[Federal Register Volume 80, Number 13 (Wednesday, January 21, 2015)]
[Rules and Regulations]
[Pages 2815-2817]
[FR Doc No: 2014-30917]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 39

[Docket No. FAA-2014-0626; Directorate Identifier 2014-NM-017-AD;
Amendment 39-18058; AD 2014-26-07]
RIN 2120-AA64

Airworthiness Directives; Dassault Aviation Airplanes

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

ACTION: Final rule.

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SUMMARY: We are adopting a new airworthiness directive (AD) for all
Dassault Aviation Model FAN JET FALCON and FAN JET FALCON SERIES C, D,
E, F, and G airplanes. This AD was prompted by our determination of the
need for a revision to the airplane airworthiness limitations to
introduce changes to the maintenance requirements and airworthiness
limitations. This AD requires revising the maintenance or inspection
program, as applicable, to incorporate a new airworthiness limitations
section. We are issuing this AD to prevent reduced structural integrity
of the airplane.

DATES: This AD becomes effective February 25, 2015.
    The Director of the Federal Register approved the incorporation by
reference of a certain publication listed in this AD as of February 25,
2015.

ADDRESSES: You may examine the AD docket on the Internet at http://www.regulations.gov/#!docketDetail;D=FAA-2014-0626 or in person at the
Docket Management Facility, U.S. Department of Transportation, Docket
Operations, M-30, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue SE., Washington, DC.
    For service information identified in this AD, contact Dassault
Falcon Jet, P.O. Box 2000, South Hackensack, NJ 07606; telephone 201-
440-6700; Internet http://www.dassaultfalcon.com. You may view this
referenced service information at the FAA, Transport Airplane
Directorate, 1601 Lind Avenue SW., Renton, WA. For information on the
availability of this material at the FAA, call<PHONE_NUMBER>.

FOR FURTHER INFORMATION CONTACT: Tom Rodriguez, Aerospace Engineer,
International Branch, ANM-116, Transport Airplane Directorate, FAA,
1601 Lind Avenue SW., Renton, WA 98057-3356; telephone<PHONE_NUMBER>;
fax<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Discussion

    We issued a notice of proposed rulemaking (NPRM) to amend 14 CFR
part 39 by adding an AD that would apply to all Dassault Aviation Model
FAN JET FALCON and FAN JET FALCON SERIES C, D, E, F, and G airplanes.
The NPRM published in the Federal Register on September 15, 2014 (79 FR
54917).
    The European Aviation Safety Agency (EASA), which is the Technical
Agent for the Member States of the European Community, has issued EASA
Airworthiness Directive 2014-0021, dated January 20, 2014 (referred to
after this as the Mandatory Continuing Airworthiness Information, or
``the MCAI''), to correct an unsafe condition for all Dassault Aviation
Model FAN JET FALCON and FAN JET FALCON SERIES C, D, E, F, and G
airplanes. The MCAI states:

    The airworthiness limitations and maintenance requirements for
the Fan Jet Falcon type design are included in Dassault Aviation
Falcon 20 (F20) Aircraft Maintenance Manual (AMM) chapter 5-40 and
are approved by the European Aviation Safety Agency (EASA). EASA
issued AD 2008-0221 to require accomplishment of the maintenance
tasks, and implementation of the airworthiness limitations, as
specified in Dassault Aviation F20 AMM chapter 5-40 at revision 13.
    Since that [EASA] AD was issued, Dassault Aviation issued F20
AMM chapter 5-40 at revision 15, which introduces new or more
restrictive maintenance requirements and/or airworthiness
limitations.
    Dassault Aviation AMM chapter 5-40 revision 15 contains among
other changes the following requirements:
    --Specific instructions applicable to F20GF (serial number 397);
    --Check of overpressure tightness on pressurization control
regulating valves;
    --Check of overpressure relief valve vacuum supply lines.
    A new document reference number which comes with DGT 131028
revision 15 is replacing DMD11755.
    The maintenance tasks and airworthiness limitations, as
specified in the F20 AMM chapter 5-40, have been identified as
mandatory actions for continued airworthiness of the Fan Jet Falcon
type design. Failure to comply with AMM chapter 5-40 at revision 15
might constitute an unsafe condition.
    For the reasons described above, this [EASA] AD requires
implementation of the maintenance tasks and airworthiness
limitations, as specified in Dassault Aviation F20 AMM chapter 5-40
at revision 15.

    The unsafe condition is reduced structural integrity of the
airplane. You may examine the MCAI in the AD docket on the Internet at
http://www.regulations.gov/#!documentDetail;D=FAA-2014-0626-0002.

Comments

    We gave the public the opportunity to participate in developing
this AD. We received no comments on the NPRM (79 FR 54917, September
15, 2014) or on the determination of the cost to the public.

Conclusion

    We reviewed the relevant data and determined that air safety and
the public interest require adopting this AD as proposed except for
minor editorial changes. We have determined that these minor changes:
     Are consistent with the intent that was proposed in the
NPRM (79 FR 54917, September 15, 2014) for correcting the unsafe
condition; and
     Do not add any additional burden upon the public than was
already proposed in the NPRM (79 FR 54917, September 15, 2014).

Costs of Compliance

    We estimate that this AD affects 168 airplanes of U.S. registry.
    We also estimate that it would take about 1 work-hour per product
to

comply with the basic requirements of this AD. The average labor rate
is $85 per work-hour. Based on these figures, we estimate the cost of
this AD on U.S. operators to be $14,280, or $85 per product.

Authority for This Rulemaking

    Title 49 of the United States Code specifies the FAA's authority to
issue rules on aviation safety. Subtitle I, section 106, describes the
authority of the FAA Administrator. ``Subtitle VII: Aviation
Programs,'' describes in more detail the scope of the Agency's
authority.
    We are issuing this rulemaking under the authority described in
``Subtitle VII, Part A, Subpart III, Section 44701: General
requirements.'' Under that section, Congress charges the FAA with
promoting safe flight of civil aircraft in air commerce by prescribing
regulations for practices, methods, and procedures the Administrator
finds necessary for safety in air commerce. This regulation is within
the scope of that authority because it addresses an unsafe condition
that is likely to exist or develop on products identified in this
rulemaking action.

Regulatory Findings

    We determined that this AD will not have federalism implications
under Executive Order 13132. This AD will not have a substantial direct
effect on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government.
    For the reasons discussed above, I certify that this AD:
    1. Is not a ``significant regulatory action'' under Executive Order
12866;
    2. Is not a ``significant rule'' under the DOT Regulatory Policies
and Procedures (44 FR 11034, February 26, 1979);
    3. Will not affect intrastate aviation in Alaska; and
    4. Will not have a significant economic impact, positive or
negative, on a substantial number of small entities under the criteria
of the Regulatory Flexibility Act.

Examining the AD Docket

    You may examine the AD docket on the Internet at http://www.regulations.gov/#!docketDetail;D=FAA-2014-0626; or in person at the
Docket Management Facility between 9 a.m. and 5 p.m., Monday through
Friday, except Federal holidays. The AD docket contains this AD, the
regulatory evaluation, any comments received, and other information.
The street address for the Docket Operations office (telephone 800-647-
5527) is in the ADDRESSES section.

List of Subjects in 14 CFR Part 39

    Air transportation, Aircraft, Aviation safety, Incorporation by
reference, Safety.

Adoption of the Amendment

    Accordingly, under the authority delegated to me by the
Administrator, the FAA amends 14 CFR part 39 as follows:

PART 39--AIRWORTHINESS DIRECTIVES

0
1. The authority citation for part 39 continues to read as follows:

    Authority:  49 U.S.C. 106(g), 40113, 44701.

Sec.  39.13  [Amended]

0
2. The FAA amends Sec.  39.13 by adding the following new airworthiness
directive (AD):

2014-26-07 Dassault Aviation: Amendment 39-18058. Docket No. FAA-
2014-0626; Directorate Identifier 2014-NM-017-AD.

(a) Effective Date

    This AD becomes effective February 25, 2015.

(b) Affected ADs

    None.

(c) Applicability

    This AD applies to Dassault Aviation Model FAN JET FALCON and
FAN JET FALCON SERIES C, D, E, F, and G airplanes, certificated in
any category, all serial numbers.

(d) Subject

    Air Transport Association (ATA) of America Code 05, Time Limits
and Maintenance Checks.

(e) Reason

    This AD was prompted by our determination of the need for a
revision to the airplane airworthiness limitations to introduce
changes to the maintenance requirements and airworthiness
limitations. We are issuing this AD to prevent reduced structural
integrity of the airplane.

(f) Compliance

    Comply with this AD within the compliance times specified,
unless already done.

(g) Maintenance or Inspection Program Revision

    Within 30 days after the effective date of this AD, revise the
maintenance or inspection program, as applicable, to incorporate the
information specified in Chapter 5-40, Airworthiness Limitations,
DGT 131028, Revision 15, dated March 2012, of the Dassault Aviation
Falcon 20 Maintenance Manual. The initial compliance time for
accomplishing the actions specified in Chapter 5-40, Airworthiness
Limitations, DGT 131028, Revision 15, dated March 2012, of the
Dassault Aviation Falcon 20 Maintenance Manual is at the applicable
time specified in Chapter 5-40, Airworthiness Limitations, DGT
131028, Revision 15, dated March 2012, of the Dassault Aviation
Falcon 20 Maintenance Manual, or within 60 days after the effective
date of this AD, whichever occurs later. Where the threshold column
in the table in paragraph B, Mandatory Maintenance Operations, of
Chapter 5-40, Airworthiness Limitations, DGT 131028, Revision 15,
dated March 2012, of the Dassault Aviation Falcon 20 Maintenance
Manual specifies a compliance time in flight hours, those compliance
times are total flight hours. Where the threshold column in the
table in paragraph B, Mandatory Maintenance Operations, of Chapter
5-40, Airworthiness Limitations, DGT 131028, Revision 15, dated
March 2012, of the Dassault Aviation Falcon 20 Maintenance Manual
specifies a compliance time in years, those compliance times are
since the date of issuance of the original French or European
Aviation Safety Agency (EASA) standard airworthiness certificate or
date of issuance of the original French or EASA export certificate
of airworthiness.

