drawn from latitude 38[deg]41'58'' N, longitude
076[deg]11'04'' W, thence to latitude 38[deg]41'25'' N, longitude
076[deg]10'49'' W, thence east to latitude 38[deg]41'25'' N, longitude
076[deg]10'30'' W, located at Oxford, MD. The proposed duration of the
rule and size of the regulated area are to ensure the safety of life on
these navigable waters before, during, and after the open water swim,
scheduled to take place from 7:45 a.m. to 9:15 a.m. on June 6, 2020.
The COTP and the Coast Guard Patrol Commander (PATCOM) would have
authority to forbid and control the movement of all vessels and
persons, including event participants, in the regulated area.
    Except for Oxford Funathlon participants and vessels already at
berth, a vessel or person would be required to get permission from the
COTP or PATCOM before entering the regulated area. Vessel operators
would be able to request permission to enter and transit through the
regulated area by contacting the PATCOM on VHF-FM channel 16. Vessel
traffic would be able to safely transit the regulated area once the
PATCOM deems it safe to do so. A person or vessel not registered with
the event sponsor as a participant or assigned as official patrols
would be considered a non-participant. Official Patrols are any vessel
assigned or approved by the Commander, Coast Guard Sector Maryland-
National Capital Region with a commissioned, warrant, or petty officer
on board and displaying a Coast Guard ensign.
    If permission is granted by the COTP or PATCOM, a person or vessel
would be allowed to enter the regulated area or pass directly through
the regulated area as instructed. Vessels would be required to operate
at a safe speed that minimizes wake while within the regulated area.
Official patrol vessels would direct non-participants while within the
regulated area.
    The regulatory text we are proposing appears at the end of this
document.

IV. Regulatory Analyses

    We developed this proposed rule after considering numerous statutes
and Executive orders related to rulemaking. Below we summarize our
analyses based on a number of these statutes and Executive orders, and
we discuss First Amendment rights of protestors.

A. Regulatory Planning and Review

    Executive Orders 12866 and 13563 direct agencies to assess the
costs and benefits of available regulatory alternatives and, if
regulation is necessary, to select regulatory approaches that maximize
net benefits. Executive Order 13771 directs agencies to control
regulatory costs through a budgeting process. This NPRM has not been
designated a ``significant regulatory action,'' under Executive Order
12866. Accordingly, the NPRM has not been reviewed by the Office of
Management and Budget (OMB), and pursuant to OMB guidance it is exempt
from the requirements of Executive Order 13771.
    This regulatory action determination is based on size, time of day
and duration of the regulated area, which would impact a small
designated area of the Tred Avon River for 3\1/2\ hours. The Coast
Guard would issue a Broadcast Notice to Mariners via VHF-FM marine
channel 16 about the status of the regulated area. Moreover, the rule
would allow vessels to seek permission to enter the regulated area, and
vessel traffic would be able to safely transit the regulated area once
the PATCOM deems it safe to do so.

B. Impact on Small Entities

    The Regulatory Flexibility Act of 1980, 5 U.S.C. 601-612, as
amended, requires Federal agencies to consider the potential impact of
regulations on small entities during rulemaking. The term ``small
entities'' comprises small businesses, not-for-profit organizations
that are independently owned and operated and are not dominant in their
fields, and governmental jurisdictions with populations of less than
50,000. The Coast Guard certifies under 5 U.S.C. 605(b) that this
proposed rule would not have a significant economic impact on a
substantial number of small entities.
    While some owners or operators of vessels intending to transit the
safety zone may be small entities, for the reasons stated in section
IV.A above, this proposed rule would not have a significant economic
impact on any vessel owner or operator.
    If you think that your business, organization, or governmental
jurisdiction qualifies as a small entity and that this rule would have
a significant economic impact on it, please submit a comment (see
ADDRESSES) explaining why you think it qualifies and how and to what
degree this rule would economically affect it.
    Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Pub. L. 104-121), we want to assist small
entities in understanding this proposed rule. If the rule would affect
your small business, organization, or governmental jurisdiction and you
have questions concerning its provisions or options for compliance,
please contact the person listed in the FOR FURTHER INFORMATION CONTACT
section. The Coast Guard will not retaliate against small entities that
question or complain about this proposed rule or any policy or action
of the Coast Guard.

C. Collection of Information

    This proposed rule would not call for a new collection of
information under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-
3520).

D. Federalism and Indian Tribal Governments

    A rule has implications for federalism under Executive Order 13132,
Federalism, if it has a substantial direct effect on the States, on the
relationship between the national government and the States, or on the
distribution of power and responsibilities among the various levels of
government. We have analyzed this proposed rule under that Order and
have determined that it is consistent with the fundamental federalism
principles and preemption requirements described in Executive Order
13132.
    Also, this proposed rule does not have tribal implications under
Executive Order 13175, Consultation and Coordination with Indian Tribal
Governments, because it would not have a substantial direct effect on
one or more Indian tribes, on the relationship between the Federal
Government and Indian tribes, or on the distribution of power and
responsibilities between the Federal Government and Indian tribes. If
you believe this proposed rule has implications for federalism or
Indian tribes, please contact the person listed in the FOR FURTHER
INFORMATION CONTACT section.

E. Unfunded Mandates Reform Act

    The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538)
requires Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, the Act addresses actions that may
result in the expenditure by a State, local, or tribal government, in
the aggregate, or by the private sector of $100,000,000 (adjusted for
inflation) or more in any one year. Though this proposed rule would not
result in such an expenditure, we do discuss the effects of this rule
elsewhere in this preamble.

