[Federal Register Volume 80, Number 95 (Monday, May 18, 2015)]
[Notices]
[Pages 28331-28335]
[FR Doc No: 2015-11870]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-74928; File No. SR-NYSE-2015-18]

Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Filing and Immediate Effectiveness of Proposed Rule Change
Amending the Constituent Documents of Its Intermediate Parent Companies
NYSE Holdings LLC., Intercontinental Exchange, Inc., To Eliminate
Certain Provisions That by Their Terms Have Become Void and Are of No
Further Force and Effect as a Result of the Sale by ICE of Euronext
N.V. in June 2014 and Make Conforming Changes to the Independence
Policy of the Board of Directors of ICE

May 12, 2015.
    Pursuant to Section 19(b)(1) \1\ of the Securities Exchange Act of
1934 (the ``Act'') \2\ and Rule 19b-4 thereunder,\3\ notice is hereby
given that on May 1, 2015, New York Stock Exchange LLC (``NYSE'' or the
``Exchange'') filed with the Securities and Exchange Commission (the
``Commission'') the proposed rule change as described in Items I and II
below, which Items have been prepared by the self-regulatory
organization. The Commission is publishing this notice to solicit
comments on the proposed rule change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 15 U.S.C. 78a.
    \3\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    The Exchange proposes to amend the constituent documents of its
intermediate parent companies NYSE Holdings LLC, a Delaware limited
liability company (``NYSE Holdings''), and Intercontinental Exchange
Holdings, Inc., a Delaware corporation (``ICE Holdings''), and its
ultimate parent company, Intercontinental Exchange, Inc., a Delaware
corporation (``ICE''), to eliminate certain provisions that by their
terms have become void and are of no further force and effect as a
result of the sale by ICE of Euronext N.V. (``Euronext'') in June 2014.
The Exchange also seeks approval of conforming changes to the
Independence Policy of the Board of Directors of ICE (the
``Independence Policy''). The text of the proposed rule change is
available on the Exchange's Web site at www.nyse.com, at the principal
office of the Exchange, and at the Commission's Public Reference Room.

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

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

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

1. Purpose
    The Exchange requests approval to amend the constituent documents
of its intermediate parent companies NYSE Holdings and ICE Holdings,
and of its ultimate parent company, ICE, to eliminate certain
provisions that by their terms have become void and are of no further
force and effect as a result of the sale by ICE of Euronext in June
2014, upon consummation of which ICE, ICE Holdings and NYSE Holdings
ceased to control Euronext.\4\ The Exchange also requests approval of
conforming changes to the Independence Policy.\5\
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    \4\ ICE, a public company listed on the Exchange, owns 100% of
ICE Holdings, which in turn owns 100% of NYSE Holdings. Through ICE
Holdings, NYSE Holdings and NYSE Group, Inc., ICE indirectly owns
(1) 100% of the equity interest of three registered national
securities exchanges and self-regulatory organizations (together,
the ``NYSE Exchanges'')--the Exchange, NYSE Arca, Inc. (``NYSE
Arca'') and NYSE MKT LLC (``NYSE MKT'')--and (2) 100% of the equity
interest of NYSE Market (DE), Inc., NYSE Regulation, Inc., NYSE Arca
L.L.C. and NYSE Arca Equities, Inc. ICE also indirectly owns a
majority interest in NYSE Amex Options LLC. See Exchange Act Release
No. 70210 (August 15, 2013), 78 FR 51758 (August 21, 2013) (SR-NYSE-
2013-42; SR-NYSEMKT-2013-50; SR-NYSEArca-2013-62) (``Release No.
70210'') (approving proposed rule change relating to a corporate
transaction in which NYSE Euronext will become a wholly owned
subsidiary of IntercontinentalExchange Group, Inc.).
    \5\ The Exchange's affiliates NYSE Arca and NYSE MKT have also
submitted the same proposed rule change. See SR-NYSEMKT-2015-32 and
SR-NYSEArca-2015-33.
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    The Exchange believes the proposed changes are desirable to avoid
the potential for confusion that could arise if ICE, ICE Holdings and
NYSE Holdings were to retain in their constituent documents or in the
Independence Policy provisions that are no longer operative.
Background
    In 2007, the Exchange's direct parent, NYSE Group Inc. (``NYSE
Group''), entered into a business combination transaction with Euronext
N.V. (``Euronext'') in which NYSE Group and Euronext became wholly
owned subsidiaries of a newly formed company, NYSE Euronext, a Delaware
corporation. The Certificate of Incorporation and Bylaws of NYSE
Euronext included provisions (a) requiring NYSE Euronext and its board
of directors to give due consideration to requirements of European law
and regulation applicable to the operation of Euronext's European
business; (b) requiring NYSE Euronext and its board of directors to
cause Euronext's subsidiaries to operate in compliance with applicable
law and regulation and to cooperate with European regulators; (c)
relating to board compositions and similar matters; and (d) prohibiting
the amendment of such provisions without a supermajority vote of the
directors in light of Euronext's minority representation on the board
(collectively, the ``European Provisions''). NYSE Euronext's

Certificate of Incorporation and Bylaws also included provisions for
the automatic suspension or voiding of the European Provisions under
specified circumstances, including circumstances under which NYSE
Euronext no longer exercised a controlling interest (as therein
defined) over Euronext (the ``Voiding Provisions'').\6\
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    \6\ See Exchange Act Release No. 55293 (February 14, 2007), 72
FR 8033 (Feb. 22, 2007) (SR-NYSE-2006-120).
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    In 2013, ICE Holdings (then known as IntercontinentalExchange,
Inc.) entered into a business combination transaction with NYSE
Euronext in which ICE Holdings and NYSE Holdings (then known as NYSE
Euronext Holdings LLC), as successor to NYSE Euronext, became wholly
owned subsidiaries of a newly formed company, ICE (then known as
IntercontinentalExchange Group, Inc.). In connection with this
transaction, the European Provisions and the Voiding Provisions were
modified as they applied to NYSE Holdings and were incorporated, in
substantially the same modified form, into the Certificate of
Incorporation and Bylaws of ICE, along with the Voiding Provisions. In
relevant part, the Voiding Provisions applicable to ICE and NYSE
Holdings were modified to specify that the European Provisions would
automatically become void and be of no further force and effect if at
any time ICE or NYSE Holdings, as the case may be, ceased to
``control'' Euronext, with ``control'' defined under International
Financial Reporting Standard 10 (as in force at its date of first
effectiveness on January 1, 2014), and with cessation of control
subject to confirmation from the entity's registered public accountants
and to a public disclosure requirement.\7\
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    \7\ See Exchange Act Release No. 70210, 78 FR at 51758.
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    In March 2014, in preparation for its announced plan to sell
Euronext, ICE contributed its ownership of NYSE Holdings to ICE
Holdings, and in connection therewith the Certificate and Bylaws of ICE
Holdings were amended to incorporate the modified European Provisions
and the modified Voiding Provisions.\8\ The Certificate of
Incorporation and Bylaws of ICE and of ICE Holdings, and the Limited
Liability Company Agreement of NYSE Holdings are referred to
collectively as the ``Constituent Documents''.
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    \8\ See Exchange Act Release No. 71721 (Mar. 13, 2014), 79 FR
15367 (Mar. 19, 2014) (SR-NYSE-2014-04; SR-NYSEMKT-2014-10; SR-
NYSEArca-2014-08).
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    In June 2014, ICE consummated the sale of substantially all of its
interest in Euronext and, accordingly, ceased to control Euronext
within the meaning of the Voiding Provisions. As a result, the Voiding
Provisions in each of the Constituent Documents were triggered, and the
European Provisions in the Constituent Documents automatically became
void and are of no further force and effect.\9\
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    \9\ See Exchange Act Release No. 73740 (Dec. 4, 2014), 79 FR
73362 (Dec. 10, 2014) (``Release No. 73740'') (SR-NYSE-2014-53; SR-
NYSEMKT-2014-83; SR-NYSEArca-2014-112), for additional information
about the events that resulted in the triggering of the Voiding
Provisions.
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    The Exchange accordingly proposes to make the following changes to
the constituent documents of ICE, ICE Holdings and NYSE Holdings:
    Certificate of Incorporation of ICE. The Amended and Restated
Certificate of Incorporation of ICE would be further amended and
restated as set forth in Exhibit 5A to update the recitals in the
initial certification and to eliminate the following provisions, which
have become void and without further force and effect by operation of
the indicated section because ICE no longer controls Euronext:
     Pursuant to Art. XIII, Section A.2., the following
provisions are void and would be deleted: Art. V, Section A.2.(d); Art.
V, Section A.3.(a)(ii), (a)(iii)(z), (b)(ii), (c)(i)(y) and (d)(i)(y);
Art. V, Section A.4.(b), A.8, A.9, A.10 and A.11; Art. V, Section
B.2.(d); Art. V, Section B.3.(a)(ii), (a)(iii)(z), (b)(ii), (b)(y) and
(c)(ii); Art. VII, clause (B); and Art. X, clause (B).
     In addition, the phrases ``or any European Market
Subsidiary (as defined below)'' has been deleted from Art V, Section
A.1., and the phrase ``or any European Market Subsidiary'' has been
deleted from Art. V, Section B.1., in each case because the phrase
refers to a term that is no longer used in the document.
     In Art. V, Section A.3.(a)(i), a reference has been added
to ICE Holdings and the erroneous name NYSE Euronext LLC has been
corrected to refer to NYSE Holdings LLC. Additionally, references to
ICE Holdings and NYSE Holdings have been added to Art. V, Section
B.3.(a)(i). These matters were previously addressed in the last
sentence of Section 3.15(g) of the Bylaws of ICE.
     Art. XIII itself is deleted because its sole purpose was
to define the circumstances under which ICE would no longer control
Euronext and to specify the provisions that became void upon such
event. The Exchange believes it would be confusing to retain Art. XIII
because it refers to events that have occurred and to provisions that
will have been deleted.
     Art. XIV, establishing an effective time for the document,
has been deleted because the effective time is addressed in the initial
certification.
    Bylaws of ICE. The Fourth Amended and Restated Bylaws of ICE would
be further amended and restated as set forth in Exhibit 5B to eliminate
the following provisions, which have become void and without further
force and effect by operation of the indicated section because ICE no
longer controls Euronext:
     Pursuant to Section 10.9(b)(3), the following provisions
are void and would be deleted: Sections 3.14(a)(1), 3.14(b)(2),
3.14(b)(4), 3.14(b)(6), 7.2, 8.1(b), 8.2(b), 8.2(c)(2), 8.3(b), 8.3(d),
8.5, 9.2, 9.5, and 10.8; each occurrence of the words ``pursuant to a
resolution adopted by at least 75% of the directors then in office'' in
Section 3.1; and additionally Sections 3.15(a), 3.15(b), 3.15(c),
3.15(d), 3.15(e), 3.15(f), 11.1(b), 11.2(b) and 11.3(A).
     In Section 3.1, where the reference to 75% of the
directors then in office is eliminated, the standard for setting the
number of directors is set to a majority of the directors then in
office, which was the standard in effect at NYSE Group prior to the
Euronext transaction in 2007.
     In Section 3.5, a provision calling for one board meeting
to be held in Europe in each year is deleted. This provision was
included to accommodate the interests of the Euronext-affiliated
directors and, while it was not identified for automatic deletion, ICE
views the requirement as imposing an unnecessary expense on ICE and
believes the venue of meetings should be in the discretion of
management.
     The last sentence of Section 3.15(g) (which will be
redesignated Section 3.15) is deleted for the reasons discussed above
under ``Certificate of Incorporation of ICE''.
     Section 8.6, applicable to records that relate to both a
European Market Subsidiary and a U.S. Regulated Subsidiary, has been
deleted because the definition of European Market Subsidiary and all
other references to the term have been deleted.
     Section 10.9 is deleted in its entirety for the reasons
set forth above relating to Article XIII of the Certificate of
Incorporation of ICE, and also because Section 10.9 refers to Stichting
NYSE Euronext and its Articles of Formation, which no longer asserts
any authority over ICE.\10\
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    \10\ See Release No. 73740, 79 FR at 73362 and note 9, supra.
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    Independence Policy. The Independence Policy would be revised

