[Federal Register Volume 82, Number 195 (Wednesday, October 11, 2017)]
[Notices]
[Pages 47314-47316]
[FR Doc No: 2017-21879]

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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

[Docket No. FMCSA-2012-0050; FMCSA-2012-0294; FMCSA-2013-0106; FMCSA-
2014-0214; FMCSA-2014-0216; FMCSA-2014-0381; FMCSA-2015-0115; FMCSA-
2015-0116; FMCSA-2015-0117]

Qualification of Drivers; Exemption Applications; Epilepsy and
Seizure Disorders

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

ACTION: Notice of renewal of exemptions; request for comments.

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SUMMARY: FMCSA announces its decision to renew exemptions for 12
individuals from the requirement in the Federal Motor Carrier Safety
Regulations (FMCSRs) that interstate commercial motor vehicle (CMV)
drivers have ``no established medical history or clinical diagnosis of
epilepsy or any other condition which is likely to cause loss of
consciousness or any loss of ability to control a CMV.'' The exemptions
enable these individuals who have had one or more seizures and are
taking anti-seizure medication to continue to operate CMVs in
interstate commerce.

DATES: The exemptions were applicable on September 12, 2017. The
exemptions expire on September 12, 2019. Comments must be received on
or before November 13, 2017.

FOR FURTHER INFORMATION CONTACT: Ms. Christine A. Hydock, Chief,
Medical Programs Division,<PHONE_NUMBER><EMAIL_ADDRESS>FMCSA,
Department of Transportation, 1200 New Jersey Avenue SE., Room W64-224,
Washington, DC 20590-0001. Office hours are from 8:30 a.m. to 5 p.m.,
e.t., Monday through Friday,

except Federal holidays. If you have questions regarding viewing or
submitting material to the docket, contact Docket Services, telephone
(202) 366-9826.

ADDRESSES: You may submit comments bearing the Federal Docket
Management System (FDMS) Docket No. FMCSA-2012-0050; FMCSA-2012-0294;
FMCSA-2013-0106; FMCSA-2014-0214; FMCSA-2014-0216; FMCSA-2014-0381;
FMCSA-2015-0115; FMCSA-2015-0116; FMCSA-2015-0117 using any of the
following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the online instructions for submitting
comments.
     Mail: Docket Management Facility; U.S. Department of
Transportation, 1200 New Jersey Avenue SE., West Building Ground Floor,
Room W12-140, Washington, DC 20590-0001.
     Hand Delivery: West Building Ground Floor, Room W12-140,
1200 New Jersey Avenue SE., Washington, DC, between 9 a.m. and 5 p.m.,
e.t., Monday through Friday, except Federal Holidays.
     Fax: 1-202-493-2251.
    Instructions: Each submission must include the Agency name and the
docket number(s) for this notice. Note that all comments received will
be posted without change to http://www.regulations.gov, including any
personal information provided. Please see the Privacy Act heading below
for further information.
    Docket: For access to the docket to read background documents or
comments, go to http://www.regulations.gov at any time or Room W12-140
on the ground level of the West Building, 1200 New Jersey Avenue SE.,
Washington, DC, between 9 a.m. and 5 p.m., e.t., Monday through Friday,
except Federal holidays. The FDMS is available 24 hours each day e.t.,
365 days each year. If you want acknowledgment that we received your
comments, please include a self-addressed, stamped envelope or postcard
or print the acknowledgement page that appears after submitting
comments online.
    Privacy Act: In accordance with 5 U.S.C. 553(c), DOT solicits
comments from the public to better inform its rulemaking process. DOT
posts these comments, without edit, including any personal information
the commenter provides, to http://www.regulations.gov, as described in
the system of records notice (DOT/ALL-14 FDMS), which can be reviewed
at http://www.dot.gov/privacy.

I. Background

    Under 49 U.S.C. 31136(e) and 31315, FMCSA may grant an exemption
for five years if it finds ``such exemption would likely achieve a
level of safety that is equivalent to or greater than the level that
would be achieved absent such exemption.'' The statute also allows the
Agency to renew exemptions at the end of the five-year period. FMCSA
grants exemptions from the FMCSRs for a two-year period to align with
the maximum duration of a driver's medical certification.
    The physical qualification standard for drivers regarding epilepsy
found in 49 CFR 391.41(b)(8) states that a person is physically
qualified to drive a CMV if that person:

    Has no established medical history or clinical diagnosis of
epilepsy or any other condition which is likely to cause the loss of
consciousness or any loss of ability to control a CMV.

    In addition to the regulations, FMCSA has published advisory
criteria to assist Medical Examiners in determining whether drivers
with certain medical conditions are qualified to operate a CMV in
interstate commerce. [49 CFR part 391, APPENDIX A TO PART 391--MEDICAL
ADVISORY CRITERIA, section H. Epilepsy: Sec.  391.41(b)(8), paragraphs
3, 4, and 5.]
    The 12 individuals listed in this notice have requested renewal of
their exemptions from the epilepsy and seizure disorders prohibition in
49 CFR 391.41(b)(8), in accordance with FMCSA procedures. Accordingly,
FMCSA has evaluated these applications for renewal on their merits and
decided to extend each exemption for a renewable two-year period.

II. Request for Comments

    Interested parties or organizations possessing information that
would otherwise show that any, or all, of these drivers are not
currently achieving the statutory level of safety should immediately
notify FMCSA. The Agency will evaluate any adverse evidence submitted
and, if safety is being compromised or if continuation of the exemption
would not be consistent with the goals and objectives of 49 U.S.C.
31136(e) and 31315, FMCSA will take immediate steps to revoke the
exemption of a driver.

III. Basis for Renewing Exemptions

    In accordance with 49 U.S.C. 31136(e) and 31315, each of the 12
applicants has satisfied the renewal conditions for obtaining an
exemption from the epilepsy and seizure disorders prohibition. The 12
drivers in this notice remain in good standing with the Agency, have
maintained their medical monitoring and have not exhibited any medical
issues that would compromise their ability to safely operate a CMV
during the previous two-year exemption period. In addition, for
Commercial Driver's License (CDL) holders, the Commercial Driver's
License Information System (CDLIS) and the Motor Carrier Management
Information System (MCMIS) are searched for crash and violation data.
For non-CDL holders, the Agency reviews the driving records from the
State Driver's Licensing Agency (SDLA). These factors provide an
adequate basis for predicting each driver's ability to continue to
safely operate a CMV in interstate commerce. Therefore, FMCSA concludes
that extending the exemption for each renewal applicant for a period of
two years is likely to achieve a level of safety equal to that existing
without the exemption.
    In accordance with 49 U.S.C. 31136(e) and 31315, each driver has
received a renewed exemption.
    As of September 12, 2017, and in accordance with 49 U.S.C. 31136(e)
and 31315, the following 12 individuals have satisfied the renewal
conditions for obtaining an exemption from the epilepsy and seizure
disorders prohibition in the FMCSRs for interstate CMV drivers:

Ronald Boogay, (NJ)
Todd W. Brock, (CO)
Matthew J. Chizek, (WI)
Paul E. Granger, (MI)
Jason C. Kirkham, (WI)
Michael K. Lail, (NC)
Ivan M. Martin, (PA)
Charles A. McCarthy, III, (MA)
Douglas S. Slagel, (OH)
William L. Swann, (MD)
Cory R. Wagner, (IL)
Timothy M. Zahratka, (MN)

    The drivers were included in docket numbers FMCSA-2012-0050; FMCSA-
2012-0294; FMCSA-2013-0106; FMCSA-2014-0214; FMCSA-2014-0216; FMCSA-
2014-0381; FMCSA-2015-0115; FMCSA-2015-0116; FMCSA-2015-0117. Their
exemptions are applicable as of September 12, 2017, and will expire on
September 12, 2019.

IV. Conditions and Requirements

    The exemptions are extended subject to the following conditions:
(1) Each driver must remain seizure-free and maintain a stable
treatment during the two-year exemption period; (2) each driver must
submit annual reports from their treating physicians attesting to the
stability of treatment and that the driver has remained seizure-free;
(3) each

driver must undergo an annual medical examination by a certified
Medical Examiner, as defined by 49 CFR 390.5; and (4) each driver must
provide a copy of the annual medical certification to the employer for
retention in the driver's qualification file, or keep a copy of his/her
driver's qualification file if he/she is self-employed. The driver must
also have a copy of the exemption when driving, for presentation to a
duly authorized Federal, State, or local enforcement official. The
exemption will be rescinded if: (1) The person fails to comply with the
terms and conditions of the exemption; (2) the exemption has resulted
in a lower level of safety than was maintained before it was granted;
or (3) continuation of the exemption would not be consistent with the
goals and objectives of 49 U.S.C. 31136(e) and 31315.

V. Preemption

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

VI. Conclusion

    Based upon its evaluation of the 12 exemption applications, FMCSA
renews the exemptions of the aforementioned drivers from the epilepsy
and seizure disorders prohibition in 49 CFR 391.41 (b)(8). In
accordance with 49 U.S.C. 31136(e) and 31315, each exemption will be
valid for two years unless revoked earlier by FMCSA.

    Issued on: October 2, 2017.
Larry W. Minor,
Associate Administrator for Policy.
[FR Doc. 2017-21879 Filed 10-10-17; 8:45 am]
 BILLING CODE 4910-EX-P


[Federal Register Volume 84, Number 132 (Wednesday, July 10, 2019)]
[Notices]
[Pages 32904-32905]
[FR Doc No: 2019-14670]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

Combined Notice of Filings #2

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

    Docket Numbers: EC19-111-000.
    Applicants: DTE Electric Company, Heritage Stoney Corners Wind Farm
I, LLC.
    Description: Application for Authorization Under Section 203 of the
Federal Power Act, et al. of DTE Electric Company, et al.
    Filed Date: 7/3/19.
    Accession Number: 20190703-5103.
    Comments Due: 5 p.m. ET 7/24/19.