(h) No Alternative Actions and Intervals

    After accomplishing the revision required by paragraph (g) of
this AD, no alternative actions (e.g., inspections) or intervals may
be used unless the actions or intervals are approved as an
alternative method of compliance (AMOC) in accordance with the
procedures specified in paragraph (i)(1) of this AD.

(i) Other FAA AD Provisions

    The following provisions also apply to this AD:
    (1) Alternative Methods of Compliance (AMOCs): The Manager,
International Branch, ANM-116, Transport Airplane Directorate, FAA,
has the authority to approve AMOCs for this AD, if requested using
the procedures found in 14 CFR 39.19. In accordance with 14 CFR
39.19, send your request to your principal inspector or local Flight
Standards District Office, as appropriate. If sending information
directly to the International Branch, send it to ATTN: Tom
Rodriguez, Aerospace Engineer, International Branch, ANM-116,
Transport Airplane Directorate, FAA, 1601 Lind Avenue SW., Renton,
WA 98057-3356; telephone<PHONE_NUMBER>; fax<PHONE_NUMBER>. Information
may be emailed to<EMAIL_ADDRESS>Before using any
approved AMOC, notify your appropriate principal inspector, or
lacking a principal inspector, the manager of the local flight
standards district office/certificate holding district office. The
AMOC approval letter must specifically reference this AD.
    (2) Contacting the Manufacturer: For any requirement in this AD
to obtain corrective actions from a manufacturer, the action must be
accomplished using a method approved by the Manager, International
Branch, ANM-116, Transport Airplane Directorate, FAA; or the EASA;
or Dassault Aviation's EASA

Design Organization Approval (DOA). If approved by the DOA, the
approval must include the DOA-authorized signature.

(j) Related Information

    Refer to Mandatory Continuing Airworthiness Information (MCAI)
EASA Airworthiness Directive 2014-0021, dated January 20, 2014, for
related information. This MCAI may be found in the AD docket on the
Internet at http://www.regulations.gov/#!documentDetail;D=FAA-2014-
0626-0002.

(k) Material Incorporated by Reference

    (1) The Director of the Federal Register approved the
incorporation by reference (IBR) of the service information listed
in this paragraph under 5 U.S.C. 552(a) and 1 CFR part 51.
    (2) You must use this service information as applicable to do
the actions required by this AD, unless this AD specifies otherwise.
    (i) Chapter 5-40, Airworthiness Limitations, DGT 131028,
Revision 15, dated March 2012, of the Dassault Aviation Falcon 20
Maintenance Manual. The document revision level can only be found on
the title page, Note to Users page, and pages 1 and 2 of 9 of this
document.
    (ii) Reserved.
    (3) For service information identified in this AD, contact
Dassault Falcon Jet, P.O. Box 2000, South Hackensack, NJ 07606;
telephone<PHONE_NUMBER>; Internet http://www.dassaultfalcon.com.
    (4) You may view this service information at the FAA, Transport
Airplane Directorate, 1601 Lind Avenue SW., Renton, WA. For
information on the availability of this material at the FAA, call
425-227-1221.
    (5) You may view this service information that is incorporated
by reference at the National Archives and Records Administration
(NARA). For information on the availability of this material at
NARA, call<PHONE_NUMBER>, or go to: http://www.archives.gov/federal-register/cfr/ibr-locations.html.

    Issued in Renton, Washington, on December 19, 2014.
Michael Kaszyski,
Acting Manager, Transport Airplane Directorate, Aircraft Certification
Service.
[FR Doc. 2014-30917 Filed 1-20-15; 8:45 am]
BILLING CODE 4910-13-P


1 SUPPORTING STATEMENT Section 1: Identification of the Information Collection 1( a) Title of the Information Collection QUESTIONNAIRE FOR NOMINEES FOR THE ANNUAL NATIONAL CLEAN WATER ACT RECOGNITION AWARDS 1( b) Short Characterization/ Abstract This questionnaire is developed to collect information for the Environmental Protection Agency's ( EPA) National Clean Water Act ( CWA) Recognition Awards Program.

In 1985, the EPA established the Operations and Maintenance ( O& M) awards program to provide a positive incentive for compliance with the National Pollutant Discharge Elimination System ( NPDES). Because of the successes of the O& M Awards program, in 1988 the EPA established the Biosolids Management Excellence awards ( formerly Sludge awards). In 1989, the Pretreatment awards were added. In 1990, the EPA established the Combined Sewer Overflow ( CSO) Controls and Storm Water ( SW) Management awards programs. The questionnaire provides the mechanism for the applicant to demonstrate outstanding and innovative wastewater management practices. The Pretreatment awards program is covered by ICR ( OMB Control No. 2040 0009, EPA ICR No. 0002.09), approved through November 2006. A framework to implement the awards recognition program is at 40 CFR part 105. A copy is attached.

The respondent will read the instructions for completing the questionnaire. The respondent will use existing files, planning and progress reports, and institutional memory to complete the questionnaire. Based on the instructions provided with the questionnaire, the respondent will compile the requested information. The requested design and operating information should be readily available from wastewater treatment facility or pollution abatement program operating records. The data collection will include flow, permit, operating and environmental data.

The information collection will be used for the respective awards categories in the Office of Wastewater Management to evaluate and determine which pollution abatement achievements should be recognized. Based on the collection, national panels will evaluate the nominee's efforts and recommend finalists. As currently structured, the O& M awards category has nine subcategories to recognize municipal achievements based on plant flows and treatment level. The Biosolids awards category has four sub categories which recognize municipal biosolids operations, technology and research achievements, and public acceptance. The CSO award category has one sub category which recognizes municipal achievements, and the SW award category has two sub categories which recognize municipal and industrial achievements. Regions and States may also have recognition awards programs and are included in these 2 estimates. National second place winners may also be recognized. Additionally, nominated activities may sometimes receive an honorable mention or special award. The National CWA Recognition Awards are presented annually at an EPA Ceremony.

Section 2: Need for and Use of the Collection 2( a) Need/ Authority for the Collection Section 501( e) of the CWA, as amended ( copy attached) authorizes a program to recognize municipalities and industries that demonstrate outstanding technological achievements, innovative processes, devices or other outstanding methods in their waste treatment and pollution abatement programs. Recognition is made through EPA's National Clean Water Act awards program. The program aims to heighten public awareness of the contributions wastewater treatment facilities and programs make to clean water, and encourages public support for effective wastewater management. The design, operating, and environmental compliance information of the wastewater treatment facility or pollution abatement programs is needed to complete the questionnaire.

2( b) Practical Utility/ Users of the Data The program is primarily directed at wastewater treatment facilities. The recipients of the awards will be municipal officials or their representatives. Also participating in the process are State officials who have regular contact with the facility and will inform the communities of the awards program and assist them in completing the questionnaire. Municipal respondents who wish to be considered will voluntarily complete a questionnaire that asks for readily available information about their facility, which the respondents should have on file for their own routine use. The questionnaire will be used to inform the selection panel and enable it to select those facilities and municipalities that exhibit outstanding water quality achievements.

The completed questionnaires are reviewed by officials of participating State representatives prior to being forwarded to the EPA regional offices. The regional offices then review the nominees for consideration for a Regional award and/ or recommendation for a national award. The regional awards program will resemble the national awards program as much as possible. Awards are made to first and second place winners in five program categories and subcategories based on the type of treatment level and plant size. Prior to making regional and national awards all nominees are screened for regulatory compliance based on EPA and State files. If problems are found, the nominee is dropped from further consideration.

All completed questionnaires for award nominees that are sent to headquarters will be provided to panels of expert judges from EPA and other professional organizations in the wastewater treatment industry for review and final selection. EPA will return the questionnaires and related information to the applicants. 3 The format and content of the questionnaire are structured so that key issues are covered yet the respondents have some flexibility to elaborate on areas that they wish to feature. A few of the questions in the questionnaire merely identify the applicant and enable EPA to place it in the appropriate awards category. The remaining questions asks for information and brief descriptions pertaining to the operations of the wastewater project, program or device submitted for consideration of an award. The questions are structured to elicit short concise responses. The responses will enable the selection panel to evaluate the nominees based on documented performance and make recommendations for a national award.

Section 3: Non duplication, Consultations, and Other Collection Criteria 3( a) Non duplication The design, operating, and environmental compliance information needed to complete the questionnaire is not immediately available in the data base or files of a State or Federal office. If such data is available, it may exist in an outdated report or data base which cannot be timely or readily cross referenced to the requested data. Outstanding and innovative program accomplishments must be provided from the wastewater management facilities and programs as it is not available from any other source.

3( b) Public Notice Required Prior to ICR Submission to OMB A Federal Register notice announcing the Agency's intent to seek the renewal of this ICR and the 60 day public comment opportunity, requesting comments on the request and the contents of the ICR was issued on August 14, 2003 ( 68 FR 48606). A copy is attached. No comments were received.