to eliminate from paragraph 3 the references to European securities
exchanges and European regulatory authorities that are no longer
controlled by, or regulators of entities controlled by, ICE. See
Exhibit 5C.
    Certificate of Incorporation of ICE Holdings. The Sixth Amended and
Restated Certificate of Incorporation of ICE Holdings would be further
amended and restated as set forth in Exhibit 5D to update the recitals
in the initial certification and to eliminate the following provisions,
which have become void and without further effect by operation of the
indicated section because ICE Holdings no longer controls Euronext:
     Pursuant to Art. XIII, Section A.2., the following
provisions are void and would be deleted: Art. V, Section A.2.(d); Art
V, Section A.3.(a)(ii), (a)(iii)(z), (b)(ii), (c)(i)(y) and (d)(i)(y);
Art. V, Section A.4.(b), A.8, A.9, A.10 and A.11; Art. V, Section
B.2.(d); Art. V, Section B.3.(a)(ii), (a)(iii)(z), (b)(ii), (b)(y) and
(c)(ii); Art. VII, clause (B); and Art. X, clause (B).
     In addition, the phrases ``or any European Market
Subsidiary (as defined below)'' has been deleted from Art. V, Section
A.1., and the phrase ``or any European Market Subsidiary'' has been
deleted from Art. V, Section B.1., in each case because the phrase
refers to a term that is no longer used in the document.
     Art. XIII itself is deleted for the same reasons as
discussed above for ICE.
    Bylaws of ICE Holdings. The Third Amended and Restated Bylaws of
ICE Holdings would be further amended and restated as set forth in
Exhibit 5E to eliminate the following provisions, which have become
void and without further force and effect by operation of the indicated
section because ICE Holdings no longer controls Euronext:
     Pursuant to Section 10.9(b)(3), the following provisions
are void and would be deleted: Sections 3.14(a)(1), 3.14(b)(2),
3.14(b)(4), 3.14(b)(6), 7.2, 8.1(b), 8.2(b), 8.2(c)(2), 8.3(b), 8.3(d),
8.5, 9.2, 9.5, and 10.8; each occurrence of the words ``pursuant to a
resolution adopted by at a majority of the directors then in office''
in Section 3.1; and additionally Sections 3.15(a), 3.15(b), 3.15(c),
3.15(d), 3.15(e), 3.15(f), 11.1(b), 11.2(b) and 11.3(A).
     In Section 3.5, a provision calling for one board meeting
to be held in Europe in each year is deleted, for the reasons discussed
above under ``Bylaws of ICE.''
     Section 8.6 is deleted for the reasons discussed above
under ``Bylaws of ICE''.
     Section 10.9 is deleted in its entirety for the reasons
set forth above under ``Bylaws of ICE''.
    Limited Liability Company Agreement of NYSE Holdings. The Sixth
Amended and Restated Limited Liability Company Agreement of NYSE
Holdings would be further amended and restated as set forth in Exhibit
5F to update the recitals and to eliminate the following provisions,
which have become void and without further force and effect by
operation of the indicated section because NYSE Holdings no longer
controls Euronext:
     Pursuant to Section 16.3(b)(3), the following provisions
are void and would be deleted: Sections 3.12(b)(1), 3.12(c)(2),
3.12(c)(4), 3.12(c)(6),\11\ 12.1(b), 12.2(b), 12.2(c)(ii), 12.3(b),
12.3(d), 12.4(b), 13.2, 14.2, 14.5, and 16.2; and, additionally,
Sections 4.1(b), 9.1(a)(2)(d), 9.1(a)(3)(A)(ii), 9.1(a)(3)(A)(iii)(z),
9.1(a)(3)(B)(ii), 9.1(a)(3)(C)(i)(y), 9.1(a)(3)(D)(i)(y),\12\
9.1(a)(4)(b),\13\ 9.1(b)(2)(d), 9.1(b)(3)(A)(ii), 9.1(b)(3)(A)(iii)(z),
9.1(b)(3)(B)(ii), 9.1(b)(3)(B)(y), 9.1(b)(3)(C)(ii), 16.1(a)(A) and
16.1(b), and the definitions of ``Euronext College of Regulators'',
``European Exchange Regulations'', ``European Regulated Market'',
``European Regulator'', ``European Market Subsidiary'' and ``Europe''
set forth in Section 1.1.
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    \11\ The four subsections of Section 3.12 are mistakenly
identified in Section 16.3(a) as subsections of Section 3.11.
    \12\ Sections 9.1(a)(3)(B)(ii), 9.1(a)(3)(C)(i)(y) and
9.1(a)(3)(D)(i)(y) are mistakenly identified in Section 16.3 as
subsections of Section 9.1(c)(3) rather than Section 9.1(a)(3).
    \13\ Section 9.1(a)(4)(b) is mistakenly identified in Section
16.3 as a subsection of Section 9.1(c)(4) rather than Section
9.1(a)(4).
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     Additional definitions that define terms no longer used in
the document also are deleted from Section 1.1: ``Euronext'',
``Euronext Call Option'', ``Euronext Transaction Time'', ``European
Disqualified Person'', ``European Subsidiaries' Confidential
Information'', ``Execution Date'', ``Extraordinary Transaction'',
``Foundation'', ``Governmental Entity'' (and the reference to such term
in the definition of ``Law''), ``Merger'' and ``Priority Shares''.
     Certain cross-references have been corrected in the
definitions of ``ETP Holder'', ``MKT Member'', ``NYSE Arca'', ``NYSE
Arca Equities'', ``NYSE Market'', ``NYSE Member'', ``NYSE MKT'', ``OTP
Firm'', ``OTP Holder'' and ``U.S. Disqualified Person''.
     In Section 3.7, a provision calling for one board meeting
to be held in Europe in each year is deleted for the reasons discussed
above under ``Bylaws of ICE''.
     References to European filing requirements have been
eliminated from Section 7.2.
     Section 12.4(c), applicable to records that relate to both
a European Market Subsidiary and a U.S. Regulated Subsidiary, has been
deleted for the reasons discussed above under ``Bylaws of ICE,''
Section 8.6.
     Section 16.3 itself is deleted for the reasons discussed
under ``Certificate of Incorporation of ICE'' with reference to Art.
XIII.
     The phrase ``or any European Market Subsidiary'' has been
eliminated from Sections 9.1(a)(1) and 9.1(b)(1), in each case because
the phrase refers to a term that is no longer used in the document.
    In each case, where a provision being eliminated falls within a
numbered or lettered list, the subsequent numbers or letters, as the
case may be, and related cross-references have been adjusted for
continuity. In some cases where a list contains only a small number of
items after eliminations, the number or lettering has been removed
entirely.
    Other non-substantive conforming changes have been made as
appropriate for clarity and consistency.
2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with Section 6(b) of the Exchange Act \14\ in general, and with Section
6(b)(1) \15\ in particular, in that it enables the Exchange to be so
organized as to have the capacity to be able to carry out the purposes
of the Exchange Act and to comply, and to enforce compliance by its
exchange members and persons associated with its exchange members, with
the provisions of the Exchange Act, the rules and regulations
thereunder, and the rules of the Exchange. The European Provisions were
implemented at a time when the Exchange was owned by a company with
substantial holdings of non-U.S. securities exchanges, substantial non-
U.S. board representation, and explicit obligations on the part of its
board to give due consideration to matters of non-U.S. law and the
interests of non-U.S. stakeholders. In light of the elimination of
these concerns and the concomitant voiding of the European Provisions,
the Exchange believes that the proposed rule change is consistent with
Section 6(b)(1).
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    \14\ 15 U.S.C. 78f(b).
    \15\ 15 U.S.C. 78f(b)(1).
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    The Exchange also believes that this filing furthers the objectives
of Section 6(b)(5) of the Exchange Act \16\ because