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

    Docket Numbers: ER15-1883-005; ER10-1852-027; ER10-1890-011; ER10-
1951-013; ER10-1962-011; ER10-1989-011; ER11-2160-011; ER11-2192-013;
ER11-3635-011; ER11-4462-034; ER11-4677-012; ER11-4678-012; ER12-2444-
011; ER12-631-013; ER12-676-010; ER13-1991-010; ER13-1992-010; ER13-
2112-007; ER15-1016-005; ER15-1375-005; ER15-1418-005; ER15-2243-003;
ER15-2477-005; ER16-2443-002; ER16-632-003; ER16-90-005; ER16-91-005;
ER17-196-002; ER17-2340-002; ER17-582-003; ER17-583-003; ER17-822-003;
ER17-823-003; ER17-838-009; ER18-1978-002; ER18-241-002; ER18-772-002;
ER18-807-002; ER19-1392-002.
    Applicants: Adelanto Solar, LLC, Adelanto Solar II, LLC, Blythe
Solar II, LLC, Blythe Solar 110, LLC, Casa Mesa Wind, LLC, Desert
Sunlight 250, LLC, Desert Sunlight 300, LLC, Florida Power & Light
Company, FPL Energy Green Power Wind, LLC, FPL Energy Montezuma Wind,
LLC, Genesis Solar, LLC, Golden Hills Interconnection, LLC, Golden
Hills North Wind, LLC, Golden Hills Wind, LLC, Hatch Solar Energy
Center I, LLC, High Lonesome Mesa Wind, LLC, High Winds, LLC, Luz Solar
Partners Ltd., III, Luz Solar Partners Ltd., IV, Luz Solar Partners
Ltd., V, McCoy Solar, LLC, New Mexico Wind, LLC, NextEra Blythe Solar
Energy Center, LLC, NextEra Energy Montezuma II Wind, LLC, NextEra
Energy Marketing, LLC, NEPM II, LLC, NextEra Energy Services
Massachusetts, LLC, North Sky River Energy, LLC, Perrin Ranch Wind,
LLC, Pima Energy Storage System, LLC, Pinal Central Energy Center, LLC,
Red Mesa Wind, LLC, Shafter Solar, LLC, Silver State Solar Power South,
LLC, Sky River LLC, Vasco Winds, LLC, Westside Solar, LLC, Whitney
Point Solar, LLC, Windpower Partners 1993, LLC.
    Description: Triennial Market Power Update for the Southwest Region
of NextEra Companies.
    Filed Date: 7/1/19
    Accession Number: 20190701-5421.
    Comments Due: 5 p.m. ET 8/30/19.

    Docket Numbers: ER19-1427-001.
    Applicants: Alabama Power Company.
    Description: Compliance filing: Southern Companies' ROE Settlement
Compliance Filing to be effective 1/1/2019.
    Filed Date: 7/3/19.
    Accession Number: 20190703-5135.
    Comments Due: 5 p.m. ET 7/24/19.

    Docket Numbers: ER19-1803-001.
    Applicants: North Rosamond Solar, LLC.
    Description: Tariff Amendment: Amendment Filing to May 8, 2019 MBR
Filing to be effective 5/9/2019.
    Filed Date: 7/3/19.
    Accession Number: 20190703-5011.
    Comments Due: 5 p.m. ET 7/24/19.

    Docket Numbers: ER19-2351-000.
    Applicants: American Transmission Systems, Incorporated, PJM
Interconnection, L.L.C.
    Description: Sec.  205(d) Rate Filing: ATSI submits two ECSAs,
Service Agreement Nos. 5322 and 5323 to be effective 9/6/2019.
    Filed Date: 7/3/19.
    Accession Number: 20190703-5045.
    Comments Due: 5 p.m. ET 7/24/19.

    Docket Numbers: ER19-2352-000.
    Applicants: Massachusetts Electric Company.
    Description: Sec.  205(d) Rate Filing: Filing of Small Generator
Interconnection Agmt with Gas Recovery Systems, LLC to be effective 7/
1/2019.
    Filed Date: 7/3/19.
    Accession Number: 20190703-5058.
    Comments Due: 5 p.m. ET 7/24/19.

    Docket Numbers: ER19-2353-000.
    Applicants: Midcontinent Independent System Operator, Inc.
    Description: Sec.  205(d) Rate Filing: 2019-07-03_SA 3327 ATC-WPSC
PCA (Packaging) to be effective 9/2/2019.
    Filed Date: 7/3/19.
    Accession Number: 20190703-5064.
    Comments Due: 5 p.m. ET 7/24/19.

    Docket Numbers: ER19-2354-000.
    Applicants: Southern California Edison Company.
    Description: Sec.  205(d) Rate Filing: Letter Agreement with
Silverstrand Grid, LLC to be effective 7/5/2019.
    Filed Date: 7/3/19.
    Accession Number: 20190703-5095.
    Comments Due: 5 p.m. ET 7/24/19.

    Docket Numbers: ER19-2355-000.
    Applicants: Southwestern Public Service Company.
    Description: Sec.  205(d) Rate Filing: SPS-GSEC-NPEC IA Pringle
NDP-712-SPS 0.0.0 to be effective 7/4/2019.
    Filed Date: 7/3/19.
    Accession Number: 20190703-5096.
    Comments Due: 5 p.m. ET 7/24/19.

    Docket Numbers: ER19-2356-000.
    Applicants: PSEG Energy Resources & Trade LLC.
    Description: Tariff Cancellation: Cancelation of Keystone and

Conemaugh 1 & 2 to be effective 12/31/9998.
    Filed Date: 7/3/19.
    Accession Number: 20190703-5098.
    Comments Due: 5 p.m. ET 7/24/19.

    Docket Numbers: ER19-2357-000.
    Applicants: Alabama Power Company.
    Description: Sec.  205(d) Rate Filing: Quitman II Solar LGIA Filing
to be effective 6/21/2019.
    Filed Date: 7/3/19.
    Accession Number: 20190703-5099.
    Comments Due: 5 p.m. ET 7/24/19.

    Docket Numbers: ER19-2358-000.
    Applicants: DTE Electric Company, Heritage Stoney Corners Wind Farm
I, LLC.
    Description: Expedited Request for Authorization to Engage in
Affiliate Transactions, et al. of DTE Electric Company, et al.
    Filed Date: 7/3/19.
    Accession Number: 20190703-5101.
    Comments Due: 5 p.m. ET 7/24/19.

    Docket Numbers: ER19-2359-000.
    Applicants: National Grid Generation LLC.
    Description: Sec.  205(d) Rate Filing: Annual Reset of Pension and
OPEB Expenses to be effective 1/1/2019.
    Filed Date: 7/3/19.
    Accession Number: 20190703-5114.
    Comments Due: 5 p.m. ET 7/24/19.

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

    Dated: July 3, 2019.
Kimberly D. Bose,
Secretary.
[FR Doc. 2019-14670 Filed 7-9-19; 8:45 am]
 BILLING CODE 6717-01-P


[Federal Register Volume 86, Number 196 (Thursday, October 14, 2021)]
[Notices]
[Page 57178]
[FR Doc No: 2021-22359]

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DEPARTMENT OF HOMELAND SECURITY

Federal Emergency Management Agency

[Internal Agency Docket No. FEMA-3573-EM; Docket ID FEMA-2021-0001]

New Jersey; Amendment No. 1 to Notice of an Emergency Declaration

AGENCY: Federal Emergency Management Agency, DHS.

ACTION: Notice.

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SUMMARY: This notice amends the notice of an emergency declaration for
the State of New Jersey (FEMA-3573-EM), dated September 2, 2021, and
related determinations.

DATES: This amendment was issued September 8, 2021.

FOR FURTHER INFORMATION CONTACT: Dean Webster, Office of Response and
Recovery, Federal Emergency Management Agency, 500 C Street SW,
Washington, DC 20472,<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: Notice is hereby given that the incident
period for this emergency is closed effective September 3, 2021.

    The following Catalog of Federal Domestic Assistance Numbers
(CFDA) are to be used for reporting and drawing funds: 97.030,
Community Disaster Loans; 97.031, Cora Brown Fund; 97.032, Crisis
Counseling; 97.033, Disaster Legal Services; 97.034, Disaster
Unemployment Assistance (DUA); 97.046, Fire Management Assistance
Grant; 97.048, Disaster Housing Assistance to Individuals and
Households In Presidentially Declared Disaster Areas; 97.049,
Presidentially Declared Disaster Assistance--Disaster Housing
Operations for Individuals and Households; 97.050, Presidentially
Declared Disaster Assistance to Individuals and Households--Other
Needs; 97.036, Disaster Grants--Public Assistance (Presidentially
Declared Disasters); 97.039, Hazard Mitigation Grant.

Deanne Criswell,
Administrator, Federal Emergency Management Agency.
[FR Doc. 2021-22359 Filed 10-13-21; 8:45 am]
BILLING CODE 9111-23-P


[Federal Register: October 17, 2006 (Volume 71, Number 200)]
[Notices]
[Page 61049-61050]
[DOCID:fr17oc06-98]

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DEPARTMENT OF ENERGY

Federal Energy Regulatory Commission

[Project No. 2100-134 California]

California Department of Water Resources; Notice of Intent To
Hold a Public Meeting To Discuss the Draft Environmental Impact
Statement for the Oroville Facilities

October 11, 2006.
    On September 29, 2006, the Commission staff delivered the Oroville
Facilities Draft Environmental Impact Statement (draft EIS) to the
Environmental Protection Agency and mailed it to resource and land
management agencies, interested organizations, and individuals.
    The draft EIS was noticed in the Federal Register on October 6,
2006 (71 FR 59106) and comments are due November 20, 2006. The draft
EIS evaluates the environmental consequences and developmental benefits
of issuing a new license for operating and maintaining the Oroville
Facilities, located in Butte County, California. The project would
occupy 2,000 acres of federal lands, including lands managed by the
U.S. Department of Agriculture, Forest Service and the U.S. Bureau of
Land Management. Besides evaluating the project as it now operates, the
draft EIS evaluates the

project with the Settlement Agreement and with staff-recommended
measures.
    The public meeting, which will be recorded by an official
stenographer, is scheduled as follows.
    Date: Wednesday, November 8, 2006.
    Time: 6-9 p.m. (PST).
    Place: State House Theater, 1489 Myers Street, Oroville, California
95965.
    At the meeting, resource agency personnel and other interested
persons will have the opportunity to provide oral and written comments
and recommendations regarding the DEIS for the Commission's public
record.
    For further information, please contact Jim Fargo at e-mail address
<EMAIL_ADDRESS>or by telephone at<PHONE_NUMBER>.

