[Federal Register Volume 86, Number 105 (Thursday, June 3, 2021)]
[Notices]
[Pages 29810-29817]
[FR Doc No: 2021-11610]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-92052; File No. SR-NYSEArca-2021-44]

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing
and Immediate Effectiveness of Proposed Rule Change To List and Trade
Shares of the American Century Sustainable Growth ETF

May 27, 2021.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (``Act''),\2\ and Rule 19b-4 thereunder,\3\ notice is hereby given
that on May 21, 2021, NYSE Arca, Inc. (``NYSE Arca'' or the
``Exchange'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I and
II below, which Items have been prepared by the Exchange. The
Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to list and trade shares of the American
Century Sustainable Growth ETF under NYSE Arca Rule 8.601-E. 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.

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

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

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

1. Purpose
    The Exchange has adopted NYSE Arca Rule 8.601-E for the purpose of
permitting the listing and trading, or trading pursuant to unlisted
trading privileges (``UTP''), of Active Proxy Portfolio Shares, which
are securities issued by an actively managed open-end investment
management company.\4\ Commentary .01 to Rule 8.601-E requires the
Exchange to file separate proposals under Section 19(b) of the Act
before listing and trading any series of Active Proxy Portfolio Shares
on the Exchange. Therefore, the Exchange is submitting this proposal in
order to list and trade shares (``Shares'') as Active Proxy Portfolio
Shares of the American Century[supreg] Sustainable Growth ETF (the
``Fund'') under Rule 8.601-E.
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    \4\ See Securities Exchange Act Release No. 89185 (June 29,
2020), 85 FR 40328 (July 6, 2020) (SR-NYSEArca-2019-95). Rule 8.601-
E(c)(1) provides that ``[t]he term ``Active Proxy Portfolio Share''
means a security that (a) is issued by a investment company
registered under the Investment Company Act of 1940 (``Investment
Company'') organized as an open-end management investment company
that invests in a portfolio of securities selected by the Investment
Company's investment adviser consistent with the Investment
Company's investment objectives and policies; (b) is issued in a
specified minimum number of shares, or multiples thereof, in return
for a deposit by the purchaser of the Proxy Portfolio and/or cash
with a value equal to the next determined net asset value (``NAV'');
(c) when aggregated in the same specified minimum number of Active
Proxy Portfolio Shares, or multiples thereof, may be redeemed at a
holder's request in return for the Proxy Portfolio and/or cash to
the holder by the issuer with a value equal to the next determined
NAV; and (d) the portfolio holdings for which are disclosed within
at least 60 days following the end of every fiscal quarter.'' Rule
8.601-E(c)(2) provides that ``[t]he term ``Actual Portfolio'' means
the identities and quantities of the securities and other assets
held by the Investment Company that shall form the basis for the
Investment Company's calculation of NAV at the end of the business
day.'' Rule 8.601-E(c)(3) provides that ``[t]he term ``Proxy
Portfolio'' means a specified portfolio of securities, other
financial instruments and/or cash designed to track closely the
daily performance of the Actual Portfolio of a series of Active
Proxy Portfolio Shares as provided in the exemptive relief pursuant
to the Investment Company Act of 1940 applicable to such series.''
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Key Features of Active Proxy Portfolio Shares
    While funds issuing Active Proxy Portfolio Shares will be actively
managed and, to that extent, will be similar to Managed Fund Shares,
Active Proxy Portfolio Shares differ from Managed Fund Shares in the
following important respects. First, in contrast to Managed Fund
Shares, which are actively-managed funds listed and traded under NYSE
Arca Rule 8.600-E \5\

and for which a ``Disclosed Portfolio'' is required to be disseminated
at least once daily,\6\ the portfolio for each series of Active Proxy
Portfolio Shares will be publicly disclosed within at least 60 days
following the end of every fiscal quarter in accordance with normal
disclosure requirements otherwise applicable to open-end management
investment companies registered under the Investment Company Act of
1940 (the ``1940 Act'').\7\ The composition of the portfolio of each
series of Active Proxy Portfolio Shares will not be available at
commencement of Exchange listing and trading. Second, in connection
with the creation and redemption of Active Proxy Portfolio Shares, such
creation or redemption may be exchanged for a Proxy Portfolio and/or
cash with a value equal to the next-determined NAV. A series of Active
Proxy Portfolio Shares will disclose the Proxy Portfolio on a daily
basis, which, as described above, is designed to track closely the
daily performance of the Actual Portfolio of a series of Active Proxy
Portfolio Shares, instead of the actual holdings of the Investment
Company, as provided by a series of Managed Fund Shares.
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    \5\ The Commission has previously approved listing and trading
on the Exchange of a number of issues of Managed Fund Shares under
NYSE Arca Rule 8.600-E. See, e.g., Securities Exchange Act Release
Nos. 57801 (May 8, 2008), 73 FR 27878 (May 14, 2008) (SR-NYSEArca-
2008-31) (order approving Exchange listing and trading of twelve
actively-managed funds of the WisdomTree Trust); 60460 (August 7,
2009), 74 FR 41468 (August 17, 2009) (SR-NYSEArca-2009-55) (order
approving listing of Dent Tactical ETF); 63076 (October 12, 2010),
75 FR 63874 (October 18, 2010) (SR-NYSEArca-2010-79) (order
approving Exchange listing and trading of Cambria Global Tactical
ETF); 63802 (January 31, 2011), 76 FR 6503 (February 4, 2011) (SR-
NYSEArca-2010-118) (order approving Exchange listing and trading of
the SiM Dynamic Allocation Diversified Income ETF and SiM Dynamic
Allocation Growth Income ETF). The Commission also has approved a
proposed rule change relating to generic listing standards for
Managed Fund Shares. See Securities Exchange Act Release No. 78397
(July 22, 2016), 81 FR 49320 (July 27, 2016 (SR-NYSEArca-2015-110)
(amending NYSE Arca Equities Rule 8.600 to adopt generic listing
standards for Managed Fund Shares).
    \6\ NYSE Arca Rule 8.600-E(c)(2) defines the term ``Disclosed
Portfolio'' as the identities and quantities of the securities and
other assets held by the Investment Company that will form the basis
for the Investment Company's calculation of net asset value at the
end of the business day. NYSE Arca Rule 8.600-E(d)(2)(B)(i) requires
that the Disclosed Portfolio will be disseminated at least once
daily and will be made available to all market participants at the
same time.
    \7\ A mutual fund is required to file with the Commission its
complete portfolio schedules for the second and fourth fiscal
quarters on Form N-CSR under the 1940 Act. Information reported on
Form N-PORT for the third month of the Fund's fiscal quarter will be
made publicly available 60 days after the end of the Fund's fiscal
quarter. Form N-PORT requires reporting of the Fund's complete
portfolio holdings on a position-by-position basis on a quarterly
basis within 60 days after fiscal quarter end. Investors can obtain
the Fund's Statement of Additional Information (``SAI''), its
Shareholder Reports, its Form N-CSR, filed twice a year, and its
Form N-CEN, filed annually. The Fund's SAI and Shareholder Reports
will be available free upon request from the Investment Company, and
those documents and the Form N-PORT, Form N-CSR, and Form N-CEN may
be viewed on-screen or downloaded from the Commission's website at
www.sec.gov.
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    The Commission has previously approved listing and trading on the
Exchange of series of Active Proxy Portfolio Shares under NYSE Arca
Rule 8.601-E.\8\ The Fund is a series of the American Century ETF Trust
(the ``Trust''), a Delaware statutory trust.\9\ The investment adviser
for the Fund will be American Century Investment Management, Inc.
(``Adviser''). State Street Bank and Trust Company will serve as the
Fund's transfer agent, custodian, and will conduct certain
administrative functions. Foreside Fund Services, LLC, a registered
broker dealer, will serve as the distributor (``Distributor'') of the
Shares.
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    \8\ See Securities Exchange Act Release Nos. 89185 (June 29,
2020), 85 FR 40328 (July 6, 2020) (SR-NYSEArca-2019-95) (Notice of
Filing of Amendment No. 6 and Order Granting Accelerated Approval of
a Proposed Rule Change, as Modified by Amendment No. 6, to Adopt
NYSE Arca Rule 8.601-E to Permit the Listing and Trading of Active
Proxy Portfolio Shares and To List and Trade Shares of the Natixis
U.S. Equity Opportunities ETF Under Proposed NYSE Arca Rule 8.601-E)
(``Natixis Order''); 89192 (June 30, 2020), 85 FR 40699 (July 7,
2020)(SR-NYSEArca-2019-96) (Notice of Filing of Amendment No. 5 and
Order Granting Accelerated Approval of a Proposed Rule Change, as
Modified by Amendment No. 5, to List and Trade Two Series of Active
Proxy Portfolio Shares Issued by the American Century ETF Trust
under NYSE Arca Rule 8.601-E) (``American Century Order''); 89191
(June 30, 2020), 85 FR 40358 (July 6, 2020)(SR-NYSEArca-2019-92)
(Notice of Filing of Amendment No. 3 and Order Granting Accelerated
Approval of a Proposed Rule Change, as Modified by Amendment No. 3,
to List and Trade Four Series of Active Proxy Portfolio Shares
Issued by T. Rowe Price Exchange-Traded Funds, Inc. under NYSE Arca
Rule 8.601-E) (``T. Rowe Price Approval Order''); 89438 (July 31,
2020), 85 FR 47821 (August 6, 2020) (SR-NYSEArca-2020-51) (Order
Granting Approval of a Proposed Rule Change, as Modified by
Amendment No. 2, to List and Trade Shares of Natixis Vaughan Nelson
Select ETF and Natixis Vaughan Nelson MidCap ETF under NYSE Arca
Rule 8.601-E). See also Securities Exchange Act Release No. 88887
(May 15, 2020), 85 FR 30990 (May 21, 2020)(SR-CboeBZX-2019-107)
(Notice of Filing of Amendment No. 5 and Order Granting Accelerated
Approval of a Proposed Rule Change, as Modified by Amendment No. 5,
to Adopt Rule 14.11(m), Tracking Fund Shares, and to List and Trade
Shares of the Fidelity Blue Chip Value ETF, Fidelity Blue Chip
Growth ETF, and Fidelity New Millennium ETF).
    \9\ The Trust is registered under the 1940 Act. On April 15,
2021, the Trust filed a registration statement on Form N-1A under
the Securities Act of 1933 (15 U.S.C. 77a) and under the 1940 Act
relating to the Fund (File Nos. 333-221045 and 811-23305 (the
``Registration Statement''). The Trust filed an application for an
order under Section 6(c) of the 1940 Act for exemptions from various
provisions of the 1940 Act and rules thereunder (File No. 812-
15082), dated April 9, 2020 (``Application''). On May 12, 2020, the
Commission issued an order (``Exemptive Order'') under the 1940 Act
granting the exemptions requested in the Application (Investment
Company Act Release No. 33862, May 12, 2020). Investments made by
the Fund will comply with the conditions set forth in the
Application and the Exemptive Order. The description of the
operation of the Fund herein is based, in part, on the Registration
Statement and the Application. The Exchange will not commence
trading in Shares of the Fund until the Registration Statement is
effective.
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    Commentary .04 to NYSE Arca Rule 8.601-E provides that, if the
investment adviser to the Investment Company issuing Active Proxy
Portfolio Shares is registered as a broker-dealer or is affiliated with
a broker-dealer, such investment adviser will erect and maintain a
``fire wall'' between the investment adviser and personnel of the
broker-dealer or broker-dealer affiliate, as applicable, with respect
to access to information concerning the composition and/or changes to
such Investment Company's Actual Portfolio and/or Proxy Portfolio. Any
person related to the investment adviser or Investment Company who
makes decisions pertaining to the Investment Company's Actual Portfolio
and/or Proxy Portfolio or has access to non-public information
regarding the Investment Company's Actual Portfolio and/or Proxy
Portfolio or changes thereto must be subject to procedures reasonably
designed to prevent the use and dissemination of material non-public
information regarding the Actual Portfolio and/or Proxy Portfolio or
changes thereto. Commentary .04 is similar to Commentary .03(a)(i) and
(iii) to NYSE Arca Rule 5.2-E(j)(3); however, Commentary .04, in
connection with the establishment of a ``fire wall'' between the
investment adviser and the broker-dealer, reflects the applicable open-
end fund's portfolio, not an underlying benchmark index, as is the case
with index-based funds.\10\ Commentary .04 is also similar to
Commentary .06 to Rule 8.600-E related to Managed Fund Shares, except
that Commentary .04