the proposed rule change would be consistent with and facilitate a
governance and regulatory structure that is designed to prevent
fraudulent and manipulative acts and practices, to promote just and
equitable principles of trade, to foster cooperation and coordination
with persons engaged in regulating, clearing, settling, processing
information with respect to, and 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. The Exchange believes that
elimination of the European Provisions (which by their terms are now
void and of no further force and effect) will remove impediments to the
operation of the Exchange by eliminating the potential for uncertainty
among analysts and investors as to the practical implications of the
European Provisions on the Exchange as a marketplace and as a
significant asset of ICE if they remain in the Constituent Documents
notwithstanding their vitiation by the Voiding Provisions. For the same
reasons, the proposed rule change is also designed to protect investors
as well as the public interest.
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    \16\ 15 U.S.C. 78f(b)(5).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Exchange Act. The proposed rule
change would shorten and simplify the Constituent Documents and the ICE
Directors Independence Policy without making any substantive changes,
thereby enhancing their transparency. The proposed rule change would
result in no concentration or other changes of ownership of exchanges.

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

    The Exchange has filed the proposed rule change pursuant to Section
19(b)(3)(A) of the Act \17\ and Rule 19b-4(f)(6) thereunder.\18\
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 and Rule 19b-4(f)(6) thereunder.\19\
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    \17\ 15 U.S.C. 78s(b)(3)(A).
    \18\ 17 CFR 240.19b-4(f)(6).
    \19\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change, along
with a brief description and the text of the proposed rule change,
at least five business days prior to the date of filing of the
proposed rule change, or such shorter time as designated by the
Commission. The Exchange has satisfied this requirement.
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    A proposed rule change filed pursuant to Rule 19b-4(f)(6) under the
Act \20\ normally does not become operative for 30 days after the date
of its filing. However, Rule 19b-4(f)(6)(iii) \21\ 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 asked the Commission to waive the 30-day operative delay so that
the proposal may become operative immediately upon filing. The Exchange
notes that such waiver would accommodate the timing of the
effectiveness under the Delaware General Corporation Law of the Second
Amended and Restated Certificate of Incorporation of ICE, which the
Exchange represents will be filed in Delaware upon approval by the
stockholders of ICE at the annual meeting of stockholders scheduled for
May 2015. The Exchange believes that waiving the 30-day operative delay
would permit the modifications to occur at an earlier time and thereby
reduce the potential for confusion among persons reading the
Constituent Documents. The Commission believes that waiving the 30-day
operative delay is consistent with the protection of investors and the
public interest. Therefore, the Commission hereby waives the operative
delay and designates the proposed rule change operative upon
filing.\22\
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    \20\ 17 CFR 240.19b-4(f)(6).
    \21\ 17 CFR 240.19b-4(f)(6)(iii).
    \22\ For purposes only of waiving the 30-day operative delay,
the Commission has considered the proposed rule's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
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    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings to
determine whether the proposed rule should be approved or disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-NYSE-2015-18 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-NYSE-2015-18. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml.) Copies of the submission, all subsequent amendments, all
written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for Web site viewing and
printing in the Commission's Public Reference Room, 100 F Street NE.,
Washington, DC 20549, on official business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of 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; the Commission does
not edit personal identifying information from submissions. You should
submit only information that you wish to make available publicly. All
submissions should refer to File Number SR-NYSE-2015-18, and should be
submitted on or before June 8, 2015.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\23\
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    \23\ 17 CFR 200.30-3(a)(12).
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Robert W. Errett,
Deputy Secretary.
[FR Doc. 2015-11870 Filed 5-15-15; 8:45 am]
 BILLING CODE 8011-01-P


[Federal Register Volume 77, Number 211 (Wednesday, October 31, 2012)]
[Notices]
[Pages 65877-65878]
[FR Doc No: 2012-26652]

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ENVIRONMENTAL PROTECTION AGENCY

[EPA-HQ-OPP-2012-0771; FRL-9366-4]

Notice of Receipt of Pesticide Products; Registration
Applications To Register New Uses

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice.

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SUMMARY: This notice announces receipt of applications to register new
uses for pesticide products containing currently registered active
ingredients pursuant to the provisions of section 3(c) of the Federal
Insecticide, Fungicide, and Rodenticide Act (FIFRA), as amended. This
notice provides the public with an opportunity to comment on the
applications.

DATES: Comments must be received on or before November 30, 2012.

ADDRESSES: Submit your comments, identified by docket identification
(ID) number EPA-HQ-2012-0771 and the EPA Registration Number or EPA
File Symbol of interest as shown in the body of this document, by one
of the following methods:
     Federal eRulemaking Portal:
http:[sol][sol]www.regulations.gov. Follow the online instructions for
submitting comments. Do not submit electronically any information you
consider to be Confidential Business Information (CBI) or other
information whose disclosure is restricted by statute.
     Mail: OPP Docket, Environmental Protection Agency Docket
Center (EPA/DC), (28221T), 1200 Pennsylvania Ave. NW., Washington, DC
20460-0001.
     Hand Delivery: To make special arrangements for hand
delivery or delivery of boxed information, please follow the
instructions at http:[sol][sol]www.epa.gov/dockets/contacts.htm.
    Additional instructions on commenting or visiting the docket, along
with more information about dockets generally, is available at http://www.epa.gov/dockets.

FOR FURTHER INFORMATION CONTACT: A contact person is listed at the end
of each registration application summary and may be contacted by
telephone, email, or mail. Mail correspondence to the Registration
Division (RD) (7505P), Office of Pesticide Programs, Environmental
Protection Agency, 1200 Pennsylvania Ave. NW., Washington, DC 20460-
0001. As part of the mailing address, include the contact person's
name, division, and mail code.

SUPPLEMENTARY INFORMATION:

I. General Information

A. Does this action apply to me?

    You may be potentially affected by this action if you are an
agricultural producer, food manufacturer, or pesticide manufacturer.
The following list of North American Industrial Classification System
(NAICS) codes is not intended to be exhaustive, but rather provides a
guide to help readers determine whether this document applies to them.
Potentially affected entities may include:
     Crop production (NAICS code 111).
     Animal production (NAICS code 112).
     Food manufacturing (NAICS code 311).
     Pesticide manufacturing (NAICS code 32532).