3( c) Consultations The program is in its eighteenth year of making awards. EPA strives to minimize the burden on all respondents, especially small communities/ businesses. Each year comments are provided by the award recipients, selection panel, and State and regional EPA personnel. EPA asks the regional and State personnel to assist the respondents where necessary in completing the questionnaire. Regions also ensure that the nominees' environmental compliance records are reviewed and approved before they complete the questionnaire.

EPA managers solicit feedback on its questionnaire from non Federal panelists and from past municipal winners in a very informal manner. EPA managers also receive indirect comments from regional EPA employees, who also are in contact with municipal and industrial entities and State officials. Positive and negative feedbacks are both evaluated. Feedback from the States' facility operators is that the national application form for awards is complex and is a significant burden for the plant staff. In order to improve participation, some regions use a short form to get the facilities into the award process for local, State and regional competition. Once the facilities 4 have been selected for nomination to the national competition, they complete the questionnaire to compete for the national award. The questionnaire is revised if the burden on the respondent is determined to unnecessarily outweigh the information being requested to evaluate achievement.

3( d) Effects of Less Frequent Collection If the collection is conducted on a less frequent basis the merits and goals of the program would be seriously impacted. Recognition awards are held annually. The information collection schedule is contained in the respondent's questionnaire instructions. The questionnaire and instructions for the awards program are distributed by mail, e mail and are available through the internet by December/ January of each year. The completed questionnaire is received by headquarters in May/ June, and the panel reviews the questionnaires in June/ July.

3( e) General Guidelines This information collection request is consistent with guidelines contained in 5 CFR 1320.5( d)( 2).

3( f) Confidentiality No confidential information is involved for this collection activity.

3( g) Sensitive Questions The questionnaire does not request any information that would be of a sensitive nature.

Section 4: The Respondents and the Information Requested 4( a) Respondents/ SIC Codes The Standard Industrial Classifications ( SIC) for the respondents effected by this information collection activity are as follows:

4952  Sewerage Systems 4953  Refuse Systems 8221  Colleges, Universities, Professional Schools 8711  Engineering Services 8734  Testing Laboratories 9199  Executive, Legislative, and General Government, Except Finance 9511  Air and Water Resource and Solid Waste Management ( Administration of Environmental Quality)

4( b) Information Requested 5 i) Data items, including record keeping requirements The requested design and operating information should be readily available from facility operating records. The information collection will include flow, permit, operating, and environmental compliance data.

ii) Respondent Activities To be considered for National Clean Water Act Recognition Awards the respondent will voluntarily complete the questionnaire and provide design, operating and environmental information about their facility, project or program. The respondents will read the instructions for completing the questionnaire. The respondent will use existing files when possible, planning and progress reports, and institutional memory to complete the questionnaire. A copy of the current questionnaire is attached.

Section 5: The Information Collected   Agency Activities, Collection Methodology, and Information Management 5( a) Agency Activities The completed questionnaire is reviewed by State/ regional officials, as appropriate, prior to forwarding them to headquarters. Not all States have awards programs. Participation for regional awards may vary each year for each awards program category. After the questionnaire is received in headquarters, they are provided to the respective selection panel consisting of representatives of EPA's headquarters and regions, State water pollution control agencies or affiliated associations for consideration of a national award. The panels make recommendations to EPA. All nominees complete a series of compliance screenings. National nominees are invited to an EPA awards ceremony for presentation of an engraved plaque in recognition of their outstanding and innovative technological achievements. First place winners also receive a flag or pennant.

The EPA headquarters releases the names of the municipalities and industries to be recognized, and summaries of awards justifications may be published in reports, news articles, journals, and Federal Register Notice.

5( b) Collection Methodology and Management The regions may use electronic mail and computer disks as much as possible to transmit completed questionnaires and other information to headquarters. All nominees are screened for environmental compliance by the State and EPA. Data quality information will be retrieved from the Agency's Permit Compliance System ( PCS), other environmental reports, and professional knowledge of the facility or program. 6 5( c) Small Entity Flexibility This information collection activity does not concern a rulemaking. A framework to implement the awards recognition program is 40 CFR, part 105. EPA strives to minimize the burden on all respondents, especially small communities/ businesses. EPA regions and States review the nominee's environmental compliance records before the nominee is asked to complete the questionnaire. Depending on the respective program, regions and States may be available to assist respondents to answer the questionnaire to compete for the national award. The questionnaire is shortened or revised if the burden on the respondent appears to unnecessarily outweigh the information requested.

5( d) Collection Schedule The information collection schedule is contained in the respondents' questionnaire. The questionnaire and instructions for the awards recognition program is distributed by mail, e mail and is accessible through the internet by January/ February of each year. The completed questionnaire is received by headquarters in June, and the panel reviews the questionnaire in July. Recognition awards are held annually by October at an EPA awards ceremony.

Section 6: Estimating the Burden and Cost of the Collection 6( a) Estimating Respondent Burden A link from EPA's ICR page to " http:// stats. bls. gov/ news. release/ ecec. t02. htm" provided hourly rates for Civilian workers, by occupational and industry group, September 2003, Salary plus 110% overhead and benefits burden.

6( a)( i) Estimating Respondent Cost The total number of respondents is estimated to be 195, including 100 for the O& M program, 25 for the Biosolids program, 10 for the CSO program, 10 for the SW program, and 50 for the assumption that all states have participation in the awards programs. The responses are collected once annually. The respondents reporting burden of 8 person hours per response is estimated to be 1160 hours and a cost of $ 55,245. The States' review burden of 6 person hours per response is 870 hours and a cost of $ 39,730. Total estimated burden for this collection is 2030 hours and $ 94,975. 7 6( a)( ii) Estimating Respondent Labor Cost Activity No. of Responses No. Person Hours Cost Per Hour Total Annual Labor Cost Manager reads instructions and search existing data sources: Hourly wage + 110% overhead and benefits burden ($ 29.15 + $ 32.06 = $ 61.21) 145 2 $ 61 $ 17,690 Staff gathers information and complete the questionnaire: Hourly wage + 110% overhead and benefits burden ($ 21.76 + $ 23.94 = $ 45.70) 145 5 $ 46 $ 33,350 Administrative support prepares forms: Hourly wage + 110% overhead and benefits ($ 13.68 + $ 15.05 = $ 28.73 145 1 $ 29 $ 4,205 TOTAL 8  $ 55,245 Estimated Burden of States Review Activity No. of Responses No. Person Hours Cost Per Hour Total Annual Labor Cost Management review: Hourly wage + 110% overhead and benefits burden ($ 29.15 + $ 32.06 = $ 61.21) 145 1 $ 61 $ 8,845 Staff review/ verify data and make nominations for awards: Hourly wage + 110% overhead and benefits burden ($ 21.76 + $ 23.94 = $ 45.70) 145 4 $ 46 $ 26,680 Administrative Support: Hourly wage + 110% overhead and benefits ($ 13.68 + $ 15.05 = $ 28.73 145 1 $ 29 $ 4,205 TOTAL 6  $ 39.730 6( a)( ii) Estimating Capital and Operations and Maintenance Costs None.

6( a)( iii) Capital/ Start up Operating and Maintenance ( O& M) Costs None.

6( a)( iv) Annualizing Capital Costs 8 None.

6( c) Estimating Agency Burden and Cost A link from OPM's 2004 General Schedule salary table " http:// www. opm. gov/ oca/ payrates/ index. asp" provided hourly rates for Civilian workers, January 2004, Salary plus 60% overhead and benefits burden. Calculations do not include the Pretreatment Awards.

EPA Headquarters' Estimated Burden and Cost Questionnaire Activity Person Hours Estimated Cost Per Hour Total Annual Cost Branch Chiefs: ( Average hourly rate of GS 15, Step 10 + 60% overhead and benefits burden) $ 53.83/ hr + $ 32.30 = $ 86.13. 8 $ 86 $ 688 Awards Program Mgrs. ( Avg. hourly rate of GS 13, Step 5 + 60% overhead and benefits burden) $ 33.76 + $ 20.26 = $ 54.02. 192 $ 54 $ 10,368 TOTAL 200 $ 140 $ 11,056 Branch Chiefs: 2 person hours x 4 categories = 8 person hours x $ 86 per hour = $ 688. Awards Program Managers: 48 person hours ( 6/ 8hr days) x 4 categories = 192 person hours x $ 54 per hour = $ 10,368.

EPA Regions' Estimated Burden and Cost Questionnaire Activity Person Hours Estimated Cost Per Hour Total Annual Cost Awards Program Mgrs. ( Avg. hourly rate of GS 13, Step 5 + 60% overhead and benefits burden ) $ 33.76 + $ 20.26 = $ 54.02 1,920 $ 54 $ 103,680 Administrative Support and Typing ( Average hourly rate of GS 8, step 5+ 60% overhead burden) $ 17.72 + $ 10.63 = $ 28.35 80 $ 28 $ 2,240 TOTAL 2000 $ 82 $ 105,920 Awards Program Managers: 48 person hours ( 6/ 8 hr days) x 10 regions x 4 categories = 1,920 person hours x $ 54 per hour = $ 103,680. 9 Administrative support/ typing: 2 person hours x 10 regions x 4 categories = 80 person hours x $ 28 per hour = $ 2,240.