relates to establishment and maintenance of a ``fire wall'' between the
investment adviser and personnel of the broker-dealer or broker-dealer
affiliate, as applicable, applicable to an Investment Company's Actual
Portfolio and/or Proxy Portfolio or changes thereto, and not just to
the underlying portfolio, as is the case with Managed Fund Shares.
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    \10\ An investment adviser to an open-end fund is required to be
registered under the Investment Advisers Act of 1940 (the ``Advisers
Act''). As a result, the Adviser and its related personnel will be
subject to the provisions of Rule 204A-1 under the Advisers Act
relating to codes of ethics. This Rule requires investment advisers
to adopt a code of ethics that reflects the fiduciary nature of the
relationship to clients as well as compliance with other applicable
securities laws. Accordingly, procedures designed to prevent the
communication and misuse of non-public information by an investment
adviser must be consistent with Rule 204A-1 under the Advisers Act.
In addition, Rule 206(4)-7 under the Advisers Act makes it unlawful
for an investment adviser to provide investment advice to clients
unless such investment adviser has (i) adopted and implemented
written policies and procedures reasonably designed to prevent
violations, by the investment adviser and its supervised persons, of
the Advisers Act and the Commission rules adopted thereunder; (ii)
implemented, at a minimum, an annual review regarding the adequacy
of the policies and procedures established pursuant to subparagraph
(i) above and the effectiveness of their implementation; and (iii)
designated an individual (who is a supervised person) responsible
for administering the policies and procedures adopted under
subparagraph (i) above.
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    In addition, Commentary .05 to Rule 8.601-E provides that any
person or entity, including a custodian, Reporting Authority,
distributor, or administrator, who has access to non-public information
regarding the Investment Company's Actual Portfolio or the Proxy
Portfolio or changes thereto, must be subject to procedures reasonably
designed to prevent the use and dissemination of material non-public
information regarding the applicable Investment Company Actual
Portfolio or the Proxy Portfolio or changes thereto. Moreover, if any
such person or entity is registered as a broker-dealer or affiliated
with a broker-dealer, such person or entity will erect and maintain a
``fire wall'' between the person or entity and the broker-dealer with
respect to access to information concerning the composition and/or
changes to such Investment Company Actual Portfolio or Proxy Portfolio.
    The Adviser is not registered as a broker-dealer but is affiliated
with a broker-dealer. The Adviser has implemented and will maintain a
``fire wall'' with respect to such broker-dealer affiliate regarding
access to information concerning the composition of and/or changes to
the Fund's Actual Portfolio and/or Proxy Portfolio. In the event (a)
the Adviser becomes registered as a broker-dealer or newly affiliated
with a broker-dealer, or (b) any new adviser or sub-adviser is or
becomes a registered broker-dealer or affiliated with a broker-dealer,
it will implement and maintain a fire wall with respect to its relevant
personnel or its broker-dealer affiliate regarding access to
information concerning the composition and/or changes to the Fund's
Actual Portfolio and/or Proxy Portfolio, and will be subject to
procedures designed to prevent the use and dissemination of material
non-public information regarding the Fund's Actual Portfolio and/or
Proxy Portfolio or changes thereto. Any person related to the Adviser
or the Fund who makes decisions pertaining to the Fund's Actual
Portfolio or Proxy Portfolio or has access to non-public information
regarding the Fund's Actual Portfolio and/or the Proxy Portfolio or
changes thereto is subject to procedures reasonably designed to prevent
the use and dissemination of material non-public information regarding
the Fund's Actual Portfolio and/or the Proxy Portfolio or changes
thereto.
    In addition, any person or entity, including any service provider
for the Fund, who has access to non-public information regarding the
Fund's Actual Portfolio or the Proxy Portfolio or changes thereto, will
be subject to procedures reasonably designed to prevent the use and
dissemination of material non-public information regarding the Fund's
Actual Portfolio and/or the Proxy Portfolio or changes thereto.
Moreover, if any such person or entity is registered as a broker-dealer
or affiliated with a broker-dealer, such person or entity has erected
and will maintain a ``fire wall'' between the person or entity and the
broker-dealer with respect to access to information concerning the
composition and/or changes to the Fund's Actual Portfolio and/or Proxy
Portfolio.
Description of the Fund
    According to the Registration Statement, each ``Business Day'' \11\
before commencement of the trading of Shares, the Fund will publish on
its website a Proxy Portfolio designed to closely track the daily
performance of the Fund but the Proxy Portfolio will not be the Fund's
Actual Portfolio.
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    \11\ ``Business Day'' is defined to mean any day that the
Exchange is open, including any day when the Fund satisfies
redemption requests as required by Section 22(e) of the 1940 Act.
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    The Proxy Portfolio will be designed to closely track the daily
performance of the Actual Portfolio and to reflect the economic
exposures and risk characteristics of the Fund's actual holdings on
each trading day. According to the Registration Statement, this would
be achieved by performing an analysis of the Fund's Actual Portfolio
(``Factor Model''). The Factor Model is comprised of three sets of
factors or analytical metrics: Market-based factors, fundamental
factors, and industry/sector factors. The Fund will have a universe of
securities (the ``Model Universe'') that will be used to generate its
Proxy Portfolio. The Model Universe will be comprised solely of
securities that the Fund can purchase and will be a financial index or
stated portfolio of securities from which Fund investments will be
selected. The results of the Factor Model analysis of the Fund's Actual
Portfolio are then applied to the Fund's Model Universe. The daily
rebalanced Proxy Portfolio is then generated as a result of this Model
Universe analysis with the Proxy Portfolio being a small sub-set of the
Model Universe. The Factor Model is applied to both the Actual
Portfolio and the Model Universe to construct the Fund's Proxy
Portfolio that performs in a manner substantially identical to the
performance of its Actual Portfolio.
    The identity and quantity of Proxy Portfolio component investments
and the overlap between the holdings of the prior Business Day's Proxy
Portfolio compared to the Actual Portfolio (``Proxy Overlap'') will be
publicly available on the Fund's website before the commencement of
trading in Shares on each Business Day. The Proxy Portfolio published
on the Fund's website each Business Day will include the following
information for each portfolio holding in the Proxy Portfolio: (1)
Ticker symbol; (2) CUSIP or other identifier; (3) description of
holding; (4) quantity of each security or other asset held; and (5)
percentage weight of the holding in the Proxy Portfolio. The Fund's
website will note that the Proxy Overlap is calculated based on the
Proxy Portfolio and Actual Portfolio holdings as of the prior Business
Day. The Proxy Overlap will be calculated by taking the lesser weight
of each asset held in common between the Actual Portfolio and the Proxy
Portfolio and adding the totals.
    The Proxy Portfolio aims to allow market participants to assess the
intraday value and associated risk of the Fund's Actual Portfolio. The
Proxy Portfolio will only include securities that are allowed to be
held in the Actual Portfolio.
    The Fund's holdings will conform to the permissible investments as
set forth in the Application and Exemptive Order, and the holdings will
be consistent with all requirements in the Application and Exemptive
Order.\12\