Magalie R. Salas,
Secretary.
 [FR Doc. E6-17206 Filed 10-16-06; 8:45 am]

BILLING CODE 6717-01-P


[Federal Register Volume 77, Number 33 (Friday, February 17, 2012)]
[Rules and Regulations]
[Page 9528]
[FR Doc No: 2012-3734]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket No. USCG-2012-0087]

Security Zone; Protection of Military Cargo, Captain of the Port
Zone Puget Sound

AGENCY: Coast Guard, DHS.

ACTION: Notice of enforcement of regulation.

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bar;------

SUMMARY: The Coast Guard will enforce the Blair Waterway Security Zone
in Commencement Bay, Tacoma, Washington from 6 a.m. on February 17,
2012, through 11:59 p.m. on February 21, 2012, unless cancelled sooner
by the Captain of the Port. This action is necessary for the security
of Department of Defense assets and military cargo in the navigable
waters of Puget Sound and adjacent waters. During the enforcement
period, this security zone will exclude persons and vessels from the
immediate vicinity of these facilities during military cargo loading
and unloading operations. In addition, the regulation establishes
requirements for all vessels to obtain permission of the COTP or
Designated Representative, including the Vessel Traffic Service (VTS),
to enter, move within, or exit this security zone when they are
enforced. Entry into this zone is prohibited unless otherwise exempted
or excluded or unless authorized by the Captain of the Port or his
Designated Representative.

DATES: The regulations in 33 CFR 165.1321 will be enforced from 6 a.m.
on February 17, 2012, through 11:59 p.m. on February 21, 2012, unless
cancelled sooner by the Captain of the Port.

FOR FURTHER INFORMATION CONTACT: If you have questions on this notice,
call or email Ensign Anthony P. LaBoy, Sector Puget Sound Waterways
Management Division, Coast Guard; telephone<PHONE_NUMBER>, email
<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION: The Coast Guard will enforce the Blair
Waterway Security Zone set forth in paragraph (c) (1) of 33 CFR
165.1321 on February 17, 2012 at 6 a.m. through 11:59 p.m. on February
21, 2012 unless cancelled sooner by the Captain of the Port or
Designated Representative. Under the provisions of 33 CFR 165.1321, the
Coast Guard published a final rule for the security of Department of
Defense assets and military cargo in the navigable waters of Puget
Sound and adjacent waters. The security zone will provide for the
regulation of vessel traffic in the vicinity of military cargo loading
facilities in the navigable waters of the United States. This security
zone also excludes persons and vessels from the immediate vicinity of
these facilities during military cargo loading and unloading
operations. In addition, the regulation establishes requirements for
all vessels to obtain permission of the COTP or Designated
Representative, including the Vessel Traffic Service (VTS), to enter,
move within, or exit this security zone when it is enforced. Entry into
this zone is prohibited unless otherwise exempted or excluded under 33
CFR 165.1321 or unless authorized by the Captain of the Port or
Designated Representative.
    This notice is issued under authority of 33 CFR 165.1321 and 5
U.S.C. 552(a). In addition to this notice in the Federal Register, the
Coast Guard will provide the maritime community with extensive advance
notification of this enforcement period via the Local Notice to
Mariners, marine information broadcasts, local radio stations and area
newspapers.
    If the COTP determines that the regulated area need not be enforced
for the full duration stated in this notice, he may use a Broadcast
Notice to Mariners to grant general permission to enter the regulated
area.

    Dated: February 8, 2012.
S.J. Ferguson,
Captain, U.S. Coast Guard, Captain of the Port, Puget Sound.
[FR Doc. 2012-3734 Filed 2-16-12; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register Volume 86, Number 58 (Monday, March 29, 2021)]
[Notices]
[Pages 16431-16433]
[FR Doc No: 2021-06347]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-91394; File No. SR-CBOE-2021-017]

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of
Filing and Immediate Effectiveness of a Proposed Rule Change To Amend
Its Fees Schedule To Adopt Reduced Fees for Academics for the Sale of
Historical Intraday Open-Close Volume Data

March 23, 2021.
    Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934
(the ``Act''),\1\ and Rule 19b-4 thereunder,\2\ notice is hereby given
that on March 12, 2021, Cboe Exchange, Inc. (the ``Exchange'' or ``Cboe
Options'') filed with the Securities and Exchange Commission (the
``Commission'') the proposed rule change as described in Items I and II
below, which Items have been prepared by the Exchange. The Commission
is publishing this notice to solicit comments on the proposed rule
change from interested persons.
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    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
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I. Self-Regulatory Organization's Statement of the Terms of Substance
of the Proposed Rule Change

    Cboe Exchange, Inc. (the ``Exchange'' or ``Cboe Options) proposes
to amend its Fees Schedule to adopt reduced fees for academics for the
sale of historical Intraday Open-Close volume data. The text of the
proposed rule change is provided in Exhibit 5.
    The text of the proposed rule change is available on the Exchange's
website (http://www.cboe.com/AboutCBOE/CBOELegalRegulatoryHome.aspx),
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 Exchange proposes to amend its Fees Schedule to adopt reduced
fees for academics for the sale of historical Intraday Open-Close Data
product, which is currently available for purchase to Cboe Options
Trading Permit Holders (``TPHs'') and non-TPHs.\3\ By way of
background, the Exchange historically offered Open-Close Data, which is
an end-of-day volume summary of trading activity on the Exchange at the
option level by origin (customer, professional customer, broker-dealer,
and market maker), side of the market (buy or sell), price, and
transaction type (opening or closing). The customer and professional
customer volume is further broken down into trade size buckets (less
than 100 contracts, 100-199 contracts, greater than 199 contracts). The
Open-Close Data is proprietary Cboe Options trade data and does not
include trade data from any other exchange. It is also a historical
data product and not a real-time data feed. The recently adopted
Intraday Open-Close Data provides similar information to that of Open-
Close Data but is produced and updated every 10 minutes during the
trading day. Data is captured in ``snapshots'' taken every 10 minutes
throughout the trading day and is available to subscribers within five
minutes of the conclusion of each 10-minute period.\4\ The Intraday
Open-Close Data provides a volume summary of trading activity on the
Exchange at the option level by origin (customer, professional
customer, broker-dealer, and market maker), side of the market (buy or
sell), and transaction type (opening or closing). The customer and
professional customer volume are further broken down into trade size
buckets (less than 100 contracts, 100-199 contracts, greater than 199
contracts). The Intraday Open-Close Data is also proprietary Cboe
Options trade data and does not include trade data from any other
exchange.
---------------------------------------------------------------------------

    \3\ The Exchange initially filed the proposed fee changes on
March 1, 2021 (SR-CBOE-2021-016). On March 12, 2021, the Exchange
withdrew that filing and submitted this filing.
    \4\ For example, subscribers to the intraday product will
receive the first calculation of intraday data by approximately 9:42
a.m. ET, which represents data captured from 9:30 a.m. to 9:40 a.m.
Subscribers will receive the next update at 9:52 a.m., representing
the data previously provided together with data captured from 9:40
a.m. through 9:50 a.m., and so forth. Each update will represent the
aggregate data captured from the current ``snapshot'' and all
previous ``snapshots.''
---------------------------------------------------------------------------

    Cboe LiveVol, LLC (``LiveVol''), a wholly owned subsidiary of the
Exchange's parent company, Cboe Global Markets, Inc., makes the
Intraday Open-Close Data available for purchase to TPHs and non-TPHs on
the LiveVol DataShop website (datashop.cboe.com). Customers may
currently purchase Intraday Open-Close Data on a subscription basis
(monthly or annually) or by ad hoc request for a specified month
(historical file). The Exchange seeks only to amend the price per year
for historical ad hoc requests for Intraday Open-Close Data for
academic purchasers. Currently, ad hoc requests for historical Intraday
Open-Close Data is available to all customers at the same price and in
the same manner. The current charge for this historical Intraday Open-
Close Data covering all of the Exchange's securities ((Equities,
Indexes & ETF's) is $1,000 per month

(i.e., $12,000 per year). The Exchange now proposes to charge
qualifying academic purchasers $3,000 per year for the first year
(instead of $12,000 per year) and $250 per month thereafter for
historical Intraday Open-Close Data covering all of the Exchange's
securities. Particularly, the Exchange believes that academic
institutions and researchers provide a valuable service for the
Exchange in studying and promoting the options market. Though academic
institutions and researchers have need for granular options data sets,
they do not trade upon the data for which they subscribe. The Exchange
believes the proposed reduced fee for qualifying academic purchasers of
historical Intraday Open-Close Data will encourage and promote academic
studies of its market data by academic institutions. In order to
qualify for the academic pricing, an academic purchaser must be (1) an
accredited academic institution or member of the faculty or staff of
such an institution, (2) that will use the data in independent academic
research, academic journals and other publications, teaching and
classroom use, or for other bona fide educational purposes (i.e.,
academic use). Furthermore, use of the data must be limited to faculty
and students of an accredited academic institution, and any commercial
or profit-seeking usage is excluded. Academic pricing will not be
provided to any purchaser whose research is funded by a securities
industry participant. Cboe LiveVol subscriber policies will reflect the
academic discount program, and academic users interested in qualifying
will be required to submit a brief application. Cboe LiveVol Business
Development will have the discretion to review and approve such
applications and request additional information when it deems
necessary.
    The Exchange notes that another exchange currently offers an
academic discount for a similar data feed.\5\ Additionally, the
Exchange offers an academic discount for the similar historical Open-
Close Data product.\6\ The Exchange recognizes the high value of
academic research and educational instruction and publications, and
believes that the proposed academic discount for historical Intraday
Open-Close Data will encourage the promotion academic research of the
options industry, which will serve to benefit all market participants
while also opening up a new potential user base among students.
Finally, the Exchange notes that academic purchasers' ad hoc requests
of historical Intraday Open-Close Data would be educational in use and
purpose, and not vocational.
---------------------------------------------------------------------------