B. What should I consider as I prepare my comments for EPA?

    1. Submitting CBI. Do not submit this information to EPA through
regulations.gov or email. Clearly mark the part or all of the
information that you claim to be CBI. For CBI information in a disk or
CD-ROM that you mail to EPA, mark the outside of the disk or CD-ROM as
CBI and then identify electronically within the disk or CD-ROM the
specific information that is claimed as CBI. In addition to one
complete version of the comment that includes information claimed as
CBI, a copy of the comment that does not contain the information
claimed as CBI must be submitted for inclusion in the public docket.
Information so marked will not be disclosed except in accordance with
procedures set forth in 40 CFR part 2.
    2. Tips for Preparing Your Comments. When Submitting Comments,
remember to:
    i. Identify the document by docket ID number and other identifying
information (subject heading, Federal Register date and page number).
    ii. Follow directions. The Agency may ask you to respond to
specific questions or organize comments by referencing a Code of
Federal Regulations (CFR) part or section number.
    iii. Explain why you agree or disagree; suggest alternatives and
substitute language for your requested changes.
    iv. Describe any assumptions and provide any technical information
and/or data that you used.
    v. If you estimate potential costs or burdens, explain how you
arrived at

your estimate in sufficient detail to allow for it to be reproduced.
    vi. Provide specific examples to illustrate your concerns and
suggest alternatives.
    vii. Explain your views as clearly as possible, avoiding the use of
profanity or personal threats.
    viii. Make sure to submit your comments by the comment period
deadline identified.

II. Registration Applications

    EPA has received applications to register new uses for pesticide
products containing currently registered active ingredients. Pursuant
to the provisions of FIFRA section 3(c)(4), EPA is hereby providing
notice of receipt and opportunity to comment on these applications.
Notice of receipt of these applications does not imply a decision by
the Agency on these applications. For actions being evaluated under the
Agency's public participation process for registration actions, there
will be an additional opportunity for a 30-day public comment period on
the proposed decision. Please see the Agency's public participation Web
site for additional information on this process http://www.epa.gov/pesticides/regulating/registration-public-involvement.html. EPA
received the following applications to register new uses for pesticide
products containing currently registered active ingredients:
    1. EPA Registration Number: 10308-11. Docket ID Number: EPA-HQ-OPP-
2011-1012. Applicant: Valent USA Corporation, 1600 Riviera Avenue,
Suite 200, Walnut Creek, CA 94556 on behalf of Sumitomo Chemical
Company, LTD., 1300 Dillon Heights Avenue, Baltimore, MD 21228. Active
ingredient: Pyriproxyfen. Product Type: Insecticide. Proposed Uses:
Bulb vegetable group 3-07; fruiting vegetable group 8-10; citrus
vegetable group 10-10; pome fruit group 11-10; caneberry subgroup 13-
07A; bushberry subgroup 13-07B; low growing berry, except strawberry
subgroup 13-07H; and herb subgroup 19A. Contact: Kevin Sweeney, RD,
(703) 305-5063, email address<EMAIL_ADDRESS>    2. EPA Registration Numbers: 59639-95, 59639-96, 59639-114, 59639-
115, 59639-160, and 59639-163. Docket ID Number: EPA-HQ-OPP-2011-1012.
Applicant: Valent USA Corporation. Active ingredient: Pyriproxyfen.
Product Type: Insecticide. Proposed Uses: Bulb vegetable group 3-07;
fruiting vegetable group 8-10; citrus vegetable group 10-10; pome fruit
group 11-10; caneberry subgroup 13-07A; bushberry subgroup 13-07B; low
growing berry, except strawberry subgroup 13-07H; and herb subgroup
19A. Contact: Kevin Sweeney, RD,<PHONE_NUMBER>, email address:
<EMAIL_ADDRESS>    3. File Symbols: 7969-GGL and 7969-GGT. Docket ID Number: EPA-HQ-
OPP-2012-0772. Applicant: BASF Corporation, P.O. Box 13528, Research
Triangle Park, NC 27709. Active ingredient: Cyflumetofen. Product Type:
Insecticide. Proposed Uses: Almond; fruit, citrus, group 10; citrus,
oil; grape; fruit, pome, group 11; strawberry; tomato; and nut, tree,
group 14. Contact: Driss Benmhend, RD,<PHONE_NUMBER>, email address:
<EMAIL_ADDRESS>    4. EPA Registration Numbers: 71711-18 and 71711-19. Docket ID
Number: EPA-HQ-OPP-2012-0771. Applicant: Nichino America, Inc., 4550
New Linden Hill Road, Suite 501, Wilmington, DE 19808. Active
ingredient: Fenpyroximate, (E)-1,1-dimethylethyl 4-[[[[(1,3-dimethyl-5-
phenoxy-1H-pyrazol-4-yl)methylene]amino]oxy]methyl]benzoate and its Z-
isomer, (Z)-1,1-dimethylethyl 4-[[[[(1,3-dimethyl-5-phenoxy-1H-pyrazol-
4-yl)methylene]amino]oxy]methyl]benzoate. Product Type: Insecticide.
Proposed Uses: Corn. Contact: Driss Benmhend, RD,<PHONE_NUMBER>, email
address<EMAIL_ADDRESS>    5. EPA Registration Numbers: 71711-18, 71711-19, and 71711-4.
Docket ID Number: EPA-HQ-OPP-2012-0771. Applicant: Nichino America,
Inc. Active ingredient: Fenpyroximate, (E)-1,1-dimethylethyl 4-
[[[[(1,3-dimethyl-5-phenoxy-1H-pyrazol-4-
yl)methylene]amino]oxy]methyl]benzoate and its Z-isomer,(Z)-1,1-
dimethylethyl 4-[[[[(1,3-dimethyl-5-phenoxy-1H-pyrazol-4-
yl)methylene]amino]oxy]methyl]benzoate. Product Type: Insecticide.
Proposed Uses: Stone fruit group 12-12, tuberous and corm subgroup 1C,
and small fruit vine climbing subgroup 13-07F. Contact: Driss Benmhend,
RD,<PHONE_NUMBER>, email address<EMAIL_ADDRESS>
List of Subjects

    Environmental protection, Pesticides and pests.

    Dated: October 12, 2012.
Lois Rossi,
Director, Registration Division, Office of Pesticide Programs.
[FR Doc. 2012-26652 Filed 10-30-12; 8:45 am]
BILLING CODE 6560-50-P


[Federal Register Volume 76, Number 131 (Friday, July 8, 2011)]
[Notices]
[Pages 40350-40352]
[FR Doc No: 2011-17134]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings 1

    Take notice that the Commission received the following exempt
wholesale generator filings:

    Docket Numbers: EG11-98-000.
    Applicants: Shiloh III Wind Project, LLC.
    Description: Notice of Self-Certification of Exempt Wholesale
Generator Status of Shiloh III Wind Project, LLC.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5131.
    Comment Date: 5 p.m. Eastern Time on Wednesday, July 20, 2011.

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

    Docket Numbers: ER10-1476-001.
    Applicants: Tampa Electric Company.
    Description: Updated Market Power Analysis for Southeast Region of
Tampa Electric Company.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5184.
    Comment Date: 5 p.m. Eastern Time on Monday, August 29, 2011.

    Docket Numbers: ER10-1586-001; ER10-1595-001; ER10-1598-001; ER10-
1618-001; ER11-2610-001; ER10-1626-001; ER10-1630-001.
    Applicants: Big Sandy Peaker Plant, LLC, Tenaska Power Services
Co., Wolf Hills Energy, LLC, Lincoln Generating Facility, LLC, Rolling
Hills Generating, LLC, Tenaska Virginia Partners, L.P., Crete Energy
Venture, LLC.
    Description: Updated Market Power Analysis and Notification of
Change in Status of Big Sandy Peaker Plant, LLC, et al. under ER10-
1586, et al.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5178.
    Comment Date: 5 p.m. Eastern Time on Monday, August 29, 2011.

    Docket Numbers: ER10-2238-002; ER10-2239-002; ER10-2237-001.
    Applicants: Indigo Generation LLC, Larkspur Energy LLC, Wildflower
Energy LP.
    Description: Notification of Non-Material Change in Status of
Indigo Generation LLC, et al.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5181.
    Comment Date: 5 p.m. Eastern Time on Wednesday, July 20, 2011.

    Docket Numbers: ER10-2253-003; ER10-3319-004.
    Applicants: Astoria Energy LLC, Astoria Energy II LLC.
    Description: Astoria Energy LLC and Astoria Energy II LLC Submit
Triennial Order 697 Filing.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5063.
    Comment Date: 5 p.m. Eastern Time on Monday, August 29, 2011.

    Docket Numbers: ER10-2923-003.
    Applicants: Sunbury Generation LP.
    Description: Updated Market Power Filing and Request to be
Classified as a Category 1 Seller.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5046.
    Comment Date: 5 p.m. Eastern Time on Monday, August 29, 2011.