Agency's Estimated Travel Cost to the National Awards Conference Activity No of Travelers Estimated Cost Per Traveler Total Annual Cost EPA Awards Presenters 2 $ 1,000 $ 2,000 O& M Awards 1 $ 1,000 $ 1,000 Biosolids Awards 1 $ 1,000 $ 1,000 Storm Water Awards 1 $ 1,000 $ 1,000 Combined Sewer Overflow Awards 1 $ 1,000 $ 1,000 TOTAL 6 $ 5,000 $ 6,000 Agency's Estimated Cost for Awards Material Activity ( Includes Pretreatment) No. of Items Cost Per Item Total Annual Cost Regional O& M Award Plaques ( 2 per region) 20 $ 45 $ 900 National awards plaques ( 18 O& M, 10 biosolids, 6 Pretreatment, 4 SW, 4 CSO) 42 $ 45 $ 1,890 National awards certificates ( 18 O& M, 10 biosolids, 6 Pretreatment, 4 SW, 4 CSO) 42 $ 25 $ 1,050 National first place awards flags ( 9 O& M, 4 biosolids, 3 Pretreatment , 2 SW, 2 CSO) 20 $ 500 $ 10,000 TOTAL 124 $ 615 $ 13,840 6( d) Estimating the Respondent's Universe and Total Burden and Costs The total number of respondents is estimated to be 195. Total estimated burden for this collection is 2030 hours and $ 94,975 per year for three years. The cost to the Federal government is $ 136,816 per year for three years.

6( e) Bottom Line Burden Hours and Cost Tables 6( e)( i) Respondent Tally 10 Costs Estimated Respondent Labor Costs $ 55,245 Estimated States Review and Record keeping Burden $ 13.700 Total Annual Respondent Burden and Cost $ 94,975 Hours Estimated Respondents Burden Hours 1160 hours Estimated Burden of States' Participation 870 hours Total Respondents' Burden 2030 hours 6( e)( ii) The Agency Tally Costs EPA Headquarters Burden $ 11,056 EPA Regions Burden $ 105,920 EPA Estimated Travel Costs $ 6,000 Estimated Cost for Awards Material $ 13,840 Total Annual Cost to the Federal Government $ 136,816 Burden Hours EPA Headquarters Burden 200 hours EPA Regions Burden 2000 hours Total Annual Burden Hours to the Federal Government 2200 hours 6( e)( iii) Variations in the Annual Bottom Line None. 11 6( f) Reasons for change in burden Information collection activity for the National Clean Water Act Recognition Awards Program currently has OMB approval for 2800 burden hours for 200 respondents. The respondent's burden in the previous ICR was estimated to be $ 79,200. We predict that the estimated respondent's burden for the next three years is 2030 hours for 195 respondents at an estimated cost of $ 94,975. The change reflects adjustments to the estimated number of respondents and the personnel costs.

6( g) Burden Statement Section 501 ( e) of the Clean Water Act ( CWA), as amended authorizes a program to recognize municipalities and industries that demonstrate outstanding technological achievements, innovative processes, devices or other outstanding methods in their waste treatment and pollution abatement programs. Recognition is made through EPA's National Clean Water Act recognition awards program. The program aims to heighten public awareness of the contributions wastewater treatment facilities and programs make to clean water, and encourages public support for effective wastewater management. The design, operating and environmental compliance information of the wastewater treatment facility or pollution abatement programs is needed to complete the questionnaire. Participation in the awards recognition program is voluntary. No confidential information is involved for this collection activity.

The public reporting and recordkeeping burden for this collection of information is estimated to average 14 hours per response annually, ( 8 hours per public response and 6 hours for states reporting burden). Burden means the total time, effort, or financial resources expended by persons to generate, maintain, retain, or disclose or provide information to or for a Federal agency. This includes the time needed to review instructions; develop, acquire, install, and utilize technology and systems for the purposes of collecting, validating, and verifying information, processing and maintaining information, and disclosing and providing information; adjust the existing ways to comply with any previously applicable instructions and requirements; train personnel to be able to respond to a collection of information; search data sources; complete and review the collection of information; and transmit or otherwise disclose the information. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number.

To comment on the Agency's need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including the use of automated collection techniques, EPA has established a public docket for this ICR under Docket ID No. OW 2003 0064, which is available for public viewing at the Water Docket in the EPA Docket Center ( EPA/ DC), EPA West, Room B102, 1301 Constitution Ave., NW, Washington, DC. The EPA Docket Center Public Reading Room is open from 8: 30 a. m. to 4: 30 p. m., Monday through Friday, excluding legal holidays. The telephone number for the Reading Room is ( 202) 566 1744, and the telephone number for the Water Docket is ( 202) 566 2426. An electronic version of the public docket is available through EPA Dockets ( EDOCKET) at 12 http:// www. epa. gov/ edocket. Use EDOCKET to submit or view public comments, access the index listing of the contents of the public docket, and to access those documents in the public docket that are available electronically. Once in the system, select " search," then key in the docket ID number identified above. Also, you can send comments to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, DC 20503, Attention: Desk Office for EPA. Please include the EPA Docket ID No. ( OW 2003 0064) and OMB control number ( 2040 0101) in any correspondence. 13


[Federal Register Volume 80, Number 220 (Monday, November 16, 2015)]
[Notices]
[Pages 70773-70774]
[FR Doc No: 2015-29143]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings #1

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

    Docket Numbers: EC16-28-000.
    Applicants: Sagebrush, a California partnership.
    Description: Application for Authorization for Disposition of
Jurisdictional Facilities, Request for Confidential Treatment, and
Request for Expedited Action of Sagebrush, a California partnership, et
al.
    Filed Date: 11/5/15.
    Accession Number: 20151105-5234.
    Comments Due: 5 p.m. ET 11/27/15.

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

    Docket Numbers: ER14-2619-003.
    Applicants: Illinois Power Marketing Company.
    Description: Compliance filing: Compliance Unexecuted Revised
Amended and Restated SSR Agreement to be effective 8/14/2014.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5093.
    Comments Due: 5 p.m. ET 11/27/15.

    Docket Numbers: ER15-948-002.
    Applicants: Illinois Power Marketing Company.
    Description: Compliance filing: Compliance Unexecuted Revised
Amended and Restated SSR Agreement to be effective 1/1/2015.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5096.
    Comments Due: 5 p.m. ET 11/27/15.

    Docket Numbers: ER16-271-000.
    Applicants: PJM Interconnection, L.L.C., American Transmission
Systems, Incorporated, Trans-Allegheny Interstate Line Company,
Pennsylvania Electric Company, Monongahela Power Company.
    Description: Sec.  205(d) Rate Filing: ATSI et al submits 6 service
agreement nos. 3992, 3994, 3995, 4292, 4293, 4294 to be effective 1/5/
2016.
    Filed Date: 11/5/15.
    Accession Number: 20151105-5198.
    Comments Due: 5 p.m. ET 11/27/15.

    Docket Numbers: ER16-272-000.
    Applicants: Central Maine Power Company.
    Description: Sec.  205(d) Rate Filing: Supplement No. 3 to CMP FERC
Electric Rate Schedule No. 60 to be effective 1/5/2016.
    Filed Date: 11/5/15.
    Accession Number: 20151105-5200.
    Comments Due: 5 p.m. ET 11/27/15.

    Docket Numbers: ER16-273-000.
    Applicants: ISO New England Inc., Emera Maine.
    Description: Sec.  205(d) Rate Filing: Correction to ISO New
England Tariff Schedule 21-EM to be effective 6/1/2015.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5031.
    Comments Due: 5 p.m. ET 11/27/15.

    Docket Numbers: ER16-274-000.
    Applicants: Louisville Gas and Electric Company.
    Description: Sec.  205(d) Rate Filing: OMU Amd and Rstd IA Rate
Sched No 505 to be effective 1/6/2016.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5048.
    Comments Due: 5 p.m. ET 11/27/15.

    Docket Numbers: ER16-275-000.
    Applicants: Kentucky Utilities Company.
    Description: Sec.  205(d) Rate Filing: KU Concurrence to OMU Amd
and Rstd Rate Sched 505 to be effective 1/6/2016.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5065.
    Comments Due: 5 p.m. ET 11/27/15.

    Docket Numbers: ER16-276-000.
    Applicants: Freepoint Commodities LLC.
    Description: Sec.  205(d) Rate Filing: Revised MBR Tariff re 784 &
SPP to be effective 11/7/2015.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5069.
    Comments Due: 5 p.m. ET 11/27/15.

    Docket Numbers: ER16-277-000.
    Applicants: Talen Energy Marketing, LLC.
    Description: Sec.  205(d) Rate Filing: Reactive Supply and Voltage
Control from Generation Sources Service to be effective 12/31/9998.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5070.
    Comments Due: 5 p.m. ET 11/27/15.

    Docket Numbers: ER16-278-000.
    Applicants: PJM Interconnection, L.L.C.
    Description: Sec.  205(d) Rate Filing: Service Agreement No. 4288;
Queue No. AA1-112 to be effective 10/13/2015.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5071.
    Comments Due: 5 p.m. ET 11/27/15.

    Docket Numbers: ER16-279-000.
    Applicants: Southwest Power Pool, Inc.
    Description: Sec.  205(d) Rate Filing: Ministerial Filing to
Correct Attachment AE Table of Contents to be effective 3/1/2014.
    Filed Date: 11/6/15..
    Accession Number: 20151106-5077
    Comments Due: 5 p.m. ET 11/27/15.

    Docket Numbers: ER16-280-000.
    Applicants: Arizona Public Service Company.
    Description: Sec.  205(d) Rate Filing: Rate Schedule No. 244--
Amendment 7 to be effective 1/6/2016.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5079.
    Comments Due: 5 p.m. ET 11/27/15.

    Docket Numbers: ER16-281-000.
    Applicants: Arizona Public Service Company.
    Description: Sec.  205(d) Rate Filing: Rate Schedule No. 217
Exhibit B.MEX to be effective 1/6/2016.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5092.
    Comments Due: 5 p.m. ET 11/27/15.