    \5\ See Nasdaq ISE, Options 7 Pricing Schedule, Section 10A.,
Nasdaq ISE Open/Close Trade Profile Intraday.
    \6\ See Cboe Options Fees Schedule, Livevol Fees, Open Close
Data.
---------------------------------------------------------------------------

2. Statutory Basis
    The Exchange believes that the proposed rule change is consistent
with the objectives of Section 6 of the Act,\7\ in general, and
furthers the objectives of Section 6(b)(4),\8\ in particular, as it is
designed to provide for the equitable allocation of reasonable dues,
fees and other charges among its Members and issuers and other persons
using its facilities. The Exchange also believes that the proposed rule
change is consistent with the objectives of Section 6(b)(5) \9\
requirements that the rules of an exchange be designed to prevent
fraudulent and manipulative acts and practices, to promote just and
equitable principles of trade, to foster cooperation and coordination
with persons engaged in regulating, clearing, settling, processing
information with respect to, and facilitating transactions in
securities, to remove impediments to and perfect the mechanism of a
free and open market and a national market system, and, in general, to
protect investors and the public interest, and, particularly, is not
designed to permit unfair discrimination between customers, issuers,
brokers, or dealers. Additionally, the Exchange believes the proposed
rule change is consistent with the Section 6(b)(5) \10\ requirement
that the rules of an exchange not be designed to permit unfair
discrimination between customers, issuers, brokers, or dealers.
---------------------------------------------------------------------------

    \7\ 15 U.S.C. 78f.
    \8\ 15 U.S.C. 78f(b)(4).
    \9\ 15 U.S.C. 78f.(b)(5).
    \10\ Id.
---------------------------------------------------------------------------

    In particular, the Exchange believes that the discount for
qualifying academic purchasers of the ad hoc historical Intraday Open-
Close Data is reasonable because academic users are not able to
monetize access to the data as they do not trade on the data set. The
Exchange believes the proposed discount will allow for more academic
institutions and faculty members to purchase historical Intraday Open-
Close Data, and, as a result, promote research and studies of the
options industry to the benefit of all market participants. The
Exchange believes that the proposed discount is equitable and not
unfairly discriminatory because it will apply equally to all academic
users that submit an application and meet the accredited academic
institution or faculty member and academic use criteria. As stated
above, qualified academic users will subscribe to the data set for
educational use and purposes and are not permitted to use the data for
commercial or monetizing purposes, nor can qualify if they are funded
by an industry participant. As a result, the Exchange believes the
proposed discount is equitable and not unfairly discriminatory because
it maintains equal treatment for all industry participants or other
subscribers that use the data for vocational, commercial or other for-
profit purposes.

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

    The Exchange does not believe that the proposed rule change will
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act. The Exchange does not
believe that the proposed rule change will impose any burden on
intramarket competition that is not necessary or appropriate in
furtherance of the purposes of the Act because the proposed rule change
will apply to all qualifying academic purchasers uniformly. While the
proposed fee reduction applies only to qualifying academic purchasers,
academic purchasers' research and publications as a result of access to
historical market data benefits all market participants. The Exchange
also does not believe that the proposed rule change will impose any
burden on intermarket competition that is not necessary or appropriate
in furtherance of the purposes of the Act as other another exchange
currently offers similar historical intraday data to academic users at
a discounted price. Offering a discount for qualifying academic
institutions and faculty members that purchase the Exchange's
historical Intraday Open-Close Data may make that data more attractive
to such academic users and further increase competition with exchanges
that offer similar historical data products.

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

    The Exchange neither solicited nor received comments on the
proposed rule change.

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 \11\ and paragraph (f)(2) of Rule 19b-4 \12\ thereunder,
because it establishes a due, fee, or other charge imposed by the
Exchange.
---------------------------------------------------------------------------

    \11\ 15 U.S.C. 78s(b)(3)(A).
    \12\ 17 CFR 240.19b-4(f)(2).
---------------------------------------------------------------------------

    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.

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-CBOE-2021-017 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-CBOE-2021-017. 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; the Commission does not edit
personal identifying information from submissions. You should submit
only information that you wish to make available publicly. All
submissions should refer to File Number SR-CBOE-2021-017 and should be
submitted on or before April 19, 2021.

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

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

J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021-06347 Filed 3-26-21; 8:45 am]
BILLING CODE 8011-01-P


[Federal Register: May 24, 2010 (Volume 75, Number 99)]
[Proposed Rules]
[Page 28769-28771]
[DOCID:fr24my10-12]

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DEPARTMENT OF HOMELAND SECURITY

Coast Guard

33 CFR Part 165

[Docket No. USCG-2010-0059]
RIN 1625-AA00

Safety Zone; Osage River, Mile 016.8 to 017.2

AGENCY: Coast Guard, DHS.

ACTION: Notice of proposed rulemaking.

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SUMMARY: The Coast Guard proposes establishing a temporary safety zone
for all waters of the Osage River, Mile 016.8 to 017.2, extending the
entire width of the river. This safety zone is needed to protect
persons and vessels from safety hazards associated with a fireworks
display occurring on the Osage River. Entry into this zone would be
prohibited unless specifically authorized by the Captain of the Port
Upper Mississippi River or a designated representative.

DATES: Comments and related material must be received by the Coast
Guard on or before June 8, 2010.

ADDRESSES: You may submit comments identified by docket number USCG-
2010-0059 using any one of the following methods:
    (1) Federal eRulemaking Portal: http://www.regulations.gov.
    (2) Fax:<PHONE_NUMBER>.
    (3) Mail: Docket Management Facility (M-30), U.S. Department of
Transportation, West Building Ground Floor, Room W12-140, 1200 New
Jersey Avenue, SE., Washington, DC 20590-0001.
    (4) Hand delivery: Same as mail address above, between 9 a.m. and 5
p.m., Monday through Friday, except Federal holidays. The telephone
number is<PHONE_NUMBER>.
    To avoid duplication, please use only one of these four methods.
See the ``Public Participation and Request for Comments'' portion of
the SUPPLEMENTARY INFORMATION section below for instructions on
submitting comments.

FOR FURTHER INFORMATION CONTACT: If you have questions on this proposed
rule, call or e-mail Lieutenant Commander (LCDR) Matthew Barker, Sector
Upper Mississippi River Response Department at telephone<PHONE_NUMBER>,
e-mail<EMAIL_ADDRESS>If you have questions on viewing or
submitting material to the docket, call Renee V. Wright, Program
Manager, Docket Operations, telephone<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION:

Public Participation and Request for Comments

    We encourage you to participate in this rulemaking by submitting
comments and related materials. All comments received will be posted
without change to http://www.regulations.gov and will include any
personal information you have provided.

Submitting Comments

    If you submit a comment, please include the docket number for this
rulemaking (USCG-2010-0059), indicate the specific section of this
document to which each comment applies, and provide a reason for each
suggestion or recommendation. You may submit your comments and material
online (via http://www.regulations.gov) or by fax, mail, or hand
delivery, but please use only one of these means. If you submit a
comment online via http://www.regulations.gov, it will be considered
received by the Coast Guard when you successfully transmit the comment.
If you fax, hand deliver, or mail your comment, it will be considered
as having been received by the Coast Guard when it is received at the
Docket Management Facility. We recommend that you include your name and
a mailing address, an e-mail address, or a telephone number in the body
of your document so that we can contact you if we have questions
regarding your submission.
    To submit your comment online, go to http://www.regulations.gov,
click on the ``submit a comment'' box, which will then become
highlighted in blue. In the ``Document Type'' drop down menu select
``Proposed Rule'' and insert ``USCG-2010-0059'' in the ``Keyword'' box.
Click ``Search'' then click on the balloon shape in the ``Actions''
column. If you submit your comments by mail or hand delivery, submit
them in an unbound format, no larger than 8\1/2\ by 11 inches, suitable
for copying and electronic filing. If you submit comments by mail and
would like to know that they reached the Facility, please enclose a
stamped, self-addressed postcard or envelope. We will consider all
comments and material received during the comment period and may change
the rule based on your comments.

Viewing Comments and Documents

    To view comments, as well as documents mentioned in this preamble
as being available in the docket, go to http://www.regulations.gov,
click on the ``read comments'' box, which will then become highlighted
in blue. In the ``Keyword'' box insert ``USCG-2010-0059'' and click
``Search.'' Click the ``Open Docket Folder'' in the ``Actions'' column.
You may also visit the Docket Management Facility in Room W12-140 on
the ground floor of the Department of Transportation West Building,
1200 New Jersey Avenue, SE., Washington, DC 20590, between 9 a.m. and 5
p.m., Monday through Friday, except Federal holidays. We have an
agreement with the Department of Transportation to use the Docket
Management Facility.

Privacy Act

    Anyone can search the electronic form of comments received into any
of our dockets by the name of the individual submitting the comment (or
signing the comment, if submitted on behalf of an association,
business, labor union, etc.). You may review a Privacy Act notice
regarding our public dockets in the January 17, 2008, issue of the
Federal Register (73 FR 3316).

Public Meeting

    We do not now plan to hold a public meeting. But you may submit a
request for one on or before June 8, 2010, using one of the four
methods specified under ADDRESSES. Please explain why you believe a
public meeting would be beneficial. If we determine that one would aid
this rulemaking, we will hold one at a time and place announced by a
later notice in the Federal Register.
    For information on facilities or services for individuals with
disabilities or to request special assistance at the public meeting,
contact LCDR Matthew Barker at the telephone number or e-mail address
indicated under the FOR FURTHER INFORMATION CONTACT section of this
notice.

Background and Purpose

    On July 4, 2010 Scott Barnes will be sponsoring a fireworks display
between mile 016.8 and 017.2 on the Osage River. This event presents
safety hazards to the navigation of vessels between 016.8 and 017.2,
extending the entire width of the river. This safety zone is necessary
to provide for the safety of the crew, spectators, and other users and
vessels of the Osage River.