F. Environment

    We have analyzed this proposed rule under Department of Homeland
Security Directive 023-01, Rev. 1, associated implementing
instructions, and Environmental Planning COMDTINST 5090.1 (series),
which guide the Coast Guard in complying with the National
Environmental Policy Act of 1969 (42 U.S.C. 4321-4370f), and have made
a preliminary determination that this action is one of a category of
actions that do not individually or cumulatively have a significant
effect on the human environment. This proposed rule involves
implementation of regulations within 33 CFR part 100 applicable to
organized marine events on the navigable waters of the United States
that could negatively impact the safety of waterway users and shore
side activities in the event area lasting for 3 and \1/2\ hours.
Normally such actions are categorically excluded from further review
under paragraph L[61] of Appendix A, Table 1 of DHS Instruction Manual
023-01-001-01, Rev. 01. We seek any comments or information that may
lead to the discovery of a significant environmental impact from this
proposed rule.

G. Protest Activities

    The Coast Guard respects the First Amendment rights of protesters.
Protesters are asked to contact the person listed in the FOR FURTHER
INFORMATION CONTACT section to coordinate protest activities so that
your message can be received without jeopardizing the safety or
security of people, places, or vessels.

V. Public Participation and Request for Comments

    We view public participation as essential to effective rulemaking,
and will consider all comments and material received during the comment
period. Your comment can help shape the outcome of this rulemaking. If
you submit a comment, please include the docket number for this
rulemaking, indicate the specific section of this document to which
each comment applies, and provide a reason for each suggestion or
recommendation.
    We encourage you to submit comments through the Federal eRulemaking
Portal at http://www.regulations.gov. If your material cannot be
submitted using http://www.regulations.gov, contact the person in the
FOR FURTHER INFORMATION CONTACT section of this document for alternate
instructions.
    We accept anonymous comments. All comments received will be posted
without change to http://www.regulations.gov and will include any
personal information you have provided. For more about privacy and
submissions in response to this docket, see DHS's Correspondence System
of Records notice (84 FR 48645, September 26, 2018).
    Documents mentioned in this NPRM as being available in the docket,
and all public comments, will be in our online docket at http://www.regulations.gov and can be viewed by following that website's
instructions. Additionally, if you go to the online docket and sign up
for email alerts, you will be notified when comments are posted or a
final rule is published.

List of Subjects in 33 CFR Part 100

    Marine safety, Navigation (water), Reporting and recordkeeping
requirements, Waterways.

    For the reasons discussed in the preamble, the Coast Guard is
proposing to amend 33 CFR part 100 as follows:

PART 100--SAFETY OF LIFE ON NAVIGABLE WATERS

0
1. The authority citation for part 100 continues to read as follows:

    Authority:  46 U.S.C. 70041; 33 CFR 1.05-1.

0
2. Add Sec.  100.T05-0084 to read as follows:

Sec.  100.T05-0084  Oxford Funathlon, Tred Avon River, Between Bellevue
and Oxford, MD.

    (a) Regulated area. The regulations in this section apply to the
following area: All navigable waters of the Tred Avon River, from
shoreline to shoreline, within an area bounded on the east by a line
drawn from latitude 38[deg]42'25'' N, longitude 076[deg]10'45'' W,
thence south to latitude 38[deg]41'37'' N, longitude 076[deg]10'26'' W,
and bounded on the west by a line drawn from latitude 38[deg]41'58'' N,
longitude 076[deg]11'04'' W, thence south to latitude 38[deg]41'25'' N,
longitude 076[deg]10'49'' W, thence east to latitude 38[deg]41'25'' N,
longitude 076[deg]10'30'' W, located at Oxford, MD. These coordinates
are based on datum NAD 1983.
    (b) Definitions. As used in this section--
    Captain of the Port (COTP) Maryland-National Capital Region means
the Commander, U.S. Coast Guard Sector Maryland-National Capital Region
or any Coast Guard commissioned, warrant or petty officer who has been
authorized by the COTP to act on his behalf.
    Coast Guard Patrol Commander (PATCOM) means a commissioned,
warrant, or petty officer of the U.S. Coast Guard who has been
designated by the Commander, Coast Guard Sector Maryland-National
Capital Region.
    Official Patrol means any vessel assigned or approved by Commander,
Coast Guard Sector Maryland-National Capital Region with a
commissioned, warrant, or petty officer on board and displaying a Coast
Guard ensign.
    Participant means all persons and vessels registered with the event
sponsor as participating in the Maryland Freedom Swim or otherwise
designated by the event sponsor as having a function tied to the event.
    (c) Regulations. (1) Except for vessels already at berth, all non-
participants are prohibited from entering, transiting through,
anchoring in, or remaining within the regulated area described in
paragraph (a) of this section unless authorized by the COTP Maryland-
National Capital Region or PATCOM.
    (2) To seek permission to enter, contact the COTP Maryland-National
Capital Region at telephone number<PHONE_NUMBER> or on Marine Band
Radio, VHF-FM channel 16 (156.8 MHz) or the PATCOM on Marine Band
Radio, VHF-FM channel 16 (156.8 MHz). Those in the regulated area must
comply with all lawful orders or directions given to them by the COTP
Maryland-National Capital Region or PATCOM.
    (3) The COTP Maryland-National Capital Region will provide notice
of the regulated area through advanced notice via Fifth Coast Guard
District Local Notice to Mariners, broadcast notice to mariners, and
on-scene official patrols.
    (d) Enforcement officials. The Coast Guard may be assisted with
marine event patrol and enforcement of the regulated area by other
Federal, State, and local agencies.
    (e) Enforcement period. This section will be enforced from 6:45
a.m. to 10:15 a.m. on June 6, 2020.

    Dated: February 10, 2020.
Joseph B. Loring,
Captain, U.S. Coast Guard, Captain of the Port Maryland-National
Capital Region.
[FR Doc. 2020-02945 Filed 2-13-20; 8:45 am]
 BILLING CODE 9110-04-P