    Docket Numbers: ER16-282-000.
    Applicants: Arizona Public Service Company.
    Description: Sec.  205(d) Rate Filing: Rate Schedule No. 251--
Amendment 3 to be effective 1/6/2016.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5100.
    Comments Due: 5 p.m. ET 11/27/15.

    Docket Numbers: ER16-283-000.
    Applicants: Arizona Public Service Company.
    Description: Sec.  205(d) Rate Filing: Rate Schedule No. 273--
Amendment 1 to be effective 1/6/2016.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5101.

Comments Due: 5 p.m. ET 11/27/15.

    Docket Numbers: ER16-284-000.
    Applicants: Arizona Public Service Company.
    Description: Sec.  205(d) Rate Filing: Rate Schedule No. 33--
Exhibit A Revision 50 to be effective 1/6/2016.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5108.
    Comments Due: 5 p.m. ET 11/27/15.

    Docket Numbers: ER16-285-000.
    Applicants: NorthWestern Corporation.
    Description: Sec.  205(d) Rate Filing: Revised Point-to-Point TSAs
with Talen (SA 557 2nd Rev, 749 & 750) to be effective 11/9/2015.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5120.
    Comments Due: 5 p.m. ET 11/27/15.

    Docket Numbers: ER16-286-000.
    Applicants: ISO New England Inc., New England Power Pool
Participants Committee.
    Description: Sec.  205(d) Rate Filing: Revisions to ISO-NE Tariff
Related to Hourly Requirements under the FAP to be effective 1/8/2016.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5135.
    Comments Due: 5 p.m. ET 11/27/15.

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

    Docket Numbers: ES16-3-000.
    Applicants: PacifiCorp.
    Description: Revised Exhibits C, D and E to October 16, 2015
Application for Authorization to issue and sell up to $1.5 billion of
promissory notes or other evidences of unsecured short-term
indebtedness of PacifiCorp.
    Filed Date: 11/6/15.
    Accession Number: 20151106-5025.
    Comments Due: 5 p.m. ET 11/27/15.

    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: November 6, 2015.
Nathaniel J. Davis, Sr.,
Deputy Secretary.
[FR Doc. 2015-29143 Filed 11-13-15; 8:45 am]
BILLING CODE 6717-01-P


[Federal Register Volume 84, Number 241 (Monday, December 16, 2019)]
[Notices]
[Pages 68523-68529]
[FR Doc No: 2019-26988]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-87709; File No. SR-CboeEDGA-2019-021]

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice
of Filing and Immediate Effectiveness of a Proposed Rule Change To
Introduce a Small Retail Broker Distribution Program

December 10, 2019.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given that
on November 27, 20219, Cboe EDGA Exchange, Inc. (``Exchange'' or
``EDGA'') filed with the Securities and Exchange Commission
(``Commission'') the proposed rule change as described in Items I, II,
and III below, which Items have been prepared by the Exchange. The
Commission is publishing this notice to solicit comments on the
proposed rule change from interested persons.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
---------------------------------------------------------------------------

I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    Cboe EDGA Exchange, Inc. (``EDGA'' or the ``Exchange'') is filing
with the Securities and Exchange Commission (the ``Commission'') a
proposed rule change to introduce a Small Retail Broker Distribution
Program. The text of the proposed changes to the fee schedule are
enclosed [sic] as Exhibit 5.
    The text of the proposed rule change is also available on the
Exchange's website (http://markets.cboe.com/us/equities/regulation/rule_filings/edga/), at the Exchange's Office of the

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

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

1. Purpose
    The purpose of the proposed rule change is to introduce a pricing
program that would allow small retail brokers that purchase top of book
market data from the Exchange to benefit from discounted fees for
access to such market data. The Small Retail Broker Distribution
Program (the ``Program'') would reduce the distribution and
consolidation fees paid by small broker-dealers that operate a retail
business. In turn, the Program may increase retail investor access to
real-time U.S. equity quote and trade information, and allow the
Exchange to better compete for this business with competitors that
offer similar optional products. The Exchange initially filed to
introduce the Program on August 1, 2019 (``Initial Proposal'') to
further ensure that retail investors served by smaller firms have cost
effective access to its market data products, and as part of its
ongoing efforts to improve the retail investor experience in the public
markets. The Initial Proposal was published in the Federal Register on
August 20, 2019,\3\ and the Commission received no comment letters on
the Initial Proposal. The Program remained in effect until the fee
change was temporarily suspended pursuant to a suspension order (the
``Initial Suspension Order'').\4\ The Initial Suspension Order also
instituted proceedings to determine whether to approve or disapprove
the Initial Proposal.\5\ On October 1, 2019, the Exchange re-filed its
proposed rule change with additional information about the basis for
the proposed fee change (``Second Proposal), which as noted above is
designed to facilitate retail investor access to reasonably priced
market data. The Second Proposal was published in the Federal Register
on October 15, 2019,\6\ and the Commission received no commenter
letters on the Second Proposal. The Program again remained in effect
until the fee change was temporarily suspended pursuant to a suspension
order (the ``Second Suspension Order'').\7\ The Second Suspension Order
also instituted proceedings to determine whether to approve or
disapprove the Second Proposal.\8\
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    \3\ See Securities Exchange Act Release No. 86676 (August 14,
2019), 84 FR 43218 (August 20, 2019) (SR-CboeEDGA-2019-013).
    \4\ See Securities Exchange Act Release No. 87165 (September 30,
2019), 84 FR 53205 (October 4, 2019) (SR-CboeEDGA-2019-013).
    \5\ Id.
    \6\ See Securities Exchange Act Release No. 87294 (October 11,
2019), 84 FR 55638 (October 17, 2019) (SR-CboeEDGA-2019-015).
    \7\ See Securities Exchange Act Release No. 87634 (November 26,
2019) (SR-CboeEDGA-2019-015) (Federal Register publication pending).
    \8\ Id.
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Current Fees
    The Cboe One Summary Feed is a top of book data feed that provides
real-time U.S. equity quote and trade information to investors based on
equity orders submitted to the Exchange and its affiliated equities
exchanges--i.e., Cboe EDGX Exchange, Inc., Cboe BZX Exchange, Inc., and
Cboe BYX Exchange, Inc. Specifically, the Cboe One Summary Feed is a
data feed that contains the aggregate best bid and offer of all
displayed orders for securities traded on the Exchange and its
affiliated exchanges. The Cboe One Summary Feed also contains the
individual last sale information for the Exchange and each of its
affiliated exchanges, and consolidated volume for all listed equity
securities. The fee for external distribution of the Cboe One Summary
Feed is $5,000 per month, and external distributors are also liable for
a Data Consolidation Fee of $1,000 per month, and User fees equal to
$10 per month for each Professional User, and $0.25 per month for each
Non-Professional User.\9\
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    \9\ The Exchange also offers an Enterprise license for the Cboe
One Summary Feed at a cost of $50,000 per month. An Enterprise
license permits distribution to an unlimited number of Professional
and Non-Professional Users, keeping costs down for firms that
provide access to a large number of subscribers.
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Small Retail Broker Eligibility Requirements
    The Exchange proposes to introduce a Program that would reduce
costs for small retail brokers that provide top of book data to their
clients. In order to be approved for the Small Retail Broker
Distribution Program, Distributors would have to provide Cboe One
Summary Feed Data to a limited number of clients with which the firm
has established a brokerage relationship, and would have to provide
such data primarily to Non-Professional Data Users. Specifically,
distributors would have to attest that they meet the following
criteria: (1) Distributor is a broker-dealer distributing Cboe One
Summary Feed Data to Non-Professional Data Users with whom the broker-
dealer has a brokerage relationship; (2) At least 90% of the
Distributor's total Data User population must consist of Non-
Professional Data Users, inclusive of those not receiving Cboe One
Summary Feed Data; and (3) Distributor distributes Cboe One Summary
Feed Data to no more than 5,000 Non-Professional Data Users.
    These proposed requirements for participating in the Program are
designed to ensure that the benefits provided by the Program inure to
the benefit of small retail brokers that provide Cboe One Summary Feed
Data to a limited number of subscribers. As explained later in this
filing, distributors that provide Cboe One Summary Feed Data to a
larger number of subscribers can benefit from the current pricing
structure through scale, due to subscriber fees that are significantly
lower than those charged by the Exchange's competitors, and an
Enterprise license that caps the total fees to be paid by firms that
distribute market data to a sizeable customer base. The Exchange
believes that offering similarly attractive pricing to small retail
brokers, including regional firms both inside and outside of the U.S.
that may not have the same established client base as the larger retail
brokers, would make the Exchange's data a more competitive alternative
for those firms, and would help ensure that such information is widely
available to a larger number of retail investors globally. The Program
would also be available to retail brokers more generally, regardless of
size, that wish to trial the Cboe One Summary Feed with a limited
number of subscribers before potentially expanding distribution to
additional clients, potentially further increasing the accessibility of
the Exchange's market data to retail investors. The Program would be
exclusive to the Cboe One Summary Feed, which is a top of book
offering, as retail investors typically do not need or use depth of
book data to facilitate their equity investments, and their brokers

typically do purchase such market data on their behalf.
Discounted Fees
    Distributors that participate in the Program would be liable for
lower distribution and consolidation fees for access to the Cboe One
Summary Data Feed.\10\ The distribution fee charged for the Cboe One
Summary Feed would be lowered by 30% from the current $5,000 per month
to $3,500 per month for distributors that meet the requirements of the
Program. In addition, the Data Consolidation Fee charged for the Cboe
One Summary Feed would be lowered by 65% from the current $1,000 per
month to $350 per month. User fees for any Professional or Non-
Professional Users that access Cboe One Summary Feed data from a
distributor that participates in the Program would remain at their
current levels as the current subscriber charges are already among the
most competitive in the industry.\11\
---------------------------------------------------------------------------