Discussion of Proposed Rule

    The Coast Guard is proposing to establish a safety zone for all
waters of the Osage River, Mile 016.8 to 017.2, extending the entire
width of the river. Entry into, transiting through, or anchoring within
this zone would be prohibited to all vessels and persons except
participants and those persons and vessels specifically authorized by
the Captain of the Port Upper Mississippi River. We are proposing an
effective period from 10 p.m. until 10:30 p.m. CDT July 4, 2010. The
Captain of the Port Upper Mississippi River will inform the public
through broadcast notice to mariners of all safety zone changes and
enforcement periods.

Regulatory Analyses

    We developed this proposed rule after considering numerous statutes
and executive orders related to rulemaking. Below we summarize our
analyses based on 13 of these statutes or executive orders.

Regulatory Planning and Review

    This proposed rule is not a significant regulatory action under
section 3(f) of Executive Order 12866, Regulatory Planning and Review,
and does not require an assessment of potential costs and benefits
under section 6(a)(3) of that Order. The Office of Management and
Budget has not reviewed it under that Order. It is not ``significant''
under the regulatory policies and procedures of the Department of
Homeland Security (DHS). This rule would be in effect for only a short
period of time during the fireworks display. Vessels that need to enter
the safety zone may request permission to do so from the Captain of the
Port Upper Mississippi River.

Small Entities

    Under the Regulatory Flexibility Act (5 U.S.C. 601-612), we have
considered whether this proposed rule would have a significant economic
impact on a substantial number of small entities. The term ``small
entities'' comprises small businesses, not-for-profit organizations
that are independently owned and operated and are not dominant in their
fields, and governmental jurisdictions with populations of less than
50,000.
    The Coast Guard certifies under 5 U.S.C. 605(b) that this proposed
rule would not have a significant economic impact on a substantial
number of small entities. This rule will affect the following entities,
some of which may be small entities, some of which may be small
entities: the owners or operators of vessels intending to transit the
Osage River, Mile 016.8 to 017.2 after 10 p.m. until 10:30 p.m. CDT on
July 4. This safety zone will not have a significant economic impact on
a substantial number of small entities for the following reason: (1)
This rule would only be in effect for a limited period of time.
    If you think that your business, organization, or governmental
jurisdiction qualifies as a small entity and that this rule would have
a significant economic impact on it, please submit a comment (see
ADDRESSES) explaining why you think it qualifies and how and to what
degree this rule would economically affect it.

Assistance for Small Entities

    Under section 213(a) of the Small Business Regulatory Enforcement
Fairness Act of 1996 (Pub. L. 104-121), we want to assist small
entities in understanding this proposed rule so that they can better
evaluate its effects on them and participate in the rulemaking. If the
rule would affect your small business, organization, or governmental
jurisdiction and you have questions concerning its provisions or
options for compliance, please contact 1-888-REG-FAIR (1-888-734-3247).
The Coast Guard will not retaliate against small entities that question
or complain about this proposed rule or any policy or action of the
Coast Guard.

Collection of Information

    This proposed rule would call for no new collection of information
under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).

Federalism

    A rule has implications for federalism under Executive Order 13132,
Federalism, if it has a substantial direct effect on State or local
governments and would either preempt State law or impose a substantial
direct cost of compliance on them. We have analyzed this proposed rule
under that Order and have determined that it does not have implications
for federalism.

Unfunded Mandates Reform Act

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

Taking of Private Property

    This proposed rule would not cause a taking of private property or
otherwise have taking implications under Executive Order 12630,
Governmental Actions and Interference with Constitutionally Protected
Property Rights.

Civil Justice Reform

    This proposed rule meets applicable standards in sections 3(a) and
3(b)(2) of Executive Order 12988, Civil Justice Reform, to minimize
litigation, eliminate ambiguity, and reduce burden.

Protection of Children

    We have analyzed this proposed rule under Executive Order 13045,
Protection of Children from Environmental Health Risks and Safety
Risks. This rule is not an economically significant rule and would not
create an environmental risk to health or risk to safety that might
disproportionately affect children.

Indian Tribal Governments

    This proposed rule does not have Tribal implications under
Executive Order 13175, Consultation and Coordination with Indian Tribal
Governments, because it would not have a substantial direct effect on
one or more Indian Tribes, on the relationship between the Federal
Government and Indian Tribes, or on the distribution of power and
responsibilities between the Federal Government and Indian Tribes.

Energy Effects

    We have analyzed this proposed rule under Executive Order 13211,
Actions Concerning Regulations That Significantly Affect Energy Supply,
Distribution, or Use. We have determined that it is not a ``significant
energy action'' under that order because it is not a ``significant
regulatory action'' under Executive Order 12866 and is not likely to
have a significant adverse effect on the supply, distribution, or use
of energy. The Administrator of the Office of Information and
Regulatory Affairs has not designated it as a significant energy
action. Therefore, it does not require a Statement of Energy Effects
under Executive Order 13211.

Technical Standards

    The National Technology Transfer and Advancement Act (NTTAA) (15
U.S.C. 272 note) directs agencies to use voluntary consensus standards
in their regulatory activities unless the agency provides Congress,
through the Office of Management and Budget, with an explanation of why
using these

standards would be inconsistent with applicable law or otherwise
impractical. Voluntary consensus standards are technical standards
(e.g., specifications of materials, performance, design, or operation;
test methods; sampling procedures; and related management systems
practices) that are developed or adopted by voluntary consensus
standards bodies.
    This proposed rule does not use technical standards. Therefore, we
did not consider the use of voluntary consensus standards.

Environment

    We have analyzed this proposed rule under Department of Homeland
Security Management Directive 023-01 and Commandant Instruction
M16475.lD, which guide the Coast Guard in complying with the National
Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321-4370f), and
have made a preliminary determination that this action is one of a
category of actions that do not individually or cumulatively have a
significant effect on the human environment. A preliminary
environmental analysis checklist supporting this determination is
available in the docket where indicated under ADDRESSES. This proposed
rule involves the establishment of a safety zone. We seek any comments
or information that may lead to the discovery of a significant
environmental impact from this proposed rule.

List of Subjects in 33 CFR Part 165

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

    For the reasons discussed in the preamble, the Coast Guard proposed
to amend 33 CFR 165 as follows:

PART 165--REGULATER NAVIGATION AREAS AND LIMITED ACCESS AREAS

    (1) The authority citation for part 165 continues to read as
follows:

    Authority: 33 U.S.C. 1226, 1231; 46 U.S.C. Chapter 701, 3306,
3703; 50 U.S.C. 191, 195; 33 CFR 1.05-1, 6.04-1, 6.04-6, and 160.5;
Pub. L. 107-295, 116 Stat. 2064; Department of Homeland Security
Delegation No. 0170.1.

    (2) Add Sec.  165.T08-0059 to read as follows:

Sec.  165.T08-0059  Safety Zone; Osage River, Mile 016.8 to 017.2.

    (a) Location. The following area is a safety zone: all waters of
the Osage River, Mile 016.8 to 017.2 extending the entire width of the
waterway.
    (b) Effective date. This rule is effective from 10 p.m. until 10:30
p.m. CDT on July 4, 2010.
    (c) Periods of Enforcement. This rule will be enforced from 10 p.m.
until 10:30 p.m. CDT on July 4, 2010. The Captain of the Port Upper
Mississippi River will inform the public through broadcast notice to
mariners of all safety zone changes and enforcement periods.
    (d) Regulations. (1) In accordance with the general regulations in
Sec.  165.23 of this part, entry into this zone is prohibited unless
authorized by the Captain of the Port Upper Mississippi River or a
designated representative.
    (2) Persons or vessels requiring entry into or passage through the
zone must request permission from the Captain of the Port Upper
Mississippi River or a designated representative. The Captain of the
Port Upper Mississippi River representative may be contacted at (314)
269-2332.
    (3) All persons and vessels must comply with the instruction of the
Captain of the Port Upper Mississippi River or their designated
representative. Designated Captain of the Port representatives include
United States Coast Guard commissioned, warrant, and petty officers of
the U.S. Coast Guard.

    Dated: April 13, 2010.
S.L. Hudson,
Captain, U.S. Coast Guard, Captain of the Port Upper Mississippi River.
[FR Doc. 2010-12343 Filed 5-21-10; 8:45 am]
BILLING CODE 9110-04-P


[Federal Register: August 22, 2006 (Volume 71, Number 162)]
[Notices]
[Page 48961-48963]
[DOCID:fr22au06-106]

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SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-54320; File No. SR-NYSE-2005-18]

 Self-Regulatory Organizations; New York Stock Exchange, Inc.;
Order Approving Proposed Rule Change and Amendments No. 1 and 2 Thereto
Regarding NYSE Rule 619 To Clarify That Failure To Appear or Produce
Documents in Arbitration May Be Deemed Conduct Inconsistent With Just
and Equitable Principles of Trade

August 15, 2006.