    Docket Numbers: ER10-3124-002; ER10-3127-002; ER10-3129-002; ER10-
3130-002; ER10-3132-002; ER10-3134-002; ER10-3137-002.
    Applicants: Noble Altona Windpark, LLC, Noble Bellmont Windpark,
LLC, Noble Bliss Windpark, LLC, Noble Chateaugay Windpark, LLC, Noble
Clinton Windpark I, LLC, Noble Ellenburg Windpark, LLC, Noble
Wethersfield Windpark, LLC.
    Description: Triennial Market Power Analysis of Noble Altona
Windpark, LLC, et al.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5176.
    Comment Date: 5 p.m. Eastern Time on Monday, August 29, 2011.

    Docket Numbers: ER10-3139-001; ER10-2964-001; ER11-2041-002; ER11-
2042-002; ER10-2924-002.
    Applicants: Kleen Energy Systems, LLC, Selkirk Cogen Partners,
L.P., Innovative Energy Systems, LLC, Seneca Energy II, LLC, Black
River Generation, LLC.
    Description: Triennial Order 697 Submission (Joint)--Black River.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5174.
    Comment Date: 5 p.m. Eastern Time on Monday, August 29, 2011.

    Docket Numbers: ER10-3253-001; ER10-3237-001; ER10-3240-001; ER10-
3230-001; ER10-3239-001.
    Applicants: Wheelabrator Portsmouth Inc., Wheelabrator Westchester
L.P.,Wheelabrator Bridgeport, L.P., Wheelabrator Frackville Energy Co.,
Inc., Wheelabrator North Andover Inc.
    Description: Updated Market Power Analysis for the Northeast Region
of Wheelabrator Bridgeport, L.P., et al. under ER10-3253, et al.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5094.
    Comment Date: 5 p.m. Eastern Time on Monday, August 29, 2011.

    Docket Numbers: ER11-3677-000; ER11-3734-000; ER11-3720-000; ER11-
3718-000; ER11-3717-000; ER11-3716-000; ER11-3715-000; ER11-3714-000;
ER10-2631-001; ER10-2632-001.
    Applicants: CP Energy Marketing (US) Inc.; CPI Energy Services (US)
LLC, CPI USA North Carolina LLC, CPIDC, Inc., Frederickson Power, L.P.,
Manchief Power Company, LLC, Morris Cogeneration, LLC, Bridgeport
Energy LLC, Rumford Power Inc., Tiverton Power Inc.
    Description: Capital Power Companies' Amendment to Notice of Change
in Status Regarding Market-Based Rate Authority.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5173.
    Comment Date: 5 p.m. Eastern Time on Wednesday, July 20, 2011.

    Docket Numbers: ER11-3914-000.
    Applicants: Pacific Gas and Electric Company.
    Description: Pacific Gas and Electric Company submits tariff filing
per 35.13(a)(2)(iii: Kirkwood Meadows Public Utility District
Engineering Agreement, to be effective 6/30/2011.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5000.
    Comment Date: 5 p.m. Eastern Time on Wednesday, July 20, 2011.

    Docket Numbers: ER11-3915-000.
    Applicants: New York Independent System Operator, Inc., National
Grid
    Description: Notice of Termination of Large Generator
Interconnection Service Agreement of New York Independent System
Operator, Inc., et al.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5029.
    Comment Date: 5 p.m. Eastern Time on Wednesday, July 20, 2011.

    Docket Numbers: ER11-3916-000.
    Applicants: ISO New England Inc., Fitchburg Gas and Electric Light
Company, New England Power Pool Participants Committee, The United
Illuminating Company, Central Maine Power Company.
    Description: ISO New England Inc. submits tariff filing per
35.13(a)(2)(iii: Jt. Filing of Clean-up Revisions to the ISO NE Trans.,
Mkts., and Srv. Tariff to be effective 7/1/2011.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5055.
    Comment Date: 5 p.m. Eastern Time on Wednesday, July 20, 2011.

    Docket Numbers: ER11-3917-000.

    Applicants: Mojave Solar LLC.
    Description: Mojave Solar LLC submits tariff filing per 35.12: MBR
Application to be effective 7/1/2011.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5065.
    Comment Date: 5 p.m. Eastern Time on Wednesday, July 20, 2011.

    Docket Numbers: ER11-3918-000.
    Applicants: Black Hills/Colorado Electric Utility Co.
    Description: Black Hills/Colorado Electric Utility Company, LP
submits tariff filing per 35.1: Black Hills/Colorado Electric Utility
Company, LP, WestConnect Participation to be effective 7/1/2011.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5067.
    Comment Date: 5 p.m. Eastern Time on Wednesday, July 20, 2011.

    Docket Numbers: ER11-3919-000.
    Applicants: PJM Interconnection, LLC.
    Description: PJM Interconnection, LLC submits tariff filing per
35.13(a)(2)(iii: Original Service Agreement Nos. 2807 and 2808 to be
effective 6/1/2011.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5107.
    Comment Date: 5 p.m. Eastern Time on Wednesday, July 20, 2011.

    Docket Numbers: ER11-3920-000.
    Applicants: Oasis Power Partners, LLC.
    Description: Oasis Power Partners, LLC submits tariff filing per
35: Seller Category Compliance Filing to be effective 6/30/2011.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5139.
    Comment Date: 5 p.m. Eastern Time on Wednesday, July 20, 2011.

    Docket Numbers: ER11-3921-000.
    Applicants: Shiloh Wind Project 2, LLC.
    Description: Shiloh Wind Project 2, LLC submits tariff filing per
35: Shiloh Seller Category Compliance Filing to be effective 6/30/2011.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5146.
    Comment Date: 5 p.m. Eastern Time on Wednesday, July 20, 2011.

    Docket Numbers: ER11-3922-000.
    Applicants: Public Service Company of Colorado.
    Description: Public Service Company of Colorado submits tariff
filing per 35.13(a)(2)(iii: 2011--6--29--306-PSCo--Holy Cross Const
Agrmt to be effective 6/29/2011.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5147.
    Comment Date: 5 p.m. Eastern Time on Wednesday, July 20, 2011.

    Docket Numbers: ER11-3923-000.
    Applicants: CP Power Sales Nineteen, LLC.
    Description: CP Power Sales Nineteen, LLC submits tariff filing per
35.37: CP Power Sales Nineteen, LLC Triennial MBR Update for the NR
Region to be effective 6/30/2011.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5148.
    Comment Date: 5 p.m. Eastern Time on Monday, August 29, 2011.

    Docket Numbers: ER11-3924-000.
    Applicants: Sempra Energy Trading LLC.
    Description: Sempra Energy Trading LLC submits tariff filing per
35.37: Sempra Energy Trading LLC Second Revised MBR to be effective 6/
30/2011.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5149.
    Comment Date: 5 p.m. Eastern Time on Wednesday, July 20, 2011.

    Docket Numbers: ER11-3925-000.
    Applicants: EME Homer City Generation, L.P.
    Description: EME Homer City Generation, L.P. submits tariff filing
per 35.37: EME Homer City Generation, L.P. Triennial MBR Update for the
NE Region to be effective 6/30/2011.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5150.
    Comment Date: 5 p.m. Eastern Time on Monday, August 29, 2011.

    Docket Numbers: ER11-3926-000.
    Applicants: Arizona Public Service Company.
    Description: Arizona Public Service Company submits tariff filing
per 35.13(a)(2)(i): Rate Schedule No. 182 update to O&M adder to be
effective 9/1/2011.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5151.
    Comment Date: 5 p.m. Eastern Time on Wednesday, July 20, 2011.

    Docket Numbers: ER11-3927-000.
    Applicants: Chanarambie Power Partners, LLC.
    Description: Chanarambie Power Partners, LLC submits tariff filing
per 35: Chanarambie Seller Category Compliance Filing to be effective
6/30/2011.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5152.
    Comment Date: 5 p.m. Eastern Time on Wednesday, July 20, 2011.

    Docket Numbers: ER11-3928-000.
    Applicants: Midwest Generation LLC.
    Description: Midwest Generation LLC submits tariff filing per
35.37: Midwest Generation, LLC Triennial Market-Based Rate Update for
the NE Region to be effective 6/30/2011.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5153.
    Comment Date: 5 p.m. Eastern Time on Monday, August 29, 2011.

    Docket Numbers: ER11-3929-000.
    Applicants: Lookout WindPower LLC.
    Description: Lookout WindPower LLC submits tariff filing per 35.37:
Lookout WindPower LLC's Triennial Market-Based Rate Update for the NE
Region to be effective 6/30/2011.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5154.
    Comment Date: 5 p.m. Eastern Time on Monday, August 29, 2011.

    Docket Numbers: ER11-3930-000.
    Applicants: Big Sky Wind, LLC.
    Description: Big Sky Wind, LLC submits tariff filing per 35.37: Big
Sky Wind, LLC Triennial Market-Based Rate Update for the NE Region to
be effective 6/30/2011.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5155.
    Comment Date: 5 p.m. Eastern Time on Monday, August 29, 2011.

    Docket Numbers: ER11-3931-000.
    Applicants: Forward WindPower LLC.
    Description: Forward WindPower LLC submits tariff filing per 35.37:
Forward Wind Power, LLC Triennial MBR Update for the NE Region to be
effective 6/30/2011.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5156.
    Comment Date: 5 p.m. Eastern Time on Monday, August 29, 2011.