    \10\ New external distributors of the Cboe One Summary Feed are
not currently charged external distributor fees for their first
month of service. This would continue to be the case for external
distributors that participate in the Program.
    \11\ By comparison, The Nasdaq Stock Market LLC (``Nasdaq'')
charges a subscriber fee for Nasdaq Basic that adds up to $26 per
month for Professional Subscribers and $1 per month for Non-
Professional Subscribers (Tapes A, B, and C). See Nasdaq Equity
Rules, Equity 7, Pricing Schedule, Section 147(b)(1).
---------------------------------------------------------------------------

    The Exchange believes that these fees, which represent a
significant cost savings for small retail brokers, would help ensure
that retail investors continue to have fair and efficient access to
U.S. equity market data. While retail investors normally pay a fixed
commission when buying or selling equities, and do not typically pay
separate fees for market data, the Exchange believes that the proposed
reduction in fees would make the Exchange's data more competitive with
other available alternatives, and may encourage retail brokers to make
such data more readily available to their clients. In sum, the Exchange
believes that the proposed fee reductions may facilitate more cost
effective access to top of book data that is purchased on a voluntary
basis by retail brokers and provided to their retail investor clients.
Market Background
    The market for top of book data is highly competitive as national
securities exchanges compete both with each other and with the
securities information processors (``SIPs'') to provide efficient,
reliable, and low cost data to a wide range of investors and market
participants. In fact, Regulation NMS requires all U.S. equities
exchanges to provide their best bids and offers, and executed
transactions, to the two registered SIPs for dissemination to the
public. Top of book data is therefore widely available to investors
today at a relatively modest cost. National securities exchanges may
also disseminate their own top of book data, but no rule or regulation
of the Commission requires market participants to purchase top of book
data from an exchange.\12\ The Cboe One Summary Feed therefore competes
with the SIP and with similar products offered by other national
securities exchanges that offer their own competing top of book
products. In fact, there are ten competing top of book products offered
by other national securities exchanges today, not counting products
offered by the Exchange's affiliates.\13\
---------------------------------------------------------------------------

    \12\ By contrast, Rule 603(c) of Regulation NMS (the ``Vendor
Display Rule'') effectively requires that SIP data or some other
consolidated display be utilized in any context in which a trading
or order-routing decision can be implemented.
    \13\ Competing top of book products include, Nasdaq Basic, BX
Basic, PSX Basic, NYSE BQT, NYSE BBO/Trades, NYSE Arca BBO/Trades,
NYSE American BBO/Trades, NYSE Chicago BBO/Trades, and IEX TOPS.
---------------------------------------------------------------------------

    The purpose of the proposed rule change is to further increase the
competitiveness of the Exchange's top of book market data products
compared to competitor offerings that may currently be cheaper for
firms with a limited subscriber base that do not yet have the scale to
take advantage of the lower subscriber fees offered by the Exchange. In
turn, the Exchange believes that this change may benefit market
participants and investors by spurring additional competition and
increasing the accessibility of the Exchange's top of book data.
    As explained, the Exchange filed the Initial Proposal to introduce
the Program in August in order to provide an attractive pricing option
for small retail brokers. Although that filing was ultimately suspended
by the Commission, and a Second Proposal filed and withdrawn [sic], the
Exchange believes that its experience in offering the Program while it
has been in effect reflect the competitive nature of the market for the
creation and distribution of top of book data. Specifically, after the
Exchange reduced the fees charged to small retail brokers under the
Initial Proposal and Second Proposal, it successfully onboarded two new
customers due to the attractive pricing.\14\ These customers are now
able to offer high quality and cost effective data to their retail
investor clients. The Exchange has also been discussing the Program
with a handful of additional prospective clients that are interested in
providing top of book data to retail investors. Without the proposed
pricing discounts, the Exchange believes that those customers and
prospective customers may not be interested in purchasing top of book
data from the Exchange, and would instead purchase such data from other
national securities exchanges or the SIPs, potentially at a higher cost
than would be available pursuant to the Program. The Program has
therefore already been successful in increasing competition for such
market data, and continued operation of the Program would serve to both
reduce fees for such customers and to provide alternatives to data and
pricing offered by competitors. Ultimately, the Exchange believes that
it is critical that it be allowed to compete by offering attractive
pricing to customers as increasing the availability of such products
ensures continued competition with alternative offerings. Such
competition may be constrained when competitors are impeded from
offering alternative and cost effective solutions to customers.
---------------------------------------------------------------------------

    \14\ See e.g., Cboe Innovation Spotlight, ``dough--The
commission-free online broker with premium content and insights,''
available at https://markets.cboe.com/us/equities/market_data_products/spotlight/. The second customer will begin
participating in the Program on December 1, 2019.
---------------------------------------------------------------------------

2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with the objectives of Section 6 of the Act,\15\ in general, and
furthers the objectives of Section 6(b)(4),\16\ in particular, as it is
designed to provide for the equitable allocation of reasonable dues,
fees and other charges among its members and other recipients of
Exchange data.
---------------------------------------------------------------------------

    \15\ 15 U.S.C. 78f.
    \16\ 15 U.S.C. 78f(b)(4).
---------------------------------------------------------------------------

    The Exchange also believes that the proposed rule change is
consistent with Section 11(A) of the Act.\17\ Specifically, the
proposed rule change supports (i) fair competition among brokers and
dealers, among exchange markets, and between exchange markets and
markets other than exchange markets, and (ii) the availability to
brokers, dealers, and investors of information with respect to
quotations for and transactions in securities. In addition, the
proposed rule change is consistent with Rule 603 of Regulation NMS,\18\
which provides that any national securities exchange that distributes
information with respect to quotations for or transactions in an

NMS stock do so on terms that are not unreasonably discriminatory.
---------------------------------------------------------------------------

    \17\ 15 U.S.C. 78k-1.
    \18\ See 17 CFR 242.603.
---------------------------------------------------------------------------

    In adopting Regulation NMS, the Commission granted SROs and broker-
dealers increased authority and flexibility to offer new and unique
market data to the public. It was believed that this authority would
expand the amount of data available to consumers, and also spur
innovation and competition for the provision of market data. The
Exchange believes that the proposed fee change would further broaden
the availability of U.S. equity market data to investors, and in
particular retail investors, consistent with the principles of
Regulation NMS.
    The Exchange operates in a highly competitive environment. Indeed,
there are thirteen registered national securities exchanges that trade
U.S. equities and offer associated top of book market data products to
their customers. The national securities exchanges also compete with
the SIPs for market data customers. The Commission has repeatedly
expressed its preference for competition over regulatory intervention
in determining prices, products, and services in the securities
markets. Specifically, in Regulation NMS, the Commission highlighted
the importance of market forces in determining prices and SRO revenues
and, also, recognized that current regulation of the market system
``has been remarkably successful in promoting market competition in its
broader forms that are most important to investors and listed
companies.'' \19\ The proposed fee change is a result of the
competitive environment, as the Exchange seeks to amend its fees to
attract additional subscribers for its proprietary top of book data
offerings.
---------------------------------------------------------------------------

    \19\ See Securities Exchange Act Release No. 51808 (June 9,
2005), 70 FR 37496, 37499 (June 29, 2005) (``Regulation NMS Adopting
Release'').
---------------------------------------------------------------------------

    The proposed fee change would reduce fees charged to small retail
brokers that provide access to the Cboe One Summary Feed. The Cboe One
Summary Feed is a competitively-priced alternative to top of book data
disseminated by SIPs, or similar data disseminated by other national
securities exchanges.\20\ It provides subscribers with consolidated top
of book quotes and trades from four Cboe U.S. equities markets, which
together account for about 17% of consolidated U.S. equities trading
volume.\21\ The Cboe One Summary Feed is purchased by a wide variety of
market participants and vendors, including data platforms, websites,
fintech firms, buy-side investors, retail brokers, regional banks, and
securities firms inside and outside of the U.S. that desire low cost,
high quality, real-time U.S. equity market data. By providing lower
cost access to U.S. equity market data, the Cboe One Summary Feed
benefits a wide range of investors that participate in the national
market system. Reducing fees for broker-dealers that represent retail
investors and that may have more limited resources than some of their
larger competitors would further increase access to such data and
facilitate a competitive market for U.S. equity securities, consistent
with the goals of the Act.
---------------------------------------------------------------------------

    \20\ See e.g., supra note 11 (discussing Nasdaq Basic).
    \21\ Id.
---------------------------------------------------------------------------

    While the Exchange is not required to make any data, including top
of book data, available through its proprietary market data platform,
the Exchange believes that making such data available increases
investor choice, and contributes to a fair and competitive market.
Specifically, making such data publicly available through proprietary
data feeds allows investors to choose alternative, potentially less
costly, market data based on their business needs. While some market
participants that desire a consolidated display choose the SIP for
their top of book data needs, and in some cases are effectively
required to do so under the Vendor Display Rule, others may prefer to
purchase data directly from one or more national securities exchanges.
For example, a buy-side investor may choose to purchase the Cboe One
Summary Feed, or a similar product from another exchange, in order to
perform investment analysis. The Cboe One Summary Feed represents
quotes from four highly liquid equities markets. As a result, the Cboe
One Summary Feed is within 1% of the national best bid and offer
approximately 98% of the time,\22\ and therefore serves as a valuable
reference for investors that do not require a consolidated display that
contains quotations for all U.S. equities exchanges. Making alternative
products available to market participants ultimately ensures increased
competition in the marketplace, and constrains the ability of exchanges
to charge supracompetitive fees. In the event that a market participant
views one exchanges top of book data fees as more or less attractive
than the competition they can and frequently do switch between
competing products. In fact, the competiveness of the market for such
top of book data products is one of the primary factors animating this
proposed rule change, which is designed to allow the Exchange to
further compete for this business.
---------------------------------------------------------------------------