Any foreign common stocks held by the Fund will be traded on an
exchange that is a member of the Intermarket Surveillance Group
(``ISG'') or with which the Exchange has in place a comprehensive
surveillance sharing agreement.
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    \12\ The Application and Exemptive Order incorporates by
reference the terms and conditions of a previous order granting the
same relief, as that order may be amended from time to time. See
Natixis ETF Trust II, et al., Investment Company Act Rel. Nos. 33684
(November 14, 2019) (notice) and 33711 (December 10, 2019) (order)
(the ``Reference Order''). Pursuant to the Reference Order as
incorporated by reference into the Application and Exemptive Order,
the permissible investments for the Fund include only the following
instruments: ETFs; exchange-traded notes (``ETNs''); exchange-traded
common stocks; exchange-traded preferred stocks; exchange-traded
American Depositary Receipts (``ADRs''); exchange-traded real estate
investment trusts (``REITs''); exchange-traded commodity pools;
exchange-traded metals trusts; exchange-traded currency trusts;
common stocks listed on a foreign exchange that trade on such
exchange synchronously with the Shares (``foreign common stocks'')
in the Exchange's Core Trading Session (normally 9:30 a.m. to 4:00
p.m. Eastern time (``E.T.'')); exchange-traded futures that trade
synchronously with the Fund's Shares as well as cash and cash
equivalents. With the exception of foreign common stocks and cash
and cash equivalents, all holdings of the Fund will be listed on a
U.S. national securities exchange or a U.S. futures exchange. For
purposes of this filing, cash equivalents are short-term U.S.
Treasury securities, government money market funds, and repurchase
agreements. The Fund will not hold short positions or invest in
derivatives other than U.S. exchange-traded futures, will not borrow
for investment purposes, and will not purchase any securities that
are illiquid investments at the time of purchase.
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    According to the Registration Statement, the Fund's investment
objective is to seek capital appreciation. The Fund will generally
invest in exchange-traded common stocks of large capitalization
companies. Under normal circumstances, the Fund will invest at least
80% of the Fund's net assets in sustainable securities, defined as
securities to which the Adviser's proprietary model assigns an
environmental, social, and governance (``ESG'') score that is in the
top three quartiles of the ESG scores the model assigns to all of the
securities in the Fund's benchmark, the Russell 1000 Growth Index.
Investment Restrictions
    The Shares of the Fund will conform to the initial and continued
listing criteria under Rule 8.601-E. The Fund's holdings will be
limited to and consistent with permissible holdings as described in the
Application and Exemptive Order and all requirements in the Application
and Exemptive Order.\13\
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    \13\ See notes 9 & 12, supra.
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    The Fund's investments, including derivatives, will be consistent
with their investment objectives and will not be used to enhance
leverage (although certain derivatives and other investments may result
in leverage). That is, the Fund's investments will not be used to seek
performance that is the multiple or inverse multiple (e.g., 2X or -3X)
of the Fund's primary broad-based securities benchmark index (as
defined in Form N-1A).
Purchases and Redemptions of Shares
    According to the Registration Statement, the Trust will offer,
issue and sell Shares of the Fund to investors only in specified
minimum size ``Creation Units'' through the Distributor on a continuous
basis at the NAV per Share next determined after an order in proper
form is received. The NAV of the Fund is expected to be determined as
of 4:00 p.m. E.T. on each Business Day. The Trust will sell and redeem
Creation Units of the Fund only on a Business Day. A Creation Unit will
generally consist of at least 10,000 Shares.
    According to the Registration Statement, Shares will be purchased
and redeemed in Creation Units and generally on an in-kind basis of a
designated portfolio of securities (including any portion of such
securities for which cash may be substituted) and the ``Cash
Component,'' which is an amount equal to the difference between the NAV
of the Shares (per Creation Unit) and the ``Deposit Amount,'' which is
an amount equal to the market value of the Deposit Securities, and
serves to compensate for any differences between the NAV per Creation
Unit and the Deposit Amount. Together, the Deposit Securities and the
Cash Component constitute the ``Fund Deposit,'' which will be
applicable (subject to possible amendment or correction) to creation
requests received in proper form. The Fund Deposit represents the
minimum initial and subsequent investment amount for a Creation Unit of
the Fund. The names and quantities of the instruments that constitute
the Fund Deposit will be the same as the Fund's Proxy Portfolio, except
to the extent purchases and redemptions are made entirely or in part on
a cash basis.\14\ If there is a difference between the NAV attributable
to a Creation Unit and the aggregate market value of the Creation
Basket exchanged for the Creation Unit, the party conveying instruments
with the lower value will also pay to the other an amount in cash equal
to that difference (the ``Cash Amount'').
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    \14\ [sic]
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    Each Business Day, before the open of trading on the Exchange (9:30
a.m. E.T.), the Fund will cause to be published through the National
Securities Clearing Corporation (``NSCC'') the names and the required
number of shares of each Deposit Security and the amount of the Cash
Component (if any) to be included in the current Fund Deposit (based on
information as of the end of the previous Business Day for the Fund).
    All orders to purchase and redeem Creation Units must be placed
with the Distributor by or through an authorized participant, which has
a written agreement with the Distributor that allows the authorized
participant to place orders for the purchase and redemption of Creation
Units (``Authorized Participant''). Only an Authorized Participant may
create or redeem Creation Units directly with the Fund.
    Validly submitted orders to purchase or redeem Creation Units on
each Business Day will be accepted until the end of the Core Trading
Session (the ``Closing Time''), generally 4:00 p.m. E.T., on the
Business Day that the order is placed (the ``Transmittal Date''). All
Creation Unit orders must be received by the Distributor no later than
two hours prior to the Closing Time (normally 2 p.m. E.T.) in order to
receive the NAV determined on the Transmittal Date. When the Exchange
closes earlier than normal, the Fund may require orders for Creation
Units to be placed earlier in the Business Day.
Availability of Information
    The Fund's website (www.americancenturyetfs.com), which will be
publicly available prior to the public offering of Shares, will include
a form of the prospectus for the Fund that may be downloaded. The
Fund's website will include on a daily basis, per Share for the Fund,
the prior Business Day's NAV and the ``Closing Price'' or ``Bid/Ask
Price,'' \15\ and a calculation of the premium/discount of the Closing
Price or Bid/Ask Price against such NAV.\16\ The Adviser has
represented that the Fund's website will also provide: (1) Any other
information regarding premiums/discounts as may be required for other
ETFs under Rule 6c-11 under the 1940 Act, as amended, and (2) any
information regarding the bid/ask spread for the Fund as may be
required for other ETFs under Rule 6c-11 under the 1940 Act, as
amended. The website and information will be publicly available at no
charge. The website also will disclose the information required under
Rule 8.601-E(c)(3).\17\
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    \15\ The records relating to Bid/Ask Prices will be retained by
the Fund or its service providers. The ``Bid/Ask Price'' is the
midpoint of the highest bid and lowest offer based upon the National
Best Bid and Offer as of the time of calculation of the Fund's NAV.
The ``National Best Bid and Offer'' is the current national best bid
and national best offer as disseminated by the Consolidated
Quotation System or UTP Plan Securities Information Processor. The
``Closing Price'' of Shares is the official closing price of the
Shares on the Exchange.
    \16\ The ``premium/discount'' refers to the premium or discount
to NAV at the end of a trading day and will be calculated based on
the last Bid/Ask Price or the Closing Price on a given trading day.
    \17\ See note 4, supra. Rule 8.601-E(c)(3) provides that the
website for each series of Active Proxy Portfolio Shares shall
disclose the information regarding the Proxy Portfolio as provided
in the exemptive relief pursuant to the Investment Company Act of
1940 applicable to such series, including the following, to the
extent applicable: (i) Ticker symbol; (ii) CUSIP or other
identifier; (iii) Description of holding; (iv) Quantity of each
security or other asset held; and (v) Percentage weighting of the
holding in the Proxy Portfolio.
---------------------------------------------------------------------------

    The Proxy Portfolio holdings (including the identity and quantity
of investments in the Proxy Portfolio) will

be publicly available on the Fund's website before the commencement of
trading in Shares on each Business Day.
    Typical mutual fund-style annual, semi-annual and quarterly
disclosures contained in the Fund's Commission filings will be provided
on the Fund's website on a current basis.\18\ Thus, the Fund will
publish the portfolio contents of its Actual Portfolio on a periodic
basis within at least 60 days following the end of every fiscal
quarter.
---------------------------------------------------------------------------

    \18\ See note 7, supra.
---------------------------------------------------------------------------

    Investors can also obtain the Fund's prospectus, SAI, shareholder
reports, Form N-CSR, Form N-PORT and Form N-CEN. Investors may access
complete portfolio schedules for the Fund on Form N-CSR and Form N-
PORT. The prospectus, SAI and shareholder reports will be available
free upon request from the Fund, and those documents and the Form N-
CSR, Form N-PORT and Form N-CEN may be viewed on-screen or downloaded
from the Commission's website at http://www.sec.gov. The Exchange also
notes that pursuant to the Application, the Fund must comply with
Regulation Fair Disclosure, which prohibits selective disclosure of any
material non-public information.
    Information regarding the market price of Shares and trading volume
in Shares, will be continually available on a real-time basis
throughout the day on brokers' computer screens and other electronic
services. The previous day's closing price and trading volume
information for the Shares will be published daily in the financial
section of newspapers.
    Quotation and last sale information for the Shares and U.S.
exchange-traded instruments (excluding futures contracts) will be
available via the Consolidated Tape Association (``CTA'') high-speed
line, from the exchanges on which such securities trade, or through
major market data vendors or subscription services. Intraday price
information for all exchange-traded instruments, which include all
eligible instruments and futures contracts but not cash and cash
equivalents, will be available from the exchanges on which they trade,
or through major market data vendors or subscription services. Intraday
price information for cash equivalents is available through major
market data vendors, subscription services and/or pricing services.
Trading Halts
    With respect to trading halts, the Exchange may consider all
relevant factors in exercising its discretion to halt or suspend
trading in the Shares of the Fund.\19\ Trading in Shares of the Fund
will be halted if the circuit breaker parameters in NYSE Arca Rule
7.12-E have been reached. Trading also may be halted because of market
conditions or for reasons that, in the view of the Exchange, make
trading in the Shares inadvisable. Trading in the Shares will be
subject to NYSE Arca Rule 8.601-E(d)(2)(D), which sets forth
circumstances under which Shares of the Fund will be halted.
---------------------------------------------------------------------------