    Docket Numbers: ER11-3932-000.
    Applicants: Edison Mission Solutions, LLC.
    Description: Edison Mission Solutions, LLC submits tariff filing
per 35.37: Edison Mission Solutions, LLC Triennial MBR Update for the
NE Region to be effective 6/30/2011.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5157.
    Comment Date: 5 p.m. Eastern Time on Monday, August 29, 2011.

    Docket Numbers: ER11-3933-000.
    Applicants: Fenton Power Partners I, LLC.
    Description: Fenton Power Partners I, LLC submits tariff filing per
35: Fenton Seller Category Compliance Filing to be effective 6/30/2011.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5158.
    Comment Date: 5 p.m. Eastern Time on Wednesday, July 20, 2011.

    Docket Numbers: ER11-3934-000.
    Applicants: Edison Mission Marketing & Trading, Inc.
    Description: Edison Mission Marketing & Trading, Inc. submits
tariff filing per 35.37: Edison Mission Marketing and Trading, Inc.
Triennial MBR Update NE Region to be effective 6/30/2011.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5159.
    Comment Date: 5 p.m. Eastern Time on Monday, August 29, 2011.

    Docket Numbers: ER11-3935-000.
    Applicants: CL Power Sales Eight, LLC.
    Description: CL Power Sales Eight, LLC submits tariff filing per
35.37: CL Power Sales Eight, LLC Triennial MBR Update for the NE Region
to be effective 6/30/2011.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5160.
    Comment Date: 5 p.m. Eastern Time on Monday, August 29, 2011.

    Docket Numbers: ER11-3936-000.
    Applicants: CP Power Sales Twenty, LLC.
    Description: CP Power Sales Twenty, LLC submits tariff filing per
35.37: CP Power Sales Twenty, LLC Triennial MBR Update for the NE
Region to be effective 6/30/2011.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5161.
    Comment Date: 5 p.m. Eastern Time on Monday, August 29, 2011.

    Docket Numbers: ER11-3937-000.
    Applicants: CP Power Sales Seventeen, LLC.
    Description: CP Power Sales Seventeen, LLC submits tariff filing
per 35.37: CP Power Sales Seventeen, LLC Triennial MBR Update for the
NE Region to be effective 6/30/2011.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5162.
    Comment Date: 5 p.m. Eastern Time on Monday, August 29, 2011.

    Docket Numbers: ER11-3938-000.
    Applicants: Hoosier Wind Project, LLC.
    Description: Hoosier Wind Project, LLC submits tariff filing per
35: Hoosier Seller Category Compliance Filing to be effective 6/30/
2011.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5163.
    Comment Date: 5 p.m. Eastern Time on Wednesday, July 20, 2011.

    Docket Numbers: ER11-3944-000.
    Applicants: Pacific Gas and Electric Company.
    Description: Request for Tariff Waiver of Pacific Gas and Electric
Company in ER11-3944.
    Filed Date: 06/29/2011.
    Accession Number: 20110629-5182.
    Comment Date: 5 p.m. Eastern Time on Wednesday, July 20, 2011.

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

    Docket Numbers: RD11-8-000.
    Applicants: North American Electric Reliability Corporation.
    Description: Petition of the North American Electric Reliability
Corporation for Approval of Proposed NPCC Regional Reliability Standard
PRC-002-NPCC-01--Disturbance Monitoring.
    Filed Date: 05/31/2011.
    Accession Number: 20110531-5064.
    Comment Date: 5 p.m. Eastern Time on Monday, August 1, 2011.

    Any person desiring to intervene or to protest in any of the above
proceedings must file in accordance with Rules 211 and 214 of the
Commission's Rules of Practice and Procedure (18 CFR 385.211 and
385.214) on or before 5 p.m. Eastern time on the specified comment
date. It is not necessary to separately intervene again in a subdocket
related to a compliance filing if you have previously intervened in the
same docket. Protests will be considered by the Commission in
determining the appropriate action to be taken, but will not serve to
make protestants parties to the proceeding. Anyone filing a motion to
intervene or protest must serve a copy of that document on the
Applicant. In reference to filings initiating a new proceeding,
interventions or protests submitted on or before the comment deadline
need not be served on persons other than the Applicant.
    As it relates to any qualifying facility filings, the notices of
self-certification [or self-recertification] listed above, do not
institute a proceeding regarding qualifying facility status. A notice
of self-certification [or self-recertification] simply provides
notification that the entity making the filing has determined the
facility named in the notice meets the applicable criteria to be a
qualifying facility. Intervention and/or protest do not lie in dockets
that are qualifying facility self-certifications or self-
recertifications. Any person seeking to challenge such qualifying
facility status may do so by filing a motion pursuant to 18 CFR
292.207(d)(iii). Intervention and protests may be filed in response to
notices of qualifying facility dockets other than self-certifications
and self-recertifications.
    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 should submit an original and
14 copies of the intervention or protest to the Federal Energy
Regulatory Commission, 888 First St., NE., Washington, DC 20426.
    The filings in the above proceedings are accessible in the
Commission's eLibrary system by clicking on the appropriate link in the
above list. They are also available for review in the Commission's
Public Reference Room in Washington, DC. There is an eSubscription link
on the Web site that enables subscribers to receive e-mail notification
when a document is added to a subscribed docket(s). For assistance with
any FERC Online service, please e-mail<EMAIL_ADDRESS>or
call<PHONE_NUMBER> (toll free). For TTY, call<PHONE_NUMBER>.

    Dated: June 30, 2011.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2011-17134 Filed 7-7-11; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 85, Number 249 (Tuesday, December 29, 2020)]
[Notices]
[Pages 85824-85827]
[FR Doc No: 2020-28658]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-90752; File No. SR-IEX-2020-20]

Self-Regulatory Organizations; Investors Exchange LLC; Notice of
Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX
Rule 2.160 (Registration Requirements and Restrictions on Membership)
To Adopt Temporary Supplementary Material .02 (Temporary Extension of
the Limited Period for Registered Persons To Function as Principals)
Under the Rule

December 21, 2020.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act'' or ``Exchange Act'') \1\ and Rule 19b-4 thereunder,\2\ notice
is hereby given that on December 15, 2020, the Investors Exchange LLC
(``IEX'' or the ``Exchange'') filed with the Securities and Exchange
Commission (``SEC'' or ``Commission'') the proposed rule change as
described in Items I and II below, which Items have been prepared by
the 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\ 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

    Pursuant to the provisions of Section 19(b)(1) under the Act,\3\
and Rule 19b-4 thereunder,\4\ IEX is filing with the Commission a
proposed rule change to amend IEX Rule 2.160 (Registration Requirements
and Restrictions on Membership) to adopt temporary Supplementary
Material .02 (Temporary Extension of the Limited Period for Registered
Persons to Function as Principals) under paragraph (i) of the Rule. The
proposed rule change would harmonize the IEX Rule with a Financial
Industry Regulatory Authority, Inc. (``FINRA'') rule amendment that
extended the 120-day period during which certain individuals can
function as a principal without having successfully passed an
appropriate qualifying examination, through April 30, 2021.\5\
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    \3\ 15 U.S.C. 78s(b)(1).
    \4\ 17 CFR 240.19b-4.
    \5\ See Exchange Act Release No. 89732 (September 1, 2020), 85
FR 55535 (September 8, 2020) (SR-FINRA-2020-26); Exchange Act
Release No. 90617 (December 9, 2020), 85 FR 81258 (December 15,
2020) (SR-FINRA-2020-43).
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    The text of the proposed rule change is available at the Exchange's
website at www.iextrading.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
Statutory Basis for, the Proposed Rule Change