I. Introduction

    On February 17, 2005, the New York Stock Exchange, Inc. (``NYSE''
or the ``Exchange'') filed with the Securities and Exchange Commission
(``SEC'' or ``Commission''), pursuant to Section 19(b)(1) of the
Securities Exchange Act of 1934 (``Act'')\1\ and Rule 19b-4
thereunder,\2\ a proposed rule change to amend Rule 619 to clarify that
it may be deemed conduct or proceeding inconsistent with just and
equitable principles of trade for purposes of NYSE Rule 476(a)(6) for a
member, member

organization, allied member, approved person, registered or non-
registered employee of a member or member organization or person
otherwise subject to the jurisdiction of the Exchange (each, a
``responsible party'') to fail to appear or fail to produce any
document in its possession or control as directed pursuant to
applicable provisions of the NYSE Arbitration Rules. On July 27, 2005,
the Exchange filed Amendment No. 1 to the proposed rule change.\3\ On
February 15, 2006, the Exchange filed Amendment No. 2 to the proposed
rule change.\4\ The proposed rule change was published for comment in
the Federal Register on April 11, 2006.\5\ The Commission received five
comment letters on the proposal.\6\ This order approves the proposed
rule change as amended.
---------------------------------------------------------------------------

    \1\ 15 U.S.C. 78s(b)(1).
    \2\ 17 CFR 240.19b-4.
    \3\ In Amendment No. 1, which replaced the original filing, the
Exchange clarified that Rule 619 also applies to a ``person
otherwise subject to the jurisdiction of the Exchange.''
    \4\ Amendment No. 2, which replaced the first amended rule
filing, conformed the proposed rule to reflect the list of persons
subject to disciplinary action under NYSE Rule 476.
    \5\ See Exchange Act Release No. 53599 (Apr. 4, 2006), 71 FR
18401 (Apr. 11, 2006).
    \6\ See E-mail from David Plimpton, Plimpton & Esposito, to
<EMAIL_ADDRESS>dated April 27, 2006 (``Plimpton''); letter

from Robert S. Banks, Jr., Public Investors Arbitration Bar
Association, dated April 25, 2006 (``PIABA''); E-mail from A. Daniel
Woska, A. Daniel Woska & Associates, P.C., to<EMAIL_ADDRESS>
dated April 23, 2006 (``Woska''); E-mail from Les Greenberg, Law
Offices of Les Greenberg, to<EMAIL_ADDRESS>dated April 20,
2006 (``Greenberg''); letter from Steven B. Caruso, Maddox Hargett
Caruso, P.C., dated April 11, 2006 (``Caruso'').
---------------------------------------------------------------------------

II. Description of the Proposal

    NYSE Rule 476 allows disciplinary sanctions to be imposed upon a
responsible party who is adjudged guilty of certain enumerated
offenses, including ``conduct or proceeding inconsistent with just and
equitable principles of trade.'' The proposal would amend Rule 619 to
clarify that it may be deemed conduct or proceeding inconsistent with
just and equitable principles of trade for purposes of NYSE Rule
476(a)(6) for a responsible party to fail to appear or fail to produce
any document in its possession or control as directed pursuant to
provisions of the NYSE Arbitration Rules.
    The Exchange is aware of allegations that member organizations have
not fulfilled their discovery obligations as prescribed by NYSE
Arbitration Rules. The NYSE believes that the express authority for the
NYSE to bring a disciplinary action under NYSE Rule 476(a)(6) will
improve the efficacy of the arbitration process by facilitating the
Exchange's ability to ensure more fully and forcefully the cooperation
of a responsible party who is a party to an arbitration proceeding. By
explicitly providing that the failure to appear or to produce documents
in one's possession or control may be deemed conduct or proceeding
inconsistent with just and equitable principles of trade, the NYSE
believes that the proposed amendment would provide the Exchange with a
clear mechanism to pursue disciplinary action pursuant to NYSE Rule 476
in response to such conduct.

III. Summary of Comments

    The Commission received five comment letters on the proposal.\7\
Commenters generally supported the proposal.\8\ As discussed below,
however, some raised concerns with certain aspects of it.
---------------------------------------------------------------------------

    \7\ See id.
    \8\ For example, one commenter supported the proposed rule
because, in the commenter's view, members that violate discovery
rules do not regard their conduct as serious unless sanctions are
imposed. PIABA. See also Woska.
---------------------------------------------------------------------------

    Proposed Rule 619(h) states in relevant part that ``[i]t may be
deemed conduct or proceeding inconsistent with just and equitable
principles of trade for purposes of Rule 476(a)(6) [for a responsible
party] to fail to appear or to produce any document in their possession
or control as directed pursuant to provisions of the NYSE Arbitration
Rules.'' (Emphasis added.) One commenter stated that the emphasized
language could be misconstrued to require the prior direction or an
order of an arbitration panel before the NYSE could charge the party
with a violation of Rule 476.\9\ The commenter also suggested that the
proposed rule be amended to clarify that it does not affect an
arbitrator's current authority under Rules 604 (dismissal of
proceedings) and 621 (enforcement of rulings).\10\
---------------------------------------------------------------------------

    \9\ See Caruso.
    \10\ Id. Two commenters stated that arbitrators need to better
enforce existing procedures, particularly Rule 604(b), which allows
an arbitrator to impose sanctions against a party that willfully and
intentionally fails to comply with an arbitrator's order if lesser
sanctions have proven ineffective. Greenberg and PIABA.
---------------------------------------------------------------------------

    Two commenters believed that the proposed rule does not adequately
address what the commenters' view are ongoing problems with arbitrator
conflicts of interest.\11\ One of these commenters stated that a
securities arbitrator may be reluctant to impose sanctions on a party
for fear that the party may not select the arbitrator to serve on
future NYSE arbitration panels.\12\
---------------------------------------------------------------------------

    \11\ See Greenberg (stating that monetary sanctions on attorneys
might be a more effective deterrent) and Plimpton (questioning
whether NYSE arbitrators are independent enough to take action to
curb discovery abuse).
    \12\ See Greenberg. To address concerns about arbitrator
reluctance to sanction a party, the commenter suggested that the
proposal require arbitrators to refer all contested discovery orders
to NYSE.
---------------------------------------------------------------------------

IV. Discussion and Commission Findings

    After careful review, the Commission finds that the proposed rule
change, as amended, is consistent with the Act and, in particular, with
Section 6(b)(5) of the Act, which requires, among other things, that
the NYSE's rules be designed to prevent fraudulent and manipulative
acts and practices, to promote just and equitable principles of trade,
and, in general, to protect investors and the public interest.\13\ The
Commission also finds that the proposal is consistent with Section
6(b)(6) \14\ of the Act, which requires, among other things, that the
rules of an exchange provide that members and persons associated with
its members be appropriately disciplined for violating the Act, the
rules or regulations under the Act, or the rules of the exchange.
---------------------------------------------------------------------------

    \13\ 15 U.S.C. 78f(b)(5).
    \14\ 15 U.S.C. 78f(b)(6).
---------------------------------------------------------------------------

    In particular, the Commission believes that by expressly
authorizing the NYSE to bring an action against a member under Rule 476
for failing to appear or to produce any document in its possession or
control in an arbitration proceeding, the proposal will enable NYSE to
appropriately discipline such members. Moreover, the Commission
believes the proposed rule could reduce discovery abuses by alerting
parties to the importance of complying with NYSE Rule 619.
    One commenter stated that the proposal could be misconstrued to
require an order of an arbitration panel before NYSE could charge a
party with violating Rule 476.\15\ NYSE staff confirms that the
proposed rule does not require an arbitration panel to issue an order
before the NYSE could bring an action under Rule 476. Indeed, the
proposal does not require any action from the arbitration panel before
the NYSE may bring such an action. Moreover, the proposal authorizes
the NYSE to bring an action under Rule 476 against a party during an
arbitration proceeding if the NYSE believes such action is
warranted.\16\
---------------------------------------------------------------------------

    \15\ Caruso.
    \16\ Telephone conversation between Karen Kupersmith, Director
of Arbitration, NYSE, and Richard Strasser, Attorney Fellow, SEC
(Aug. 1, 2006). The commenter also suggested that the proposed rule
be amended to clarify that it does not affect the power of an
arbitrator to impose sanctions under Rules 604 (dismissal of
proceedings) and 621 (enforcement of rulings). In the telephone call
referenced above, NYSE staff stated that nothing in the proposal is
intended to affect arbitrators' current authority under existing
NYSE arbitration rules.

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

    Some commenters raised broader concerns about arbitrator conflicts
of interest and the need for arbitrators to better enforce existing
arbitration procedures.\17\ The Commission believes these comments are
beyond the scope of the current proposal.
---------------------------------------------------------------------------

    \17\ See, e.g., Greenberg and Plimpton.
---------------------------------------------------------------------------

VI. Conclusion

    It is therefore ordered, pursuant to Section 19(b)(2) of the Act
\18\ that the proposed rule change (SR-NYSE-2005-18), as amended, be,
and hereby is, approved.
---------------------------------------------------------------------------

    \18\ 15 U.S.C. 78s(b)(2).
---------------------------------------------------------------------------

    For the Commission, by the Division of Market Regulation,
pursuant to delegated authority.\19\
---------------------------------------------------------------------------

    \19\ 17 CFR 200.30-3(a)(12).

Nancy M. Morris,
Secretary.
[FR Doc. E6-13811 Filed 8-21-06; 8:45 am]

BILLING CODE 8010-01-P


[Federal Register Volume 81, Number 36 (Wednesday, February 24, 2016)]
[Notices]
[Pages 9243-9245]
[FR Doc No: 2016-03754]

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

DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

[Docket No. FRA 2016-0002-N-7]

Proposed Agency Information Collection Activities; Comment
Request

AGENCY: Federal Railroad Administration (FRA), Department of
Transportation.

ACTION: Notice and request for comments.

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

SUMMARY: In accordance with the Paperwork Reduction Act of 1995 and its
implementing regulations, the Federal Railroad Administration (FRA)
hereby announces that it is seeking renewal of the following currently
approved information collection activities. Before submitting these
information collection requests (ICRs) for clearance by the Office of
Management and Budget (OMB), FRA is soliciting public comment on
specific aspects of the activities identified below.

DATES: Comments must be received no later than April 25, 2016.

ADDRESSES: Submit written comments on any or all of the following
proposed activities by mail to either: Mr. Robert Brogan, Information
Collection Clearance Officer, Office of Safety, Regulatory Safety
Analysis Division, RRS-21, Federal Railroad Administration, 1200 New
Jersey Ave. SE., Mail Stop 25, Washington, DC 20590, or Ms. Kimberly
Toone, Information Collection Clearance Officer, Office of Information
Technology, RAD-20, Federal Railroad Administration, 1200 New Jersey
Ave. SE., Mail Stop 35, Washington, DC 20590. Commenters requesting FRA
to acknowledge receipt of their respective comments must include a
self-addressed stamped postcard stating, ``Comments on OMB control
number 2130-_____''. Alternatively, comments may be transmitted via
facsimile to<PHONE_NUMBER> or<PHONE_NUMBER>, or via email to Mr.
Brogan at<EMAIL_ADDRESS>or to Ms. Toone at<EMAIL_ADDRESS>
Please refer to the assigned OMB control number in any correspondence
submitted. FRA will summarize comments received in response to this
notice in a subsequent notice and include them in its information
collection submission to OMB for approval.