    \19\ See NYSE Arca Rule 7.12-E.
---------------------------------------------------------------------------

    Specifically, Rule 8.601-E(d)(2)(D) provides that the Exchange may
consider all relevant factors in exercising its discretion to halt
trading in a series of Active Proxy Portfolio Shares. Trading may be
halted because of market conditions or for reasons that, in the view of
the Exchange, make trading in the series of Active Proxy Portfolio
Shares inadvisable. These may include: (a) The extent to which trading
is not occurring in the securities and/or the financial instruments
composing the Proxy Portfolio and/or Actual Portfolio; or (b) whether
other unusual conditions or circumstances detrimental to the
maintenance of a fair and orderly market are present.
    In addition, if the Exchange becomes aware that the NAV, Proxy
Portfolio or Actual Portfolio with respect to a series of Active Proxy
Portfolio Shares is not disseminated to all market participants at the
same time, the Exchange shall halt trading in such series until such
time as the NAV, Proxy Portfolio or Actual Portfolio is available to
all market participants at the same time.
Trading Rules
    The Exchange deems the Shares to be equity securities, thus
rendering trading in the Shares subject to the Exchange's existing
rules governing the trading of equity securities. Shares will trade on
the NYSE Arca Marketplace in all trading sessions in accordance with
NYSE Arca Rule 7.34-E(a). As provided in NYSE Arca Rule 7.6-E, the
minimum price variation (``MPV'') for quoting and entry of orders in
equity securities traded on the NYSE Arca Marketplace is $0.01, with
the exception of securities that are priced less than $1.00 for which
the MPV for order entry is $0.0001.
    The Shares will conform to the initial and continued listing
criteria under NYSE Arca Rule 8.601-E. The Exchange has appropriate
rules to facilitate trading in the Shares during all trading sessions.
    A minimum of 100,000 Shares for the Fund will be outstanding at the
commencement of trading on the Exchange. In addition, pursuant to Rule
8.601-E(d)(1)(B), the Exchange, prior to commencement of trading in the
Shares, will obtain a representation from the Trust that the NAV per
Share will be calculated daily and that the NAV, Proxy Portfolio and
the Actual Portfolio for the Fund will be made available to all market
participants at the same time.
    With respect to Active Proxy Portfolio Shares, all of the Exchange
member obligations relating to product description and prospectus
delivery requirements will continue to apply in accordance with
Exchange rules and federal securities laws, and the Exchange and the
Financial Industry Regulatory Authority, Inc. (``FINRA'') will continue
to monitor Exchange members for compliance with such requirements.
Surveillance
    The Exchange represents that trading in the Shares will be subject
to the existing trading surveillances, administered by the Exchange, as
well as cross market surveillances administered by FINRA on behalf of
the Exchange, which are designed to detect violations of Exchange rules
and applicable federal securities laws.\20\ The Exchange represents
that these procedures are adequate to properly monitor Exchange trading
of the Shares in all trading sessions and to deter and detect
violations of Exchange rules and federal securities laws applicable to
trading on the Exchange.
---------------------------------------------------------------------------

    \20\ FINRA conducts cross-market surveillances on behalf of the
Exchange pursuant to a regulatory services agreement. The Exchange
is responsible for FINRA's performance under this regulatory
services agreement.
---------------------------------------------------------------------------

    The surveillances referred to above generally focus on detecting
securities trading outside their normal patterns, which could be
indicative of manipulative or other violative activity. When such
situations are detected, surveillance analysis follows and
investigations are opened, where appropriate, to review the behavior of
all relevant parties for all relevant trading violations.
    FINRA, on behalf of the Exchange, or the Exchange or both will
communicate as needed regarding trading in the Shares and underlying
exchange-traded instruments with other markets and other entities that
are members of the ISG, and FINRA, on behalf of the Exchange, or the
Exchange or both may obtain trading information regarding trading such
securities and exchange-traded instruments from such markets and other
entities. In addition, the Exchange may obtain information regarding
trading in such securities and exchange-traded instruments from

markets and other entities that are members of ISG or with which the
Exchange has in place a comprehensive surveillance sharing
agreement.\21\
---------------------------------------------------------------------------

    \21\ For a list of the current members of ISG, see
www.isgportal.org.
---------------------------------------------------------------------------

    The Advisor will make available daily to FINRA and the Exchange the
Actual Portfolio of the Fund, upon request, in order to facilitate the
performance of the surveillances referred to above.
    In addition, the Exchange also has a general policy prohibiting the
distribution of material, non-public information by its employees.
    Commentary .03 to NYSE Arca Rule 8.601-E provides that the Exchange
will implement and maintain written surveillance procedures for Active
Proxy Portfolio Shares. As part of these surveillance procedures, the
Investment Company's investment adviser will upon request by the
Exchange or FINRA, on behalf of the Exchange, make available to the
Exchange or FINRA the daily Actual Portfolio holdings of each series of
Active Proxy Portfolio Shares. The Exchange believes that the ability
to access the information on an as needed basis will provide it with
sufficient information to perform the necessary regulatory functions
associated with listing and trading series of Active Proxy Portfolio
Shares on the Exchange, including the ability to monitor compliance
with the initial and continued listing requirements as well as the
ability to surveil for manipulation of Active Proxy Portfolio Shares.
    The Exchange will utilize its existing procedures to monitor the
Fund's compliance with the requirements of Rule 8.601-E. For example,
the Exchange will continue to use intraday alerts that will notify
Exchange personnel of trading activity throughout the day that may
indicate that unusual conditions or circumstances are present that
could be detrimental to the maintenance of a fair and orderly market.
The Exchange will require from the Trust, upon initial listing and
periodically thereafter, a representation that it is in compliance with
Rule 8.601-E. The Exchange notes that Commentary .01 to Rule 8.601-E
requires the issuer of shares to notify the Exchange of any failure to
comply with the continued listing requirements of Rule 8.601-E. In
addition, the Exchange will require the Trust to represent that it will
notify the Exchange of any failure to comply with the terms of
applicable exemptive and no-action relief. As part of its surveillance
procedures, the Exchange will rely on the foregoing procedures to
become aware of any non-compliance with the requirements of Rule 8.601-
E.
    With respect to the Fund, all statements and representations made
in this filing regarding (a) the description of the portfolio or
reference asset, (b) limitations on portfolio holdings or reference
assets, or (c) the applicability of Exchange listing rules specified in
this rule filing shall constitute continued listing requirements for
listing the Shares on the Exchange. The Exchange will obtain a
representation from the Trust, prior to commencement of trading in the
Shares of the Fund, that it will advise the Exchange of any failure by
the Fund to comply with the continued listing requirements, and,
pursuant to its obligations under Section 19(g)(1) of the Act, the
Exchange will monitor for compliance with the continued listing
requirements. If the Fund is not in compliance with the applicable
listing requirements, the Exchange will commence delisting procedures
under NYSE Arca Rule 5.5-E(m).
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) of the Act,\22\ in general, and furthers the
objectives of Section 6(b)(5) of the Act,\23\ in particular, in that it
is designed to prevent fraudulent and manipulative acts and practices,
to promote just and equitable principles of trade, to remove
impediments to and perfect the mechanism of a free and open market and
a national market system, and, in general, to protect investors and the
public interest.\24\
---------------------------------------------------------------------------

    \22\ 15 U.S.C. 78f(b).
    \23\ 15 U.S.C. 78f(b)(5).
    \24\ The Exchange represents that, for initial and continued
listing, the Fund will be in compliance with Rule 10A-3 under the
Act, as provided by NYSE Arca Rule 5.3-E.
---------------------------------------------------------------------------

    With respect to the proposed listing and trading of Shares of the
Fund, the Exchange believes that the proposed rule change is designed
to prevent fraudulent and manipulative acts and practices in that the
Shares will be listed and traded on the Exchange pursuant to the
initial and continued listing criteria in NYSE Arca Rule 8.601-E. One
hundred percent of the value of the Fund's Actual Portfolio (except for
cash and cash equivalents) at the time of purchase will be listed on
U.S. or foreign securities exchanges (or, in the limited case of
futures contracts, U.S. futures exchanges). The listing and trading of
such U.S. securities is subject to rules of the exchanges on which they
are listed and traded, as approved by the Commission.
    The Fund's holdings will conform to the permissible investments as
set forth in the Application and Exemptive Order and the holdings will
be consistent with all requirements in the Application and Exemptive
Order.\25\
---------------------------------------------------------------------------

    \25\ See note 9, supra.
---------------------------------------------------------------------------