    \22\ See https://markets.cboe.com/us/equities/market_data_services/cboe_one/.
---------------------------------------------------------------------------

    Indeed, the Exchange has already successfully onboarded two new
Distributors that have decided to purchase Cboe One Summary Data from
the Exchange rather than purchasing top of book data from a competitor
exchange. In addition, the Exchange is in discussions with a handful of
other Distributors that are interested in procuring market data from
the Exchange due to the attractive pricing offered pursuant to the
Program. Distributors can discontinue use at any time and for any
reason, including due to an assessment of the reasonableness of fees
charged. Further, firms have a wide variety of alternative market data
products from which to choose, such as similar proprietary data
products offered by other national securities exchanges. Making the
Exchange's top of book data available at a lower cost, ultimately
serves the interests of retail investors that rely on the public
markets. The Exchange understands that the Commission is interested in
ensuring that retail investors are appropriately served in the U.S.
equities market. The Exchange agrees that it is important to ensure
that our markets continue to serve the needs of ordinary investors, and
the Program is consistent with this goal.
    The Exchange believes that the proposed fees are reasonable as they
represent a significant cost reduction for smaller, primarily regional,
retail brokers that provide top of book data from EDGA and its
affiliated equities exchanges to their retail investor clients. The
market for top of book data is intensely competitive due to the
availability of substitutable products that can be purchased either
from other national securities exchanges, or from registered SIPs that
make such top of book data publicly available to investors at a modest
cost. The proposed fee reduction is being made to make the Exchange's
fees more competitive with such offerings for this segment of market
participants, thereby increasing the availability of the Exchange's
data products, and expanding the options available to firms making data
purchasing decisions based on their business needs. The Exchange
believes that this is consistent with the principles enshrined in
Regulation NMS to ``promote the wide availability of market data and to
allocate revenues to SROs that produce the most useful data for
investors.'' \23\
---------------------------------------------------------------------------

    \23\ See Regulation NMS Adopting Release, supra note 19, at
37503.

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

    Today, the Cboe One Summary Feed is among the most competitively
priced top of book offerings in the industry due to modest subscriber
fees, and a lower Enterprise cap, both of which keep fees at a
relatively modest level for larger firms that provide market data to a
sizeable number of Professional or Non-Professional Users. Distributors
with a smaller user base, however, may choose to use competitor
products that have a lower distribution fee and higher subscriber fees.
The Program would help the Exchange compete for this segment of the
market, and may broaden the reach of the Exchange's data products by
providing an additional low cost alternative to competitor products for
small retail brokers. While such firms may already utilize similar
market data products from other sources, the Exchange believes that
offering its own data to small retail brokers at lower distribution and
data consolidation costs has the potential to increase choice for
market participants, and ultimately increase the data available to
retail investors when coupled with the Exchange's lower subscriber
fees.
    The Exchange also believes that the proposed fees are equitable and
not unfairly discriminatory as the proposed fee structure is designed
to decrease the price and increase the availability of U.S. equities
market data to retail investors. The Program is designed to reduce the
cost of top of book market data for broker-dealers that provide such
data to Non-Professional Data User clients that make up a significant
majority of the distributor's total subscriber population. While there
is no ``exact science'' to choosing one eligibility threshold compared
to another, the Exchange believes that having significantly more Non-
Professional Data Users than Professional Data User across a firm's
entire business, i.e., not limited exclusively to Data Users that are
provided access to the Exchange's data products, is indicative of a
broker-dealer that is primarily and actively engaged in the business of
serving retail investors.
    This understanding is confirmed by an analysis conducted by the
Exchange on the user population of its retail broker clients that
purchase market data from the Exchange and its affiliated exchanges.
When the Exchange initially filed to introduce the Program, it included
a simple majority requirement--i.e., more than 50% of the broker
dealer's user population would have to be Non-Professional Users. The
Exchange's experience to date has been that this requirement has been
sufficient to ensure that the benefits of the Program go to retail
brokers, and indeed each of the current customers that participate in
or are soon to participate in the Program have been focused on
providing trading services to ordinary investors. Based on additional
analysis, however, the Exchange believes that this threshold can be
safely increased to require at least 90% Non-Professional Users, as
proposed today, without limiting the benefits provided to broker
dealers that primarily serve retail investors. To perform its analysis,
the Exchange reviewed user populations for each broker dealer that it
identified as primarily engaged in serving retail investors (i.e.,
retail brokers), and for which the Exchange has reported usage broken
down into Professional and Non-Professional Users.\24\ This analysis
showed that each retail broker identified currently provides market
data from the Exchange or its affiliates to at least 90% Non-
Professional Users, with the Professional/Non-Professional breakdown
ranging from 90.9% Non-Professional Users on the low end to 100% Non-
Professional Users on the high end.
---------------------------------------------------------------------------

    \24\ Broker dealers with an Enterprise license are required to
report total user populations but not whether each user is a
Professional or Non-Professional User. As a result, the Exchange has
excluded those firms from this portion of its analysis. That said,
the Exchange believes those firms may have a similar Professional/
Non-Professional breakdown to other retail brokers.
---------------------------------------------------------------------------

    As such, even with the higher threshold proposed, the Program would
be broadly available to a wide range of retail brokers that either
purchase the Cboe One Summary Feed today, or that may choose to switch
from competing products due to the potential cost savings. In addition
to the subscribers that are participating and are soon to participate
in the Program, a number of distributors that currently purchase top of
book data from one of the four Cboe U.S. equities exchanges, and many
more prospective customers, could benefit from the Program. Each of
these current or prospective retail broker customers would receive the
same benefits in terms of reduced distribution and consolidation fees
based on the product that they purchase from the Exchange.
    The Commission has long stressed the need to ensure that the
equities markets are structured in a way that meets the needs of
ordinary investors. For example, the Commission's strategic plan for
fiscal years 2018-2022 touts ``focus on the long-term interests of our
Main Street investors'' as the Commission's number one strategic
goal.\25\ The Program would be consistent with the Commission's stated
goal of improving the retail investor experience in the public markets.
Furthermore, national securities exchanges commonly charge reduced fees
and offer market structure benefits to retail investors, and the
Commission has consistently held that such incentives are consistent
with the Act. The Exchange believes that the Program is consistent with
longstanding precedent indicating that it is consistent with the Act to
provide reasonable incentives to retail investors that rely on the
public markets for their investment needs.
---------------------------------------------------------------------------

    \25\ See U.S. Securities and Exchange Commission, Strategic
Plan, Fiscal Years 2018-2022, available at https://www.sec.gov/files/SEC_Strategic_Plan_FY18-FY22_FINAL_0.pdf.
---------------------------------------------------------------------------

    In addition, while the Program would be effectively limited to
smaller firms that distribute data to no more than 5,000 Non-
Professional Data Users, the Exchange does not believe that this
limitation makes the fees inequitable, unfairly discriminatory, or
otherwise contrary to the purposes of the Act. The Program is designed
to ensure that small retail brokers have access to Exchange data at a
modest cost, and therefore contains an eligibility cutoff based on the
number of Non-Professional Users that would receive Cboe One Summary
Feed Data. The retail broker clients identified by the Exchange provide
data from the Exchange or its affiliates to an average of more than
160,000 Non-Professional Users, with a small handful of large retail
brokers operating pursuant to an Enterprise license accounting for
about 95% of those Non-Professional Users.\26\ Many retail broker
clients, however, have significantly smaller Non-Professional User
populations, with retail brokers that are not operating pursuant to an
Enterprise license providing data from the Exchange or its affiliates
to an average of 8,845 Non-Professional Users. The 5,000 Non-
Professional User threshold would therefore ensure that the benefits of
the Program flow to small retail brokers, as intended, and not larger
firms that already benefit from the current fee structure.
---------------------------------------------------------------------------

    \26\ As explained, broker dealers with an Enterprise license are
required to report total user populations but not whether each user
is a Professional or Non-Professional User. See supra note 24. To
perform this analysis, the Exchange therefore assumed that retail
brokers qualifying for the enterprise cap had a similar breakdown of
Professional/Non-Professional Users as retail brokers that reported
this information.
---------------------------------------------------------------------------

    Large broker-dealers and/or vendors that distribute the Exchange's
data products to a sizeable number of investors benefit from the
current fee structure, which includes lower subscriber fees and
Enterprise licenses. Due to lower subscriber fees, distributors that
provide Cboe One