FOR FURTHER INFORMATION CONTACT: Mr. Robert Brogan, Information
Collection Clearance Officer, Office of Safety, Regulatory Safety
Analysis Division,

RRS-21, Federal Railroad Administration, 1200 New Jersey Ave. SE., Mail
Stop 25, Washington, DC 20590 (telephone:<PHONE_NUMBER>) or Ms.
Kimberly Toone, Information Collection Clearance Officer, Office of
Information Technology, RAD-20, Federal Railroad Administration, 1200
New Jersey Ave. SE., Mail Stop 35, Washington, DC 20590 (telephone:
(202) 493-6132). (These telephone numbers are not toll-free.)

SUPPLEMENTARY INFORMATION: The Paperwork Reduction Act of 1995 (PRA),
Public Law 104-13, sec. 2, 109 Stat. 163 (1995) (codified as revised at
44 U.S.C. 3501-3520), and its implementing regulations, 5 CFR part
1320, require Federal agencies to provide 60-days notice to the public
for comment on information collection activities before seeking
approval for reinstatement or renewal by OMB. 44 U.S.C. 3506(c)(2)(A);
5 CFR 1320.8(d)(1), 1320.10(e)(1), 1320.12(a). Specifically, FRA
invites interested respondents to comment on the following summary of
proposed information collection activities regarding (i) whether the
information collection activities are necessary for FRA to properly
execute its functions, including whether the activities will have
practical utility; (ii) the accuracy of FRA's estimates of the burden
of the information collection activities, including the validity of the
methodology and assumptions used to determine the estimates; (iii) ways
for FRA to enhance the quality, utility, and clarity of the information
being collected; and (iv) ways for FRA to minimize the burden of
information collection activities on the public by automated,
electronic, mechanical, or other technological collection techniques or
other forms of information technology (e.g., permitting electronic
submission of responses). See 44 U.S.C. 3506(c)(2)(A)(I)-(iv); 5 CFR
1320.8(d)(1)(I)-(iv). FRA believes that soliciting public comment will
promote its efforts to reduce the administrative and paperwork burdens
associated with the collection of information mandated by Federal
regulations. In summary, FRA reasons that comments received will
advance three objectives: (i) Reduce reporting burdens; (ii) ensure
that it organizes information collection requirements in a ``user
friendly'' format to improve the use of such information; and (iii)
accurately assess the resources expended to retrieve and produce
information requested. See 44 U.S.C. 3501.
    Below is a brief summary of the currently approved ICRs that FRA
will submit for clearance by OMB as required under the PRA:
    Title: Designation of Qualified Persons.
    OMB Control Number: 2130-0511.
    Abstract: The collection of information is used to prevent the
unsafe movement of defective freight cars. Railroads are required to
inspect freight cars for compliance and to determine restrictions on
the movements of defective cars.
    Form Number(s): N/A.
    Affected Public: Businesses.
    Respondent Universe: States and Railroads.
    Frequency of Submission: On occasion.
    Respondent Universe: 5 Manufacturers.

----------------------------------------------------------------------------------------------------------------
                                                            Total annual       Average time per    Total annual
           CFR section             Respondent universe       responses             response        burden hours
----------------------------------------------------------------------------------------------------------------
215.11--Designation of             673 railroads......  1,200 records......  2 minutes..........              40
 Inspectors--Written Records.
----------------------------------------------------------------------------------------------------------------

    Frequency of Submission: On occasion.
    Total Estimated Responses: 1,200.
    Total Estimated Total Annual Burden: 40 hours.
    Type of Request: Extension of a currently approved collection.
    Title: Qualifications for Locomotive Engineers.
    OMB Control Number: 2130-0533.
    Abstract: Section 4 of the Rail Safety Improvement Act of 1988
(RSIA), Public Law 100-342, 102 Stat. 624 (June 22, 1988), later
amended and re-codified by Public Law 103-272, 108 Stat. 874 (July 5,
1994), required that FRA issue regulations to establish any necessary
program for certifying or licensing locomotive engineers. The
collection of information is used by FRA to ensure that railroads
employ and properly train qualified individuals as locomotive engineers
and designated supervisors of locomotive engineers. The collection of
information is also used by FRA to verify that railroads have
established required certification programs for locomotive engineers
and that these programs fully conform to the standards specified in the
regulation.
    Affected Public: Businesses.
    Respondent Universe: 733 railroads.
    Frequency of Submission: On occasion; annually; tri-annually.
    Reporting Burden:

----------------------------------------------------------------------------------------------------------------
                                                            Total annual       Average time per    Total annual
           CFR section             Respondent universe       responses             response        burden hours
----------------------------------------------------------------------------------------------------------------
240.9--Waivers...................  763 railroads......  3 waiver petitions.  90 minutes.........               5
240.101/103:--Cert. Prog.--        763 railroads......  50 amendments......  1 hour.............              50
 Amendmnts:
    --Cert. Prog.--New...........  20 railroads.......  20 programs........  40 hours...........             800
    --Final Review...............  20 railroads.......  20 reviews.........  1 hour.............              20
    --Material Modification to     763 railroads......  30 modified          45 minutes.........              23
     Program.                                            programs.
240.105(b)--Selection Criteria     763 railroads......  50 examinations....  1 hour.............              50
 for DSLEs--Exams.
(c) Written Reports/.............
Determinations of DSLE             10 railroads.......  10 reports.........  1 hour.............              10
 Performance Skills.
240.109/App. C--Prior Safety       17,667 candidates..  25 responses.......  60 minutes.........              25
 Conduct Data.
240.111/App C--Driver's License    17,667 candidates..  17,667 requests....  15 minutes.........           4,417
 Data.
    --NDR Match--notifications     763 railroads......  177 notices + 177    15 min. + 15 min...              89
     and requests for data.                              requests.
    --Written response from        763 railroads......  20 cases/comments..  30 minutes.........              10
     candidate on driver's lic.
     data.
240.111(g)--Notice to RR of        53,000 candidates..  4 letters..........  15 minutes.........               1
 Absence of License.

240.111(h)--Duty to furnish data   763 railroads......  200 phone calls....  10 minutes.........              33
 on prior safety conduct as motor
 vehicle op.
240.113--Notice to RR Furnishing   17,667 candidates..  353 requests + 353   15 min./30 min.....             265
 Data on Prior Safety Conduct--                          responses.
 Diff. RR.
240.119--Self-referral to EAP re:  53,000 locomotive    50 self-referrals..  5 minutes..........               4
 active substance abuse disorder.   engineers.
240.121--Criteria--Vision/Hearing  20 railroads.......  20 copies..........  15 minutes.........               5
 Acuity Data--New Railroads.
240.121--Criteria--Vision/Hearing  763 railroads......  20 reports.........  1 hour.............              20
 Acuity Data--Cond. Certification.
240.121--Criteria--Vision/Hearing  763 railroads......  10 notifications...  15 minutes.........               3
 Acuity Data--Not Meeting
 Standards--Notice by Employee.
240.127--Criteria for Examining    763 railroads......  191 amended          48 hours + 8 hours.           1,968
 Skill Performance--Modification                         programs.
 to Certification Program to
 Include Scoring System.
240.201/221--List of Qualified     763 railroads......  763 updates........  60 minutes.........             763
 DSLEs.
240.201/221--List of Qualified     763 railroads......  763 updated lists..  60 minutes.........             763
 Loco. Engineers.
240.201/223/301--Loco. Engineers   53,000 candidates..  17,667 certificates  5 minutes..........           1,472
 Certificate.
    --False entry on certificates  N/A................  N/A................  N/A................             N/A
240.205--Data to EAP Counselor...  763 railroads......  177 records........  5 minutes..........              15
240.207--Medical Certificate       53,000 candidates..  17,667 certificates  70 minutes.........          20,612
 Showing Hearing/Vision Standards
 are Met.
    --Written determinations       763 railroads......  30 determinations..  2 hours............              60
     waiving use of corrective
     device.
240.219--Denial of Certification.  17,667 candidates..  30 letters + 30      1 hour.............              60
                                                         responses.
    --Notification to Employee of  763 railroads......  30 notifications...  1 hour.............              30
     Adverse Decision.
240.227--Canadian Certification    N/A................  N/A................  N/A................             N/A
 Data.
240. 229--Joint Operations--       321 railroads......  184 employee calls.  5 minutes..........              15
 Notice--not qualified.
240.309--RR Oversight Resp.:       15 railroads.......  6 annotations......  15 minutes.........               2
 Detected Poor Safety Conduct--
 Annotation.
Testing Requirements:
    240.209/213--Written Tests...  53,000 candidates..  17,667 tests.......  2 hours............          35,334
240.211/213--Performance Test....  53,000 candidates..  17,667 tests.......  2 hours............          35,334
240.303--Annual operational        53,000 candidates..  53,000 tests/docs..  2 hours............         106,000
 monitor observation.
240.303--Annual operating rules    53,000 candidates..  53,000 tests.......  1 hour.............          53,000
 compliance test.
Recordkeeping:
    240.215--Retaining Info.       763 railroads......  17,667 records.....  30 minutes.........           8,834
     Supporting Determination.
240.305--Engineer's Notice of Non- 53,000 engineers or  100 notifications..  5 minutes..........               8
 Qualification to RR:               candidates.
    --Relaying Certification       1,060 engineers....  2 letters..........  30 minutes.........               1
     Denial or Revocation Status
     to other certifying railroad.
240.307--Notice to Engineer of     763 railroads......  900 letters........  1 hour.............             900
 Disqualification.
240.309--Railroad Annual Review..  51 railroads.......  51 reviews.........  40 hours...........           2,040
    --Report of findings.........  51 railroads.......  12 reports.........  1 hour.............              12
----------------------------------------------------------------------------------------------------------------

    Total Responses: 216,863.
    Estimated Total Annual Burden: 272,672 hours.
    Status: Regular Review.
    Pursuant to 44 U.S.C. 3507(a) and 5 CFR 1320.5(b),
1320.8(b)(3)(vi), FRA informs all interested parties that it may not
conduct or sponsor, and a respondent is not required to respond to, a
collection of information unless it displays a currently valid OMB
control number.