    The Exchange or FINRA, on behalf of the Exchange, or both, will
communicate as needed regarding trading in the Shares and underlying
exchange-traded instruments with other markets and other entities that
are members of the ISG, and the Exchange or FINRA, on behalf of the
Exchange, or both, may obtain trading information regarding trading
such securities and exchange-traded instruments from such markets and
other entities. In addition, the Exchange may obtain information
regarding trading in the Shares and exchange-traded instruments from
markets and other entities that are members of ISG or with which the
Exchange has in place a comprehensive surveillance sharing agreement.
Any foreign common stocks held by the Fund will be traded on an
exchange that is a member of the ISG or with which the Exchange has in
place a comprehensive surveillance sharing agreement.
    The daily dissemination of the identity and quantity of Proxy
Portfolio component investments, together with the right of Authorized
Participants to create and redeem each day at the NAV, will be
sufficient for market participants to value and trade Shares in a
manner that will not lead to significant deviations between the Bid/Ask
Price and NAV of the Shares.
    The Fund's investments, including derivatives, will be consistent
with its investment objective and will not be used to enhance leverage
(although certain derivatives and other investments may result in
leverage). That is, the Fund's investments will not be used to seek
performance that is the multiple or inverse multiple (e.g., 2X or -3X)
of the Fund's primary broad-based securities benchmark index (as
defined in Form N-1A).
    With respect to the Fund, the proposed rule change is designed to
promote just and equitable principles of trade and to protect investors
and the public interest in that the Exchange will obtain a
representation from the Trust, prior to commencement of trading in the
Shares, that the NAV per Share of the Fund will be calculated daily and
that the NAV, Proxy Portfolio and Actual Portfolio for the Fund will be
made available to all market participants at the same time. Investors
can also obtain the Fund's SAI, shareholder reports, and

its Form N-CSR, Form N-PORT and Form N-CEN. The Fund's SAI and
shareholder reports will be available free upon request from the Fund,
and those documents and the Form N-CSR, Form N-PORT and Form N-CEN may
be viewed on-screen or downloaded from the Commission's website.
    Commentary .03 to NYSE Arca Rule 8.601-E provides that the Exchange
will implement and maintain written surveillance procedures for Active
Proxy Portfolio Shares. As part of these surveillance procedures, the
Investment Company's investment adviser will, upon request by the
Exchange or FINRA, on behalf of the Exchange, make available to the
Exchange or FINRA the daily portfolio holdings of each series of Active
Proxy Portfolio Shares. The Exchange believes that the ability to
access the information on an as needed basis will provide it with
sufficient information to perform the necessary regulatory functions
associated with listing and trading series of Active Proxy Portfolio
Shares on the Exchange, including the ability to monitor compliance
with the initial and continued listing requirements as well as the
ability to surveil for manipulation of Active Proxy Portfolio Shares.
With respect to the Fund, the Adviser will make available daily to
FINRA and the Exchange the portfolio holdings of the Fund upon request
in order to facilitate the performance of the surveillances referred to
above.
    The Exchange will utilize its existing procedures to monitor
compliance with the requirements of Rule 8.601-E. For example, the
Exchange will continue to use intraday alerts that will notify Exchange
personnel of trading activity throughout the day that may indicate that
unusual conditions or circumstances are present that could be
detrimental to the maintenance of a fair and orderly market. The
Exchange will require from the Trust, upon initial listing and
periodically thereafter, a representation that it is in compliance with
Rule 8.601-E. The Exchange notes that Commentary .01 to Rule 8.601-E
requires the issuer of shares to notify the Exchange of any failure to
comply with the continued listing requirements of Rule 8.601-E. In
addition, the Exchange will require the Trust to represent that it will
notify the Exchange of any failure to comply with the terms of
applicable exemptive and no-action relief. The Exchange will rely on
the foregoing procedures to become aware of any non-compliance with the
requirements of Rule 8.601-E.
    In addition, with respect to the Fund, a large amount of
information will be publicly available regarding the Fund and the
Shares, thereby promoting market transparency.
    Quotation and last sale information for the Shares and U.S.
exchange-traded instruments (excluding futures contracts) will be
available via the CTA high-speed line, from the exchanges on which such
securities trade, or through major market data vendors or subscription
services. Intraday price information for all exchange-traded
instruments, which include all eligible instruments and futures
contracts but not cash and cash equivalents, will be available from the
exchanges on which they trade, or through major market data vendors or
subscription services. Intraday price information for cash equivalents
is available through major market data vendors, subscription services
and/or pricing services.
    The website for the Fund will include a form of the prospectus that
may be downloaded, and additional data relating to NAV and other
applicable quantitative information, updated on a daily basis. Trading
in Shares of the Fund will be halted if the circuit breaker parameters
in NYSE Arca Rule 7.12-E have been reached or because of market
conditions or for reasons that, in the view of the Exchange, make
trading in the Shares inadvisable. Trading in the Shares will be
subject to NYSE Arca Rule 8.601-E(d)(2)(D), which sets forth
circumstances under which Shares of the Fund may be halted. In
addition, as noted above, investors will have ready access to the Proxy
Portfolio, and quotation and last sale information for the Shares. The
Proxy Portfolio holdings for the Fund (including the identity and
quantity of investments in the Proxy Portfolio) will be publicly
available on the Fund's website before the commencement of trading in
Shares on each Business Day. The Shares will conform to the initial and
continued listing criteria under Rule 8.601-E.
    The Fund's holdings will conform to the permissible investments as
set forth in the Application and Exemptive Order and the holdings will
be consistent with all requirements in the Application and Exemptive
Order.\26\ Any foreign common stocks held by the Fund will be traded on
an exchange that is a member of the ISG or with which the Exchange has
in place a comprehensive surveillance sharing agreement.
---------------------------------------------------------------------------

    \26\ See note 9, supra.
---------------------------------------------------------------------------

    The components of the Fund's Actual Portfolio will (a) be listed on
an exchange and the primary trading session of such exchange will trade
synchronously with the Exchange's Core Trading Session, as defined in
Rule 7.34-E(a); (b) with respect to exchange-traded futures, be listed
on a U.S. futures exchange; or (c) consist of cash and cash
equivalents.
    The proposed rule change is designed to perfect the mechanism of a
free and open market and, in general, to protect investors and the
public interest in that it will facilitate the listing and trading of
an additional type of actively-managed exchange-traded product that
will enhance competition among market participants, to the benefit of
investors and the marketplace. The Exchange will obtain a
representation from the Trust, prior to commencement of trading in the
Shares of the Fund, that it will advise the Exchange of any failure by
the Fund to comply with the continued listing requirements, and,
pursuant to its obligations under Section 19(g)(1) of the Act, the
Exchange will monitor for compliance with the continued listing
requirements. If the Fund is not in compliance with the applicable
listing requirements, the Exchange will commence delisting procedures
under NYSE Arca Rule 5.5-E(m).
    As noted above, with respect to the Fund, the Exchange has in place
surveillance procedures relating to trading in the Shares and may
obtain information via ISG from other exchanges that are members of ISG
or with which the Exchange has entered into a comprehensive
surveillance sharing agreement. In addition, as noted above, with
respect to the Fund, investors will have ready access to information
regarding the Proxy Portfolio and quotation and last sale information
for the Shares.

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act. The Exchange believes the
proposed rule change would permit listing and trading of another type
of actively-managed ETF that has characteristics different from
existing actively-managed and index ETFs and would introduce additional
competition among various ETF products to the benefit of investors.

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 \27\ and Rule 19b-
4(f)(6) thereunder.\28\
---------------------------------------------------------------------------

    \27\ 15 U.S.C. 78s(b)(3)(A).
    \28\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change at
least five business days prior to the date of filing of the proposed
rule change, or such shorter time as designated by the Commission.
The Exchange has satisfied this requirement.
---------------------------------------------------------------------------

    A proposed rule change filed pursuant to Rule 19b-4(f)(6) under the
Act normally does not become operative for 30 days after the date of
its filing. However, Rule 19b-4(f)(6)(iii) \29\ permits the Commission
to designate a shorter time if such action is consistent with the
protection of investors and the public interest. The Exchange has
requested that the Commission waive the 30-day operative delay so that
the proposal may become operative immediately upon filing. The Exchange
states that the Commission has previously approved proposed rule
changes to permit listing and trading on the Exchange of Active Proxy
Portfolio Shares similar to the Fund.\30\ The Exchange also states that
the Commission has previously issued a notice of filing and immediate
effectiveness for a proposed rule change relating to the proposed
listing on a national securities exchange of other issues of Active
Proxy Portfolio Shares similar to the Fund.\31\ 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.
Accordingly, the Commission hereby waives the 30-day operative delay
and designates the proposed rule change operative upon filing.\32\
---------------------------------------------------------------------------

    \29\ 17 CFR 240.19b-4(f)(6)(iii).
    \30\ See supra note.
    \31\ See Securities Exchange Act Release No. 90686 (December 16,
2020), 85 FR 83657 (December 22, 2020) (SR-CboeBZX-2020-090) (Notice
of Filing and Immediate Effectiveness of a Proposed Rule to List and
Trade Shares of the Invesco Real Assets ESG ETF and the Invesco US
Large Cap Core ESG ETF, Each a Series of the Invesco Actively
Managed Exchange-Traded Fund Trust, under Rule 14.11(m) (Tracking
Fund Shares)).
    \32\ For purposes only of waiving the 30-day operative delay,
the Commission has also considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
---------------------------------------------------------------------------

    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-NYSEArca-2021-44 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-2021-44. This
file number should be included on the subject line if email is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549 on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of the filing also will be available for inspection
and copying at the principal office of the Exchange. All comments
received will be posted without change. Persons submitting comments are
cautioned that we do not redact or edit personal identifying
information from comment submissions. You should submit only
information that you wish to make available publicly. All submissions
should refer to File Number SR-NYSEArca-2021-44 and should be submitted
on or before June 24, 2021.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\33\
---------------------------------------------------------------------------

    \33\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-11610 Filed 6-2-21; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 84, Number 97 (Monday, May 20, 2019)]
[Notices]
[Pages 22838-22839]
[FR Doc No: 2019-10426]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. RM98-1-000]

Records Governing Off-the-Record Communications; Public Notice

    This constitutes notice, in accordance with 18 CFR 385.2201(b), of
the receipt of prohibited and exempt off-the-record communications.
    Order No. 607 (64 FR 51222, September 22, 1999) requires Commission
decisional employees, who make or receive a prohibited or exempt off-
the-record communication relevant to the merits of a contested
proceeding, to deliver to the Secretary of the Commission, a copy of
the communication, if written, or a summary of the substance of any
oral communication.
    Prohibited communications are included in a public, non-decisional
file associated with, but not a part of, the decisional record of the
proceeding. Unless the Commission determines that the prohibited
communication and any responses thereto should become a part of the
decisional record, the prohibited off-the-record communication will not
be considered by the Commission in reaching its decision. Parties to a
proceeding may seek the opportunity to respond to any facts or
contentions made in a prohibited off-the-record communication, and may
request that the Commission place the prohibited communication and
responses thereto in the decisional record. The Commission will grant
such a request only when it determines that fairness so requires. Any
person identified below as having made a prohibited off-the-record
communication shall serve the document on all parties listed on the
official service list for the applicable proceeding in accordance with
Rule 2010, 18 CFR 385.2010.
    Exempt off-the-record communications are included in the decisional
record of the proceeding, unless the communication was with a
cooperating agency as described by 40 CFR 1501.6, made under 18 CFR
385.2201(e)(1)(v).
    The following is a list of off-the-record communications recently
received by the Secretary of the Commission. The communications listed
are grouped by docket numbers in ascending order. These filings are
available for electronic review at the Commission in the Public
Reference Room or may be viewed on the Commission's website at http://www.ferc.gov using the eLibrary link. Enter the docket number,
excluding the last three digits, in the docket number field to access
the document. For assistance, please contact FERC Online Support at
<EMAIL_ADDRESS>or toll free at<PHONE_NUMBER>, or for TTY,
contact<PHONE_NUMBER>.