Summary Feed Data to more than 5,000 Non-Professional Data Users
already enjoy cost savings compared to competitor products. The Program
would therefore ensure that small retail brokers that distribute top of
book data to their retail investor customers could also benefit from
reduced pricing, and would aid in increasing the competitiveness of the
Exchange's data products for this key segment of the market.
    The table below illustrates the impact of the proposed pricing on
firms that qualify for the Program, both compared to the Exchange's
current pricing, and compared to the fees charged for a competitor
product, i.e., Nasdaq Basic. As shown, Cboe One Summary Feed Data
provided pursuant to the Program would be cheaper than Nasdaq Basic for
firms with more than 1,200 Non-Professional Users, and the benefits of
the pricing structure would continue to scale up to firms with 5,000
Non-Professional Users. After 5,000 Non-Professional Users the firm
would no longer be eligible for the Small Retail Broker Distribution
Program but would already enjoy significant cost savings compared to
Nasdaq Basic under the current pricing structure. The Exchange
therefore believes that the Program would allow the Exchange to better
compete with competitors for smaller firms that currently pay a lower
fee under, for example, the Nasdaq Basic pricing model, while also
ensuring that larger firms continue to receive attractive pricing that
is already cheaper than top of book data offered by the main competitor
product. The Exchange believes this supplemental information further
validates its assessment that the proposed fee reduction is reasonable,
equitable, and not unfairly discriminatory. Without the proposed fee
reduction, small retail brokers that would otherwise qualify for the
reduced fees proposed would be subject to either higher fees for
accessing Exchange top of book data, or may switch to competitor
offerings that are also less cost effective, but at current fees
levels, cheaper than the current Cboe One Summary fee.
BILLING CODE 8011-01-P
[GRAPHIC] [TIFF OMITTED] TN16DE19.067

BILLING CODE 8011-01-C

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

    The Exchange does not believe that the proposed rule change would
result in any burden on competition that is not necessary or
appropriate in furtherance of the purposes of the Act. The Exchange
operates in a highly competitive environment, and its ability to price
these data products is constrained by: (i) Competition among exchanges
that offer similar data products to their customers; and (ii) the
existence of inexpensive real-time consolidated data disseminated by
the SIPs. Top of book data is disseminated by both the SIPs and the
thirteen equities exchanges. There are therefore a number of
alternative products available to market participants and investors. In
this competitive environment potential subscribers are free to choose
which competing product to purchase to satisfy their need for market
information. Often, the choice comes down to price, as broker-dealers
or vendors look to purchase the cheapest top of book data product, or
quality, as market participants seek to purchase data that represents
significant market liquidity. In order to better compete for this
segment of the market, the Exchange is proposing to reduce the cost of
top of book data provided by small retail brokers to their retail
investor clients. The Exchange believes that this would facilitate
greater access to such data, ultimately benefiting the retail investors
that are provided access to such market data.
    The Exchange does not believe that this price reduction would cause
any unnecessary or inappropriate burden on intermarket competition as
other exchanges and data vendors are free to lower their prices to
better compete with the Exchange's offering. Indeed, as explained in
the basis section of this proposed rule change, the Exchange's decision
to lower its distribution and consolidation fees for small retail
brokers is itself a competitive response to different fee structures
available on competing markets. The Exchange therefore believes that
the proposed rule change is pro-competitive as it seeks to offer
pricing incentives to customers to better position the Exchange as it
competes to attract additional market data subscribers. The Exchange
also believes that the proposed reduction in fees for small retail
brokers would not cause any unnecessary or inappropriate burden on
intramarket competition. Although the proposed fee discount would be
largely limited to small retail broker subscribers, larger broker-
dealers and vendors can already purchase top of book data from the
Exchange at prices that represent a significant cost savings when
compared to competitor products that combine higher subscriber fees
with lower fees for distribution. In light of the benefits already
provided to this group of subscribers, the Exchange believes that
additional discounts to small retail brokers would increase rather than
decrease competition among broker-dealers that participate on the
Exchange. Furthermore, as discussed earlier in this proposed rule
change, the Exchange believes that offering pricing benefits to brokers
that represent retail investors facilitates the Commission's mission of
protecting ordinary investors, and is therefore consistent with the
Act.

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

    No written comments were either solicited or received.

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

    The foregoing rule change has become effective pursuant to Section
19(b)(3)(A) of the Act \27\ and paragraph (f) of Rule 19b-4 \28\
thereunder. 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 will institute proceedings to
determine whether the proposed rule change should be approved or
disapproved.
---------------------------------------------------------------------------

    \27\ 15 U.S.C. 78s(b)(3)(A).
    \28\ 17 CFR 240.19b-4(f).
---------------------------------------------------------------------------

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-CboeEDGA-2019-021 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-CboeEDGA-2019-021. 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-CboeEDGA-2019-021 and should be
submitted on or before January 6, 2020.

    For the Commission, by the Division of Trading and Markets,
pursuant to delegated authority.\29\
---------------------------------------------------------------------------

    \29\ 17 CFR 200.30-3(a)(12).
---------------------------------------------------------------------------

Jill M. Peterson,
Assistant Secretary.
[FR Doc. 2019-26988 Filed 12-13-19; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register Volume 80, Number 127 (Thursday, July 2, 2015)]
[Notices]
[Page 38210]
[FR Doc No: 2015-16365]

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DEPARTMENT OF HEALTH AND HUMAN SERVICES

Food and Drug Administration

[Docket No. FDA-2015-N-0001]

New Methods To Predict the Immunogenicity of Therapeutic
Coagulation Proteins; Public Workshop

AGENCY: Food and Drug Administration, HHS.

ACTION: Notice of public workshop.

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

    The Food and Drug Administration (FDA) is announcing a public
workshop entitled: ``New Methods to Predict the Immunogenicity of
Therapeutic Coagulation Proteins''. The purpose of the public workshop
is to discuss recent scientific progress in identifying the genetic
determinants for an unwanted immune response to therapeutic coagulation
proteins (immunogenicity), and to identify and discuss potential new
methods to predict such immunogenicity. Immunogenicity results in the
development of antibodies that target the therapeutic protein and can
affect the safety and efficacy of the biological product. The workshop
has been planned in partnership with the National Heart, Lung and Blood
Institute, National Institutes of Health (NIH), the National Hemophilia
Foundation, and the Plasma Protein Therapeutics Association. The
workshop will include presentations and panel discussions by experts
from academic institutions, industry, and government Agencies.
    Date and Time: The public workshop will be held on September 17,
2015, from 8:30 a.m. to 5 p.m. and on September 18, 2015, from 8:30
a.m. to 12 p.m.
    Location: The public workshop will be held at the Ruth Kirschstein
Auditorium, Natcher Conference Center, Bldg. 45, National Institutes of
Health Campus, 9000 Rockville Pike, Bethesda, MD 20892. The entrance
for the public workshop participants (non-NIH employees) is through the
NIH Gateway Center located adjacent to the Medical Center Metro, where
routine security check procedures will be performed. Please visit the
following Web site for location, parking, security, and travel
information: http://www.nih.gov/about/visitor/index.htm. Please visit
the following Web site for information on the Natcher Conference
Center: http://www.genome.gov/11007522.
    Contact Person: Freddy Barnes, Center for Biologics Evaluation and
Research, Food and Drug Administration, 10903 New Hampshire Ave.,
Silver Spring, MD 20993,<PHONE_NUMBER><EMAIL_ADDRESS>For
questions email<EMAIL_ADDRESS>(Subject line: FDA
MPICPDT Workshop).
    Registration: Please visit the following Web site to register for
the workshop by August 27, 2015: http://methodspredictimmunogenicity.eventbrite.com. There is no registration
fee for the public workshop. Early registration is recommended because
seating is limited. Registration on the day of the public workshop will
be provided on a space available basis beginning at 8:15 a.m.
    If you need special accommodations due to a disability, please
contact Freddy Barnes (see Contact Person) at least 7 days in advance.
    Supplementary Information: The development of unwanted immune
responses to therapeutic coagulation protein products may affect both
product efficacy and patient safety. In the case of replacement
coagulation protein therapies, the inhibitory anti-drug antibodies also
interact with the endogenous protein and may result in serious adverse
events in patients. Both product and patient specific factors may
affect the immunogenicity of therapeutic coagulation protein products.
There are currently several initiatives underway to assess the genetic
basis for developing unwanted immune responses to coagulation protein
products in individuals with hemophilia, which will result in the
accumulation of large data sets over the next few years. The workshop
aims to address what patients, healthcare professionals and regulators
may do with this information to improve patient outcomes.
    In addition, an unprecedented number of new engineered recombinant
coagulation proteins are in development. This workshop will discuss the
state-of-the art with respect to leveraging scientific progress to
predict the immunogenicity of protein amino acid sequences that do not
exist in nature, and whether there is a need for novel strategies in
the design and conduct of clinical trials for these products.
    The first day of the workshop will include presentations and panel
discussions on the following topics: (1) Overview of the current
understanding of genetic factors that affect immunogenicity of
therapeutic coagulation proteins; (2) recent advances in immunology
relevant to immunogenicity; (3) emerging computational, in vitro and ex
vivo tools to predict the immunogenicity of therapeutic coagulation
proteins and how these tools may be evaluated in a clinical setting;
and (4) initiatives to determine the genetic factors that affect
immunogenicity of coagulation protein products in individuals with
hemophilia and strategies to optimize the outcome data.
    The second day of the workshop will include presentations and panel
discussions on the following topics: (1) Challenges related to the
development of novel recombinant coagulation protein products; (2) a
round-table discussion and question and answer session; and (3)
workshop summary.
    Transcripts: Please be advised that as soon as possible after a
transcript of this public workshop will be available, it will be
accessible at: http://www.fda.gov/BiologicsBloodVaccines/NewsEvents/WorkshopsMeetingsConferences/ucm438035.htm. Transcripts of the public
workshop may also be requested in writing from the Division of Freedom
of Information (ELEM-1029), Food and Drug Administration, 12420
Parklawn Dr., Rockville, MD 20857.

    Dated: June 29, 2015.
Leslie Kux,
Associate Commissioner for Policy.
[FR Doc. 2015-16365 Filed 7-1-15; 8:45 am]
BILLING CODE 4164-01-P