1. Purpose
    Currently, IEX Rule 2.160(i), Supplementary Material .01 provides,
inter alia, that an IEX Member (``Member'') may designate any person
currently registered, or who becomes registered with the Member as a
representative to function as a principal for 120 calendar days prior
to passing an appropriate principal qualification examination and that,
in no event, may such person function as a principal beyond the initial
120 calendar day period without having passed an appropriate principal
qualifying examination.
    The Exchange is proposing to amend IEX Rule 2.160(i) to adopt
Supplementary Material .02 (Temporary Extension of the Limited Period
for Registered Persons to Function as Principals). Under the proposed
amendment, a person designated to function as a principal prior to
January 1, 2021 may continue to function as a principal without having
successfully passed an appropriate qualifying examination until April
30, 2021. The proposed amendment will align IEX's rule with FINRA Rule
1210, which was recently amended to provide the same temporary
extension for principals due to the continuing impact of the COVID-19
pandemic.\6\ FINRA performs certain functions related to the
qualification, registration and continuing education requirements for
registered persons pursuant to a regulatory services agreement with the
Exchange.
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    \6\ See supra note 5.
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    In response to COVID-19, earlier this year FINRA began providing
temporary relief to member firms from FINRA rules and requirements via
frequently asked questions (``FAQs'') on its website.\7\ Two of these
FAQs \8\ provided temporary relief to address disruptions to the
administration of FINRA qualification examinations caused by the
pandemic that have significantly limited the ability of individuals to
sit for these examinations due to Prometric test center capacity
issues.\9\
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    \7\ See Frequently Asked Questions Related to Regulatory Relief
Due to the Coronavirus Pandemic, available at https://www.finra.org/rules-guidance/key-topics/covid-19/faq.
    \8\ See https://www.finra.org/rules-guidance/key-topics/covid-19/faq#qe.
    \9\ At the outset of the COVID-19 pandemic, all FINRA
qualification examinations were administered at test centers
operated by Prometric. Based on the health and welfare concerns
resulting from COVID-19, in March Prometric closed all its test
centers in the United States and Canada and began to slowly reopen
some of them at limited capacity in May. At this time, not all of
these Prometric test centers have reopened at full capacity.
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    FINRA published the first FAQ on March 20, 2020, providing that
individuals whom were designated to function as principals under FINRA
Rule 1210.04 prior to February 2, 2020, would be given until May 31,
2020, to pass the appropriate principal qualification examination.\10\
On May 19, 2020, FINRA extended the relief to pass the appropriate
examination until June 30, 2020. On June 29, 2020, FINRA again extended
the temporary relief providing that individuals who were designated to
function as principals under FINRA Rule 1210.04 prior to May 4, 2020,
would be given until August 31, 2020, to pass the appropriate principal
qualification examination.\11\
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    \10\ FINRA Rule 1210.04 (Requirements for Registered Persons
Functioning as Principals for a Limited Period) allows a member firm
to designate certain individuals to function in a principal capacity
for 120 calendar days before having to pass an appropriate principal
qualification examination. IEX Rule 2.160(i) Supplementary Material
.01 provides the same allowance to Members.
    \11\ See supra note 8.
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    On August 28, 2020, FINRA filed with the Commission a proposed rule
change for immediate effectiveness to extend the temporary relief
provided via the two FAQs by adopting temporary Supplementary Material
.12 (Temporary Extension of the Limited Period for Registered Persons
to Function as Principals) under FINRA Rule 1210 (Registration
Requirements).\12\ Pursuant to this rule filing, individuals who were
designated prior to September 3, 2020, to function as a principal under
FINRA Rule 1210.04 would have until December 31, 2020, to pass the
appropriate qualification examination.
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    \12\ See supra note 5. FINRA's proposed rule changes also
provided for a similar temporary extension of the limited period for
persons to function as an Operations Professional under FINRA Rule
1220(b)(3)(B) to December 31, 2020, and later to April 30, 2021, to
pass the appropriate qualification examination. IEX does not have
Operations Professional as a registration category.
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    Thereafter, on December 9, 2020, FINRA filed with the Commission a
proposed rule change for immediate effectiveness to extend the limited
period for registered persons to function as a principal through April
30, 2021.\13\ Pursuant to this rule filing, individuals who were
designated prior to January 1, 2021 to function as a principal would
have until April 30, 2021 to pass the appropriate qualifying
examination.
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    \13\ See supra note 5.
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    The Exchange continues to closely monitor the impact of the COVID-
19 pandemic on Members, investors, and other stakeholders. The COVID-19
conditions necessitating the extension of relief provided in FINRA's
FAQs and rule amendments persist and, in fact, appear to be
worsening.\14\ One of the impacts of COVID-19 continues to be serious
interruptions in the administration of FINRA qualification examinations
at Prometric test centers

and the limited ability of individuals to sit for the examinations.\15\
Although Prometric has begun reopening test centers, Prometric's safety
practices mean that currently not all test centers are open, some of
the open test centers are at limited capacity, and some open test
centers are delivering only certain examinations that have been deemed
essential by the local government.\16\ Furthermore, Prometric has had
to close some reopened test centers due to incidents of COVID-19 cases.
The initial nationwide closure in March along with the inability to
fully reopen all Prometric test centers due to COVID-19 have led to a
significant backlog of individuals who are waiting to sit for FINRA
examinations.\17\ In addition, Members are continuing to experience
operational challenges with much of their personnel working from home
due to shelter-in-place orders, restrictions on businesses and social
activity imposed in various states, and adherence to other social
distancing guidelines consistent with the recommendations of public
health officials.\18\
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    \14\ See, e.g., Meryl Kornfield, Jacqueline Dupree, Marisa Iati,
Paulina Villegas, Siobhan O'Grady and Hamza Shaban, New daily
coronavirus cases in U.S. rise to 145,000, latest all-time high,
Wash. Post, November 11, 2020, https://www.washingtonpost.com/nation/2020/11/11/coronavirus-covid-live-updates-us/.
    \15\ Information about the continued impact of COVID-19 on
FINRA-administered examinations is available at https://www.finra.org/rules-guidance/key-topics/covid-19/exams.
    \16\ Information from Prometric about its safety practices and
the impact of COVID- 19 on its operations is available at https://www.prometric.com/corona-virus-update.
    \17\ Although an online test delivery service has been launched
to help address the backlog, the General Securities Principal Exam
(Series 24) is not available online. See supra note 12. FINRA is
considering making additional qualifications examinations available
remotely on a limited basis.
    \18\ See, e.g., Centers for Disease Control and Prevention, How
to Protect Yourself & Others, https://www.cdc.gov/coronavirus/2019-ncov/prevent-getting-sick/prevention.html.
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    As a result, Members continue to face potentially significant
disruptions to their normal business operations that may include a
limitation of in-person activities and staff absenteeism as a result of
the health and welfare concerns stemming from COVID-19. Such potential
disruptions may be further exacerbated and may even affect client
services if Members cannot continue to keep principal positions filled
as they may have difficulty finding other qualified individuals to
transition into these roles or may need to reallocate employee time and
resources away from other critical responsibilities at the Member.
    These ongoing, extenuating circumstances make it impracticable for
Members to ensure that the individuals whom they have designated to
function as a principal as set forth in IEX Rule 2.160(i) are able to
successfully sit for and pass an appropriate qualification examination
within the 120-calendar day period required by Supplementary Material
.01 under Rule 2.160(i), or to find other qualified staff to fill these
positions. The ongoing circumstances also require individuals to be
exposed to the health risks associated with taking an in-person
examination, because the General Securities Principal examination is
not available online. Therefore, IEX is proposing to extend the 120-day
period during which an individual can function as a principal before
having to pass an applicable qualification examination until April 30,
2021.\19\ The proposed rule change would apply only to those
individuals who were designated to function as a principal prior to
January 1, 2021. Any individuals designated to function as a principal
on or after January 1, 2021 would need to successfully pass an
appropriate qualification examination within 120 days.
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    \19\ If IEX seeks to provide additional temporary relief from
the rule requirements identified in this proposed rule change beyond
April 30, 2021, IEX will submit a separate rule filing to further
extend the temporary extension of time.
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    The Exchange believes that this proposed extension of time is
tailored to address the needs and constraints on a Member's operations
during the COVID-19 pandemic, without significantly compromising
critical investor protection. The proposed extension of time will help
to minimize the impact of COVID-19 on Members by providing continued
flexibility so that Members can ensure that principal positions remain
filled. The potential risks from the proposed extension of the 120-day
period are mitigated by the ongoing requirement that Members supervise
the activities of these designated individuals and ensure compliance
with federal securities laws and regulations, as well as IEX Rules.
    As noted below, IEX has filed the proposed rule change for
immediate effectiveness and has requested that the SEC waive the
requirement that the proposed rule change not become operative for 30
days after the date of the filing, so IEX can implement the proposed
rule change immediately.
2. Statutory Basis
    IEX believes that the proposed rule change is consistent with the
provisions of Section 6(b) \20\ of the Act in general, and furthers the
objectives of Section 6(b)(5) of the Act \21\ 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 by harmonizing the Exchange's registration rules with
those of FINRA, on which they are based. Consequently, the proposed
change will conform the Exchange's rules to changes made to
corresponding FINRA rules, thus promoting application of consistent
regulatory standards with respect to rules that FINRA enforces pursuant
to its regulatory services agreement with the Exchange.
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    \20\ 15 U.S.C. 78f.
    \21\ 15 U.S.C. 78f(b)(5).
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B. Self-Regulatory Organization's Statement on Burden on Competition

    IEX does not believe that the proposed rule change will result in
any burden on competition that is not necessary or appropriate in
furtherance of the purposes of the Act. The proposed rule change is not
designed to address any competitive issue but to align the Exchange's
rules with those of FINRA, which will assist FINRA in its oversight
work done pursuant to a regulatory services agreement with IEX. The
proposed rule change will also provide for consistent application of
the Exchange's registration rules with those of FINRA, on which they
are based. The Exchange believes that the proposed rule change is
necessary to temporarily rebalance the attendant benefits and costs of
the obligations under Rule 2.160 in response to the impacts of the
COVID-19 pandemic that would otherwise result if the temporary rule
amendment was not adopted. Consequently, the Exchange believes that the
proposed temporary relief afforded by the proposed rule change and the
benefit of harmonizing the Exchange's registration and qualification
rules with those of FINRA does not present any burden on competition
that is not necessary or appropriate in furtherance of the purposes of
the Act.