------------------------------------------------------------------------
           Docket No.                File date    Presenter or requestor
------------------------------------------------------------------------
                               Prohibited
------------------------------------------------------------------------
NONE
------------------------------------------------------------------------

                                 Exempt
------------------------------------------------------------------------
1. ER19-1065-000................       4-12-2019  U.S. Congressman Kelly
                                                   Armstrong.
2. ER19-1065-000................        5-1-2019  U.S. Senator Tina
                                                   Smith.
3. ER14-1394-000, ER06-1474-000,        5-2-2019  Pennsylvania State
 ER19-562-000, ER19-80-000.                        Senator Kristin
                                                   Phillips-Hill.
4. P-2413-124...................        5-6-2019  FERC Staff.\1\
5. EL19-10-000..................        5-7-2019  U.S. Congress.\2\
6. CP17-40-000..................        5-9-2019  U.S. Representative
                                                   Rodney Davis.
------------------------------------------------------------------------
\1\ Email correspondence dated 5/1/2019 with Courtenay R. O'Mara, P.E.
  of Southern Company.
\2\ Senators Jeanne Shaheen and Margaret Wood Hassan. Congressmen Ann
  McLane Kuster and Chris Pappas.

    Dated: May 14, 2019.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2019-10426 Filed 5-17-19; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 78, Number 191 (Wednesday, October 2, 2013)]
[Notices]
[Pages 60981-60982]
[FR Doc No: 2013-24015]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-70524; File No. SR-CBOE-2013-079]

Self-Regulatory Organizations; Chicago Board Options Exchange,
Incorporated; Order Approving a Proposal To Amend Rule 24.7 To Add
Factors for Determining Whether To Halt Volatility Index Options
Trading

September 26, 2013.

I. Introduction

    On July 29, 2013, Chicago Board Options Exchange, Incorporated
(``Exchange'' or ``CBOE'') filed with the Securities and Exchange
Commission (``Commission''), pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (``Act'') \1\ and Rule 19b-4
thereunder,\2\ a proposed rule change to amend CBOE Rule 24.7 (Trading
Halts, Suspensions, or Primary Market Closure) to add factors that may
be considered when determining whether to halt trading in volatility
index options. The proposed rule change was published for comment in
the Federal Register on August 14, 2013.\3\ The Commission received no
comment letters on the proposed rule change. This order approves the
proposed rule change.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ See Securities Exchange Act Release No. 34-70136 (August 8,
2013), 78 FR 49563 (``Notice'').
---------------------------------------------------------------------------

II. Description of the Proposed Rule Change

    As described further below, CBOE Rule 24.7 sets forth several
factors that CBOE may consider in determining whether to halt trading
in an index

option class. The Exchange proposes to amend CBOE Rule 24.7(a) to add
additional factors that may be considered when determining whether to
halt trading in volatility index options.
    First, CBOE proposes to amend CBOE Rule 24.7(a)(i), which permits
consideration to be given to ``the extent to which trading is not
occurring in the stocks underlying the index[.]'' Since volatility
indexes are comprised of options, not stocks, CBOE proposes to amend
CBOE Rule 24.7(a)(i) to permit consideration to be given (in
determining whether to halt trading in a volatility index option class)
to whether the component options in a volatility index are not
trading.\4\ Similarly, the Exchange proposes to amend CBOE Rule 24.7(b)
which sets forth factors that may be considered in determining whether
to resume trading of a halted options class or series. The Exchange
proposes to amend the factor regarding the ``extent to which trading is
occurring in stocks underlying the index'' to also include options.
---------------------------------------------------------------------------

    \4\ As an example, consider the CBOE Volatility Index (``VIX''),
which is comprised of S&P 500 Index (``SPX'') options. Under the
proposal, the Exchange may consider whether to halt trading in VIX
options if trading in SPX options were not occurring. See Notice,
supra note 3, at 49563.
---------------------------------------------------------------------------

    Second, CBOE proposes to add a new factor (as subparagraph (iii) to
CBOE Rule 24.7(a)) for consideration when determining whether to halt
trading in volatility index options. Specifically, CBOE proposes to add
a provision that would permit consideration to be given (in determining
whether to halt trading in a volatility index option class) to whether
the ``current index level'' \5\ for a volatility index option is not
available or the spot (cash) \6\ value for a volatility index option is
not available.
---------------------------------------------------------------------------

    \5\ CBOE proposes to define the term ``current index level'' in
new Interpretation and Policy .03 to Rule 24.7 to mean the implied
forward level based on corresponding volatility index (security)
futures prices. See Notice, supra note 3, at 49563.
    \6\ In the Notice, CBOE stated that the spot (cash) value of a
volatility index is an instantaneous measure of the expected
volatility in 30 days. See Notice, supra note 3, at 49564.
---------------------------------------------------------------------------

    Third, the Exchange is proposing to make technical changes to CBOE
Rule 24.7(a), CBOE Rule 24.7(d) and CBOE Rule 24.7.01 to make numbering
changes.

III. Discussion and Commission's Findings

    After careful review, the Commission finds that the proposed rule
change is consistent with the requirements of Section 6 of the Act \7\
and the rules and regulations thereunder applicable to a national
securities exchange.\8\ In particular, the Commission finds that the
proposed rule change is consistent with Section 6(b)(5) of the Act,\9\
which requires, among other things, that the Exchange's rules be
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.
---------------------------------------------------------------------------

    \7\ 15 U.S.C. 78f.
    \8\ In approving this proposed rule change, the Commission has
considered the proposed rule's impact on efficiency, competition,
and capital formation. See 15 U.S.C. 78c(f).
    \9\ 15 U.S.C. 78f(b)(5).
---------------------------------------------------------------------------

    The Exchange proposes to amend CBOE Rule 24.7 to add additional
factors that may be considered when determining whether to halt trading
in volatility index options. CBOE Rule 24.7 is currently predicated on
indexes being comprised of stocks and includes factors that may be
considered by the Exchange when determining whether to halt trading
based on the index components being comprised of stocks. The current
proposal amends CBOE Rule 24.7(a) to account for indexes comprised of
options and allows the Exchange to consider the following factors when
determining whether to halt trading: (1) Whether the component options
are not trading; (2) whether the ``current index level'' (as measured
by the implied forward level based on volatility index (security)
futures prices) is not available; or (3) whether the spot (cash) value
for a volatility index is not available.
    The Commission notes that the proposed change is designed to allow
the Exchange to consider additional factors when determining whether to
halt or resume trading in volatility index options. The Commission
believes that the proposed change would grant discretion to the
Exchange to halt trading in an index option class if component options
are not trading and/or the current index level or spot (cash) value for
a volatility index is not available. The Commission further believes
that the proposal is designed to provide CBOE with discretion to
protect the integrity of its marketplace by permitting it to consider
additional factors that are specifically relevant to volatility index
options when determining whether to halt or resume trading in those
products.
    Accordingly, the Commission finds that the Exchange's proposal is
consistent with the Act, including Section 6(b)(5) thereof, in that it
is designed to remove impediments to and perfect the mechanism of a
free and open market, and in general, protect investors and the public
interest.

IV. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the
Act,\10\ that the proposed rule change (SR-CBOE-2013-079) be, and
hereby is, approved.
---------------------------------------------------------------------------

    \10\ 15 U.S.C. 78s(b)(2).

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\11\
---------------------------------------------------------------------------

    \11\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Kevin M. O'Neill,
Deputy Secretary.
[FR Doc. 2013-24015 Filed 10-1-13; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 84, Number 193 (Friday, October 4, 2019)]
[Notices]
[Pages 53141-53142]
[FR Doc No: 2019-21633]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings #1

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

    Docket Numbers: ER19-2050-002.
    Applicants: Midcontinent Independent System Operator, Inc.,
GridLiance Heartland LLC.
    Description: Tariff Amendment: 2019-09-26_Deficiency Response to
GridLiance Attachment O to be effective 12/31/9998.
    Filed Date: 9/26/19.
    Accession Number: 20190926-5112.
    Comments Due: 5 p.m. ET 10/17/19.

    Docket Numbers: ER19-2902-000.
    Applicants: New England Power Pool Participants Committee.
    Description: Sec.  205(d) Rate Filing: Oct 2019 Membership Filing
to be effective 9/1/2019.
    Filed Date: 9/30/19.
    Accession Number: 20190930-5066.
    Comments Due: 5 p.m. ET 10/21/19.

    Docket Numbers: ER19-2903-000.
    Applicants: Southern California Edison Company.
    Description: Sec.  205(d) Rate Filing: Amendments to GIA and DSA
re: RB Inyokern, SA Nos. 958 & 959 to be effective 10/1/2019.
    Filed Date: 9/30/19.
    Accession Number: 20190930-5092.
    Comments Due: 5 p.m. ET 10/21/19.

    Docket Numbers: ER19-2905-000.
    Applicants: Southern California Edison Company.
    Description: Sec.  205(d) Rate Filing: Vallecito Energy Storage
Project, GIA and DSA, 1091 & 1092, Ntc of Canx, SA 1045 to be effective
10/1/2019.
    Filed Date: 9/30/19.
    Accession Number: 20190930-5124.
    Comments Due: 5 p.m. ET 10/21/19.

    Docket Numbers: ER19-2906-000.
    Applicants: Tucson Electric Power Company.
    Description: Sec.  205(d) Rate Filing: Concurrence to CAISO RS No.
5223 to be effective 12/1/2019.
    Filed Date: 9/30/19.
    Accession Number: 20190930-5149.
    Comments Due: 5 p.m. ET 10/21/19.

    Docket Numbers: ER19-2907-000.
    Applicants: ISO New England Inc., Emera Maine.

    Description: Sec.  205(d) Rate Filing: ISO-NE and Emera Maine;
First Revised TSA-EMERA-18-01 to be effective 10/1/2019.
    Filed Date: 9/30/19.
    Accession Number: 20190930-5154.
    Comments Due: 5 p.m. ET 10/21/19.

    Docket Numbers: ER19-2908-000.
    Applicants: Tenaska Clear Creek Wind, LLC.
    Description: Baseline eTariff Filing: Application for Market-Based
Rate Authorization Under Section 205 of the FPA to be effective 10/1/
2019.
    Filed Date: 9/30/19.
    Accession Number: 20190930-5156.
    Comments Due: 5 p.m. ET 10/21/19.

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

    Docket Numbers: ES19-55-000.
    Applicants: ITC Great Plains, LLC.
    Description: Supplement to September 18, 2019 Application under
Section 204 of the Federal Power Act [revised Exhibit D] of ITC Great
Plains, LLC.
    Filed Date: 9/30/19.
    Accession Number: 20190930-5085.
    Comments Due: 5 p.m. ET 10/21/19.

    Docket Numbers: ES19-56-000.
    Applicants: ITC Midwest LLC.
    Description: Supplement to September 18, 2019 Application under
Section 204 of the Federal Power Act [revised Exhibit D] of ITC Midwest
LLC.
    Filed Date: 9/30/19.
    Accession Number: 20190930-5086.
    Comments Due: 5 p.m. ET 10/21/19.

    Docket Numbers: ES19-57-000.
    Applicants: International Transmission Company.
    Description: Supplement to September 18, 2019 Application under
Section 204 of the Federal Power Act [revised Exhibit D] of
International Transmission Company.
    Filed Date: 9/30/19.
    Accession Number: 20190930-5087.
    Comments Due: 5 p.m. ET 10/21/19.

    Docket Numbers: ES19-58-000.
    Applicants: Michigan Electric Transmission Company, LLC.
    Description: Supplement to September 18, 2019 Application under
Section 204 of the Federal Power Act [revised Exhibit D] of Michigan
Electric Transmission Company, LLC.
    Filed Date: 9/30/19.
    Accession Number: 20190930-5088.
    Comments Due: 5 p.m. ET 10/21/19.

    Docket Numbers: ES19-64-000.
    Applicants: Metropolitan Edison Company.
    Description: Application under Section 204 of the Federal Power Act
for Authorization to Issue Securities of Metropolitan Edison Company.
    Filed Date: 9/27/19.
    Accession Number: 20190927-5158.
    Comments Due: 5 p.m. ET 10/18/19.

    Docket Numbers: ES19-65-000.
    Applicants: Monongahela Power Company.
    Description: Application under Section 204 of the Federal Power Act
for Authorization to Issue Securities of Monongahela Power Company.
    Filed Date: 9/27/19.
    Accession Number: 20190927-5162.
    Comments Due: 5 p.m. ET 10/18/19.

    Docket Numbers: ES19-66-000.
    Applicants: Pennsylvania Electric Company.
    Description: Application under Section 204 of the Federal Power Act
for Authorization to Issue Securities of Pennsylvania Electric Company.
    Filed Date: 9/27/19.
    Accession Number: 20190927-5178.
    Comments Due: 5 p.m. ET 10/18/19.

    Docket Numbers: ES19-67-000.
    Applicants: Pennsylvania Power Company.
    Description: Application under Section 204 of the Federal Power Act
for Authorization to Issue Securities of Pennsylvania Power Company.
    Filed Date: 9/27/19.
    Accession Number: 20190927-5190.
    Comments Due: 5 p.m. ET 10/18/19.

    Docket Numbers: ES19-68-000.
    Applicants: The Potomac Edison Company.
    Description: Application under Section 204 of the Federal Power Act
for Authorization to Issue Securities of The Potomac Edison Company.
    Filed Date: 9/27/19.
    Accession Number: 20190927-5192.
    Comments Due: 5 p.m. ET 10/18/19.

    Docket Numbers: ES19-69-000.
    Applicants: Trans-Allegheny Interstate Line Company.
    Description: Application under Section 204 of the Federal Power Act
for Authorization to Issue Securities of Trans-Allegheny Interstate
Line Company.
    Filed Date: 9/27/19.
    Accession Number: 20190927-5193.
    Comments Due: 5 p.m. ET 10/18/19.

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

    Dated: September 30, 2019.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2019-21633 Filed 10-3-19; 8:45 am]
 BILLING CODE 6717-01-P


From:
Jones, DonnaLee<EMAIL_ADDRESS>Sent:
Thursday, August 11, 2016 11:25 AM
To:
<EMAIL_ADDRESS>Raymond, Gabrielle<EMAIL_ADDRESS>Cc:
<EMAIL_ADDRESS>Jill Binzer<EMAIL_ADDRESS>Subject:
Re: quench water sampling

Its only 9 sample for all. The 3 days is only to make sure the tests were not done on same day. This is a rearrangement of the instructions that may make it more clear.

"Perform three tests (three samples each test, where each test is on a separate day) over a minimum of 20 quenches. Take the water samples immediately after quenching."

On your other question, you are correct: "Essentially, I cannot conduct grabs during three consecutive quenches and be done."  Your example is good. Could be 1, 10, 20 quench# or any number close to #10 in between. And any number of 20. So, #1, #20, #40 is also fine.

Regards,
Donna Lee Jones, Ph.D.
Senior Technical Advisor, Metals Sector
U. S. Environmental Protection Agency
Office of Air Quality Planning and Standards Sector Policies and Programs Division / Metals & Inorganic Chemicals Group (D243-02) Research Triangle Park, NC  27711  Tele:<PHONE_NUMBER>  Fax<PHONE_NUMBER> ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
"Reasonableness never fails to be appreciated."  - anon.

________________________________________
From<EMAIL_ADDRESS><EMAIL_ADDRESS>Sent: Thursday, August 11, 2016 11:09 AM
To: Jones, DonnaLee; 'GABRIELLE RAYMOND'
Cc<EMAIL_ADDRESS>Jill Binzer
Subject: Re: quench water sampling

From page 17 of the Enclosure 2 under TDS sampling: Perform three tests (three samples each test) over a minimum of 20 quenches, which occur on at least three (3) separate test days. Take the water samples immediately after quenching.5

I'm reading that as 3 tests x 3 samples per test x 3 days = 27 samples, hence my request for clarification.  The TDS sampling requirement was written differently from the other parameters, which lead me to believe it was >9 samples.

Thanks,

Chris Potts
Senior Environmental Engineer
AK Steel Middletown Works
office:<PHONE_NUMBER>
cell:<PHONE_NUMBER>
fax:<PHONE_NUMBER>

From:        "Jones, DonnaLee"<EMAIL_ADDRESS>To<EMAIL_ADDRESS><EMAIL_ADDRESS>Cc:        Jill Binzer<EMAIL_ADDRESS><EMAIL_ADDRESS><EMAIL_ADDRESS>GABRIELLE RAYMOND<EMAIL_ADDRESS>Date:        08/11/2016 10:46 AM
Subject:        Re: quench water sampling
________________________________

Where do you see the "3 times per day" in Enclosure 2?

Regards,
Donna Lee Jones, Ph.D.
Senior Technical Advisor, Metals Sector
U. S. Environmental Protection Agency
Office of Air Quality Planning and Standards Sector Policies and Programs Division / Metals & Inorganic Chemicals Group (D243-02) Research Triangle Park, NC  27711  Tele:<PHONE_NUMBER>  Fax<PHONE_NUMBER> ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~
"Reasonableness never fails to be appreciated."  - anon.

________________________________________
From<EMAIL_ADDRESS><EMAIL_ADDRESS>Sent: Thursday, August 11, 2016 9:56 AM
To: Jones, DonnaLee
Cc: Jill Binzer<EMAIL_ADDRESS>Subject: quench water sampling

Dr. Jones,

I'd like to get some clarification quench water sampling during the ICR testing.

To make sure my math is right... we're collecting 3 grab samples, 3 times per day for 3 days.  That's 27 total grab samples for TDS.  For all the other quench water parameters like HCl, semi-vols, etc. the minimum number of samples is 9 (3 grab samples for 3 days).  Is that correct?

On page 17 of the 6/24/16 redline version of Enclosure 2 there is a requirement to collect TDS samples "...over a minimum of 20 quenches.."  I'm interpreting that as all 3 tests on that day can be collected between quench 1 and quench 20 in any given sequence, e.g., collect 3 samples on quench #1, quench #10, and quench #20.  Essentially, I cannot conduct grabs during three consecutive quenches and be done.  Can you clarify?  Maybe an example of what you'd like to see would explain it better.

Thanks for the help.