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

    Written comments were neither solicited nor received.

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 \22\ and
Rule 19b-4(f)(6) thereunder.\23\
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    \22\ 15 U.S.C. 78s(b)(3)(A).
    \23\ 17 CFR 240.19b-4(f)(6). In addition, Rule 19b-4(f)(6)(iii)
requires a self-regulatory organization to give the Commission
written notice of its intent to file the proposed rule change, along
with a brief description and text of the proposed rule change, at
least five business days prior to the date of filing of the proposed
rule change, or such shorter time as designated by the Commission.
The Exchange has satisfied this requirement.
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    A proposed rule change filed under Rule 19b-4(f)(6) normally does
not become operative for 30 days after the date of filing. However,
pursuant to Rule 19b-4(f)(6)(iii), the Commission may designate a
shorter time if such action is consistent with the protection of
investors and the public interest. The Exchange has asked the
Commission to waive the 30-day operative delay so that the proposed
rule change may become operative immediately upon filing. As noted
above, the Exchange stated that the proposed extension of time will
help minimize the impact of the COVID-19 outbreak on Members'
operations by allowing them to keep principal positions filled and
minimizing disruptions to client services and other critical
responsibilities. The Exchange further stated that the ongoing
extenuating circumstances of the COVID-19 pandemic make it impractical
to ensure that individuals designated to act in these capacities are
able to take and pass the appropriate qualification examination during
the 120-calendar day period required under the rules. The Exchange also
explained that shelter-in-place orders, quarantining, restrictions on
business and social activity and adherence to social distancing
guidelines consistent with the recommendations of public officials
remain in place in various states.\24\ In addition, the Exchange
observed that, following a nationwide closure of all test centers
earlier in the year, some test centers have re-opened, but are
operating at limited capacity or are only delivering certain
examinations that have been deemed essential by the local
government.\25\ Although, as the Exchange noted, FINRA has launched an
online test delivery service to help address this backlog, the General
Securities Principal (Series 24) Examination is not available
online.\26\ Nevertheless, the Exchange explained that the proposed rule
change will provide needed flexibility to ensure that these positions
remain filled and is tailored to address the constraints on Members'
operations during the COVID-19 pandemic without significantly
compromising critical investor protection.\27\
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    \24\ See supra note 18.
    \25\ See supra notes 15 and 16. The Exchange states that
Prometric has also had to close some reopened test centers due to
incidents of COVID-19 cases.
    \26\ See supra note 17. FINRA is considering making additional
qualification examinations available remotely on a limited basis.
    \27\ The Exchange states that Members remain subject to the
continued requirement to supervise the activities of these
designated individuals and ensure compliance with federal securities
laws and regulations, as well as IEX rules.
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    The Commission observed that the Exchange's proposal, like FINRA's
analogous filing, provides only temporary relief from the requirement
to pass certain qualification examinations within the 120-day period in
the rules. As proposed, this relief would extend the 120-day period
that certain individuals can function as principals through April 30,
2021. If a further extension of temporary relief from the rule
requirements identified in this proposal beyond April 30, 2021 is
required, the Exchange noted that it may submit a separate rule filing
to extend the effectiveness of the temporary relief under these
rules.\28\ 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.\29\ Accordingly, the Commission
hereby waives the 30-day operative delay and designates the proposal
operative upon filing.\30\
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    \28\ See supra note 19.
    \29\ As noted above by the Exchange, this proposed temporary
change is based on a recent filing by FINRA that the Commission
approved with a waiver of the 30-day operative delay. See supra note
5, 85 FR at 81260.
    \30\ For purposes only of waiving the 30-day operative delay,
the Commission has considered the proposed rule change's impact on
efficiency, competition, and capital formation. See 15 U.S.C.
78c(f).
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    At any time within 60 days of the filing of the proposed rule
change, the Commission summarily may temporarily suspend such rule
change if it appears to the Commission that such action is necessary or
appropriate in the public interest, for the protection of investors, or
otherwise in furtherance of the purposes of the Act. If the Commission
takes such action, the Commission shall institute proceedings to
determine whether the proposed rule should be approved or disapproved.

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's internet comment form (http://www.sec.gov/rules/sro.shtml); or
     Send an email to<EMAIL_ADDRESS>Please include
File Number SR-IEX-2020-20 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-IEX-2020-20. This file
number should be included on the subject line if email is used. To help
the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's internet website (http://www.sec.gov/rules/sro.shtml).
Copies of the submission, all subsequent amendments, all written
statements with respect to the proposed rule change that are filed with
the Commission, and all written communications relating to the proposed
rule change between the Commission and any person, other than those
that may be withheld from the public in accordance with the provisions
of 5 U.S.C. 552, will be available for website viewing and printing in
the Commission's Public Reference Room, 100 F Street NE, Washington, DC
20549, on official business days between the hours of 10:00 a.m. and
3:00 p.m. Copies of such filing also will be available for inspection
and copying at the principal office of IEX. 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-IEX-2020-20 and
should be submitted on or before January 19, 2021.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\31\
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    \31\ 17 CFR 200.30-3(a)(12).
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J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2020-28658 Filed 12-28-20; 8:45 am]
BILLING CODE 8011-01-P


           Improvements for the Cross-Media Electronic Reporting Rule
                          (EPA/OEI/OIC/IESD, 5/9/13)

EPA's Office of Environmental Information is actively working with its state co-regulators to assist them in meeting the requirements of the Cross-Media Electronic Reporting Rule (CROMERR).  OEI is committed to provide tools, services and a streamlined review and approval process.

EPA is confident the recent improvements identified below will improve states' ability to meet the CROMERR requirements and EPA's review and approval process.  These improvements will allow EPA to be prepared to support the implementation of the proposed NPDES e-reporting rule for CROMERR requirements.

   1. Automating EPA Internal Review Processes

      EPA developed an automated workflow system to expedite the CROMERR application review process for all new EPA and co-regulator e-reporting data systems that are required to meet the CROMERR performance standards (e.g., electronic signature, non-repudiation).  The CROMERR Program and Stakeholder Management System was deployed in the fall, 2012. (Priority Goal Milestone for 2013)

      With this core system in place, EPA is implementing other tools to speed up application processing.

   2. Providing Technology Support Services

      EPA built a generic suite of reusable services offered through the Central Data Exchange (CDX) that EPA and its co-regulators (states, tribes, and territories) can use as they develop e-reporting systems to meet EPA's CROMERR performance standards (e.g., electronic signature, non-repudiation) for reporting under Title 40 of the CFR.  These services will promote efficiency in the use of federal, tribal, and state funds by providing CROMERR services in a centralized way.  Rather than creating or maintaining their own, each program may elect to use the generic services. (Priority Goal Milestone for 2013)

      The Shared CROMERR Services Integrated Project Team (IPT), made up of state and EPA representatives, was established in the fall of 2012 under the auspices of the Exchange Network Leadership Council.  The IPT conducted a review and assessment of needs in order to reduce costs to co-regulators and support compliance with CROMERR requirements.  The IPT recommended making the CROMERR services reusable and managed in a centralized way so that state and tribes can leverage them for their own reporting programs in a more efficient and cost-effective manner.  The following technology support options are currently available:

         * User Registration
   *             Identity Proofing
   *             Electronic Signature
   *             Copy of Record.

      EPA developed specifications and documentation for states, tribes, and territories to adopt and implement the generic suite of reusable services offered through CDX that meet CROMERR performance standards.  This will also enable third party software developers to offer solutions to the regulated community if desired.  Further, it would enable states and tribes without existing electronic reporting programs to more easily develop completely electronic reporting processes and may provide efficiency to others that currently have a system in place and choose to use these services as well.  (Priority Goal Milestone for 2013)

   3. Extending Outreach among Co-Regulators

      EPA is aggressively reaching out to states and tribes to support them in the CROMERR application approval process and continues to provide assistance in addressing outstanding issues.  EPA will continue to improve its communications with the CROMERR community through various efforts, such as:

   *             EPA is actively engaging state applicants on all phases of their application:  completeness review, approval review, and Agency approval;
   *             EPA will provide expanded access to approved solutions, updates and status on CROMERR applications;
   *             EPA will enhance available CROMERR application guidance materials, technical assistance, and develop additional materials as needed;
   *             EPA will establish a CROMERR central customer help desk; and
   *             The IPT will conduct ad hoc state forums to highlight and identify approaches that facilitate CROMERR compliance.