Chris Potts
Senior Environmental Engineer
AK Steel Middletown Works
office:<PHONE_NUMBER>
cell:<PHONE_NUMBER>
fax:<PHONE_NUMBER>


[Federal Register Volume 86, Number 38 (Monday, March 1, 2021)]
[Notices]
[Page 11995]
[FR Doc No: 2021-04145]

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

DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Docket No. ER21-1187-000]

Dressor Plains Solar, LLC; Supplemental Notice That Initial
Market-Based Rate Filing Includes Request for Blanket Section 204
Authorization

    This is a supplemental notice in the above-referenced proceeding of
Dressor Plains Solar, LLC's application for market-based rate
authority, with an accompanying rate tariff, noting that such
application includes a request for blanket authorization, under 18 CFR
part 34, of future issuances of securities and assumptions of
liability.
    Any person desiring to intervene or to protest should file with the
Federal Energy Regulatory Commission, 888 First Street NE, Washington,
DC 20426, in accordance with Rules 211 and 214 of the Commission's
Rules of Practice and Procedure (18 CFR 385.211 and 385.214). Anyone
filing a motion to intervene or protest must serve a copy of that
document on the Applicant.
    Notice is hereby given that the deadline for filing protests with
regard to the applicant's request for blanket authorization, under 18
CFR part 34, of future issuances of securities and assumptions of
liability, is March 15, 2021.
    The Commission encourages electronic submission of protests and
interventions in lieu of paper, using the FERC Online links at http://www.ferc.gov. To facilitate electronic service, persons with internet
access who will eFile a document and/or be listed as a contact for an
intervenor must create and validate an eRegistration account using the
eRegistration link. Select the eFiling link to log on and submit the
intervention or protests.
    Persons unable to file electronically may mail similar pleadings to
the Federal Energy Regulatory Commission, 888 First Street NE,
Washington, DC 20426. Hand delivered submissions in docketed
proceedings should be delivered to Health and Human Services, 12225
Wilkins Avenue, Rockville, Maryland 20852.
    In addition to publishing the full text of this document in the
Federal Register, the Commission provides all interested persons an
opportunity to view and/or print the contents of this document via the
internet through the Commission's Home Page (http://www.ferc.gov) using
the ``eLibrary'' link. Enter the docket number excluding the last three
digits in the docket number field to access the document. At this time,
the Commission has suspended access to the Commission's Public
Reference Room, due to the proclamation declaring a National Emergency
concerning the Novel Coronavirus Disease (COVID-19), issued by the
President on March 13, 2020. For assistance, contact the Federal Energy
Regulatory Commission at<EMAIL_ADDRESS>or call toll-free,
(886) 208-3676 or TYY,<PHONE_NUMBER>.

    Dated: February 23, 2021.
Kimberly D. Bose,
Secretary.
[FR Doc. 2021-04145 Filed 2-26-21; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 88, Number 223 (Tuesday, November 21, 2023)]
[Notices]
[Pages 81069-81070]
[FR Doc No: 2023-25738]

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

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: PR24-10-000.
    Applicants: Altus Midstream Pipeline LP.
    Description: Compliance filing 2023 to be effective N/A.
    Filed Date: 11/14/23.
    Accession Number: 20231114-5129.
    Comment Date 5 p.m. ET 12/5/23.

    Docket Numbers: PR24-11-000.
    Applicants: Southern California Gas Company.
    Description: 284.123(g) Rate Filing: Offshore Delivery Service Rate
Revision August 2023 to be effective 11/14/2023.
    Filed Date: 11/14/23.
    Accession Number: 20231114-5151.
    Comment Date: 5 p.m. ET 12/5/23.
    284.123(g) Protest: 5 p.m. ET 1/16/24.

    Docket Numbers: RP24-153-000.
    Applicants: LA Storage, LLC.
    Description: 4(d) Rate Filing: Filing of Negotiated Rate I/W
Agreements 11.14.23 to be effective 11/15/2023.
    Filed Date: 11/14/23.
    Accession Number: 20231114-5121.
    Comment Date: 5 p.m. ET 11/27/23.

    Docket Numbers: RP24-154-000.
    Applicants: Equitrans, L.P.
    Description: 4(d) Rate Filing: Negotiated Rate Agreement--11/15/
2023 to be effective 11/15/2023.
    Filed Date: 11/14/23.
    Accession Number: 20231114-5155.
    Comment Date: 5 p.m. ET 11/27/23.

    Docket Numbers: RP24-155-000.
    Applicants: Gulf South Pipeline Company, LLC.
    Description: 4(d) Rate Filing: Amendment to NC Neg Rate Agmt (BP
46441 eff 11-15-2023) to be effective 11/15/2023.
    Filed Date: 11/15/23.
    Accession Number: 20231115-5035.
    Comment Date: 5 p.m. ET 11/27/23.

    Docket Numbers: RP24-156-000.
    Applicants: Discovery Gas Transmission LLC.
    Description: 4(d) Rate Filing: 2024 HMRE Surcharge Filing to be
effective 1/1/2024.
    Filed Date: 11/15/23.
    Accession Number: 20231115-5061.
    Comment Date: 5 p.m. ET 11/27/23.

    Any person desiring to intervene, to protest, or to answer a
complaint in any of the above proceedings must file in accordance with
Rules 211, 214, or 206 of the Commission's Regulations (18 CFR 385.211,
385.214, or 385.206) 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>.
    The Commission's Office of Public Participation (OPP) supports
meaningful public engagement and participation in Commission
proceedings. OPP can help members of the public, including landowners,
environmental justice communities, Tribal members and others, access
publicly available information and navigate Commission processes. For
public inquiries and assistance with making filings such as
interventions, comments, or requests for rehearing, the public is
encouraged to contact OPP at<PHONE_NUMBER> or [email protected].

    Dated: November 15, 2023.
Debbie-Anne A. Reese,
Deputy Secretary.
[FR Doc. 2023-25738 Filed 11-20-23; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 80, Number 240 (Tuesday, December 15, 2015)]
[Notices]
[Pages 77649-77650]
[FR Doc No: 2015-31533]

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

DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Docket ID FEMA-2008-0010]

Board of Visitors for the National Fire Academy

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Committee Management; Request for Applicants for Appointment to
the Board of Visitors for the National Fire Academy.

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

SUMMARY: The National Fire Academy (Academy) is requesting individuals
who are interested in serving on the Board of Visitors for the National
Fire Academy (Board) to apply for appointment as identified in this
notice. Pursuant to the Federal Fire Prevention and Control Act of
1974, the Board shall review annually the programs of the Academy and
shall make recommendations to the Administrator, Federal Emergency
Management Agency (FEMA), through the United State Fire Administrator,
regarding the operation of the Academy and any improvements that the
Board deems appropriate. The Board is composed of eight (8) members,
all of whom are experts and leaders in the fields of fire safety, fire
prevention, fire control, research and development in fire protection,
treatment and rehabilitation of fire victims, or local government
services management, which includes emergency medical services. The
Academy seeks to appoint individuals to three (3) positions on the
Board that will be open due to term expiration. If other positions are
vacated during the application process, candidates may be selected from
the pool of applicants to fill the vacated positions.

DATES: Applications will be accepted until 11:59 p.m. EST January 14,
2016.

ADDRESSES: The preferred method of submission is via email. However,
applications may also be submitted by fax or mail. Please only submit
by ONE of the following methods:
     Email<EMAIL_ADDRESS>     Fax:<PHONE_NUMBER>.
     Mail: National Fire Academy, U.S. Fire Administration,
Attention: Ruth MacPhail, 16825 South Seton Avenue, Emmitsburg,
Maryland 21727-8998.

FOR FURTHER INFORMATION CONTACT: Kirby Kiefer, Alternate Designated
Federal Officer, National Fire Academy, 16825 South Seton Avenue,
Emmitsburg, Maryland 21727-8998; telephone<PHONE_NUMBER>; and email
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: The Board is an advisory committee
established in accordance with the provision of the Federal Advisory
Committee Act (FACA), 5 U.S.C. Appendix. The purpose of the Board is to
review annually the programs of the Academy and advise the FEMA
Administrator on the operation of the Academy and any improvements
therein that the Board deems appropriate. In carrying out its
responsibilities, the Board examines Academy programs to determine
whether these programs further the basic missions that are approved by
the FEMA Administrator, examines the physical plant of the Academy to
determine the adequacy of the Academy's facilities, and examines the
funding levels for NFA programs. The Board submits a written annual
report through the United States Fire Administrator to the FEMA
Administrator. The report provides detailed comments and
recommendations regarding the operation of the Academy.
    Individuals who are interested in serving on the Board are invited
to apply for consideration for appointment. There is no application
form; however, a current resume will be required. Incomplete
applications will not be considered. The appointment shall be for a
term of up to three years. Individuals selected for appointment shall
serve as Special Government Employees (SGEs), defined in section 202(a)
of title 18, United States Code. Candidates selected for appointment
will be required to complete a Confidential Financial Disclosure Form
(Office of Government Ethics (OGE) Form 450).

    The Board shall meet as often as needed to fulfill its mission, but
not less than twice each fiscal year to address its objectives and
duties. The Board will meet in person at least once each fiscal year
with additional meetings held via teleconference. Board members may be
reimbursed for travel and per diem incurred in the performance of their
duties as members of the Board. All travel for Board business must be
approved in advance by the Designated Federal Officer. To the extent
practical, Board members shall serve on any subcommittee that is
established.
    FEMA does not discriminate in employment on the basis of race,
color, religion, sex, national origin, political affiliation, sexual
orientation, gender identity, marital status, disability and genetic
information, age, membership in an employee organization, or other non-
merit factor. FEMA strives to achieve a diverse candidate pool for all
its recruitment actions.
    Current DHS and FEMA employees, FEMA Disaster Assistance Employees,
FEMA Reservists, and DHS and FEMA contractors and potential contractors
will not be considered for membership. Federally registered lobbyists
will not be considered for SGE appointments.

    Dated: December 4, 2015.
Kirby E. Kiefer,
Acting Superintendent, National Fire Academy, United States Fire
Administration, Federal Emergency Management Agency.
[FR Doc. 2015-31533 Filed 12-14-15; 8:45 am]
BILLING CODE 9111-45-P