    Authority: 44 U.S.C. 3501-3520.

    Issued in Washington, DC, on February 18, 2016.
Corey Hill,
Acting Executive Director.
[FR Doc. 2016-03754 Filed 2-23-16; 8:45 am]
 BILLING CODE 4910-06-P


[Federal Register: May 24, 2006 (Volume 71, Number 100)]
[Notices]
[Page 30011-30012]
[DOCID:fr24my06-142]

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

SECURITIES AND EXCHANGE COMMISSION

[Release No. 34-53834; File No. SR-NYSE-2006-32]

Self-Regulatory Organizations; New York Stock Exchange LLC;
Notice of Filing of Proposed Rule Change Relating to the NYSE Retail
Trading Product and the NYSE Program Trading Product

May 18, 2006.
    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 May 9, 2006, the New York Stock Exchange LLC (``NYSE'' or
``Exchange'') 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 NYSE. 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

    The Exchange is proposing to establish fees for two new market data
products: The NYSE Retail Trading Product and the NYSE Program Trading
Product. The text of the proposed rule change is available on the
Exchange's Web site (http://www.nyse.com), at the NYSE'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
    Pursuant to a separate proposed rule change that NYSE has filed
contemporaneously with the proposed rule change (see SR-NYSE-2006-31;
the ``Pilot Program Filing''), NYSE proposes to make available to
vendors and investors the following:
    (1) The NYSE Retail Trading Product will consist of (A) a real-time
datafeed of certain execution report information that has been recorded
as trades for accounts of ``individual investors'' \3\ and (B) an end-
of-day summary of the retail trading activity on the Exchange for that
day, including total buy-and-sell retail share volume for each stock
traded (the ``End-of-Day Retail Trading Summary'').
---------------------------------------------------------------------------

    \3\ For this purpose, the ``account of an individual investor''
means an account covered by Section 11(a)(1)(E) of the Act. That
section refers to the ``account of a natural person, or a trust
created by a natural person for himself or another natural person.''
---------------------------------------------------------------------------

    (2) The NYSE Program Trading Product will consist of (A) a real-
time datafeed of certain execution report information that has been
recorded as program trades \4\ and (B) an end-of-day summary of program
trading activity on the Exchange for that day, including total index
arbitrage (as opposed to non-index arbitrage) program trading volume
(the ``End-of-Day Program Trading Summary'').
---------------------------------------------------------------------------

    \4\ For this purpose, ``program trading'' has the definition
that Supplementary Material .40(b) to NYSE Rule 80A (``Index
Arbitrage Trading Restrictions'') gives to that term.
---------------------------------------------------------------------------

    Each published report of a trade execution that is included in the
datafeed for either product shall indicate such information as the
security's symbol, the size of the trade, the time of the trade's
execution and other related information.\5\ (More information regarding
the NYSE Retail Trading Product and the NYSE Program Trading Product
can be found on the NYSE Web site at http://www.nysedata.com/InfoTools.
)

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

    \5\ NYSE will only include in the NYSE Retail Trading Product
and the NYSE Program Trading Product information that is attached to
execution reports. While the NYSE believes the information contained
in the NYSE Retail Trading Product and the NYSE Program Trading
Product is accurate, the NYSE does not guarantee the completeness or
accuracy of account information submitted by order entry firms on
which the InfoTools product is based.
---------------------------------------------------------------------------

    The Exchange believes the NYSE Retail Trading Product should
provide investors with increased information regarding individual
investors' trading activity on the Exchange. Similarly, the NYSE
Program Trading Product should provide investors with increased
information regarding program trading activity.
    Pursuant to the proposed rule change, NYSE proposes to establish:
    (1) A monthly access fee of $1,500 for receipt of the NYSE Retail
Trading Product datafeed (for receipt of the real-time datafeed, the
end-of-day summaries, or both);
    (2) A monthly access fee of $1,500 for receipt of the NYSE Program
Trading Product datafeed (for receipt of the real-time datafeed, the
end-of-day summaries, or both);
    (3) A monthly display fee of $2.00 that the vendor or its
subscribers are to pay for each display device receiving NYSE Retail
Product information and/or NYSE Program Trading Product information
(collectively, ``NYSE Trading Information'') that the vendor makes
available from the real-time datafeed; and
    (4) A monthly fee of $250 if the vendor makes NYSE Trade
Information available from the end-of-day summaries, rather than from
the real-time datafeeds.
    In addition, each vendor of NYSE Trading Information will receive a
monthly credit of $2 for each device that the vendor has entitled to
receive displays of NYSE Trading Information, up to a maximum of:
    (1) $3,000 per month if the vendor pays the monthly access fees for
both the NYSE Retail Trading Product datafeed and the NYSE Program
Trading Product datafeed (which two monthly access fees total $3,000);
and
    (2) $1,500 per month if the vendor pays the monthly access fees for
either the NYSE Retail Trading Product datafeed or the NYSE Program
Trading Product, but not both (either of which monthly access fees
equals $1,500).
    The Exchange would commence to impose those fees 30 days after the
Commission approves them. NYSE believes that the access and device fees
for the NYSE Retail Trading Product and the NYSE Program Trading
Product would reflect an equitable allocation of NYSE's overall costs
to users of its facilities.
    The access fees, the device fees and the device fee credit apply
equally to every vendor. The Exchange notes that it proposes to set the
device fee offset of access fees (i.e. the device fee credit) at such
low levels (i.e., a $1500 access fee is offset in full if only 750 of a
vendor's customers subscribe to the service) that the vast majority of
vendors that wish to

provide displays of this information are likely, in effect, not to pay
access fees.
    In arriving at the monthly $1500 access fee, the $2 device fee and
the $250 redistribution fee, the Exchange took into account the cost of
collecting, processing and making available NYSE Trading Information,
and assessed the value of the two products relative to other data
products that the Exchange makes available, such as NYSE OpenBook and
NYSE Alerts. The Exchange believes that the fees would enable the users
of NYSE Trading Information to make an appropriate contribution to the
recovery of the overall costs of NYSE's operations and that the fees
are reasonably related to the value that the two products provide to
those who use them.
    The Exchange is not proposing to impose any attribution
requirements on vendors displaying NYSE Trading Information. However,
the Exchange believes that it is incumbent on vendors to identify and
display information in a manner that avoids investor confusion. This is
especially true at a time when markets are offering investors, who have
grown accustomed to viewing consolidated information over the past
three decades, many new exchange-specific information services.
    Thus, while the Exchange is not proposing to impose any attribution
requirement, it does propose to have vendors provide, by link or
otherwise, a description of the NYSE Retail Trading Product and NYSE
Program Trading Product in a manner that is reasonably transparent and
accessible to subscribers of the two products. The Exchange will
require the Exhibit A to each vendor's contract with the Exchange for
the receipt and redistribution of the NYSE Retail Trading Product and
NYSE Program Trading Product to describe how the vendor will make the
description available.
    The description should read substantially as follows:

    NYSE Rule 132B requires each NYSE member firm to record for each
order that it submits to the Exchange such information as whether
the firm is placing the order for the account of a retail customer
or whether the order results from program trade trading activity.
NYSE uses this information to produce the NYSE Retail Trading
Product and NYSE Program Trading Product, each of which includes
real-time information relating to retail trading and program trading
activity, respectively, as well as daily summaries and historical
databases of that information.
    While the NYSE believes the information contained in the NYSE
Retail Trading Product and NYSE Program Trading Product is accurate,
Customer understands that its agreement with NYSE provides that NYSE
(1) Reserves all rights to that information, (2) does not guarantee
the completeness or accuracy of account information submitted by
order entry firms on which the InfoTools product is based, and (3)
shall not be liable for any loss due either to their negligence or
to any cause beyond their reasonable control.
2. Statutory Basis
    The Exchange believes that its proposal is consistent with Section
6(b) of the Act \6\ in general, and furthers the objectives of Section
6(b)(4) of the Act \7\ in particular, in that it provides for the
equitable allocation of reasonable fees, dues, and other charges among
Exchange participants, issuers and other persons using its facilities.
---------------------------------------------------------------------------

    \6\ 15 U.S.C. 78f(b).
    \7\ 15 U.S.C. 78f(b)(4).
---------------------------------------------------------------------------

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

    The Exchange does not believe that the proposed rule change would
impose any burden on competition that is not necessary or appropriate
in furtherance of the purposes of the Act.

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

    The Exchange has not solicited, and does not intend to solicit,
comments regarding the proposed rule change. The Exchange has not
received any unsolicited written comments from Exchange participants or
other interested parties.

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

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

IV. Solicitation of Comments

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

Electronic Comments

     Use the Commission's Internet comment form (http://www.sec.gov/rules/sro.shtml.
); or     Send an e-mail to<EMAIL_ADDRESS>Please include

File Number SR-NYSE-2006-32 on the subject line.

Paper Comments

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

All submissions should refer to File Number SR-NYSE-2006-32. This file
number should be included on the subject line if e-mail is used. To
help the Commission process and review your comments more efficiently,
please use only one method. The Commission will post all comments on
the Commission's Internet Web site (http://www.sec.gov/rules/sro.shtml
). Copies of the submission, all subsequent amendments, all

written statements with respect to the proposed rule change that are
filed with the Commission, and all written communications relating to
the proposed rule change between the Commission and any person, other
than those that may be withheld from the public in accordance with the
provisions of 5 U.S.C. 552, will be available for inspection and
copying in the Commission's Public Reference Room. Copies of such
filing also will be available for inspection and copying at the
principal office of the Exchange. All comments received will be posted
without change; the Commission does not edit personal identifying
information from submissions. You should submit only information that
you wish to make publicly available. All submissions should refer to
File Number SR-NYSE-2006-32 and should be submitted on or before June
14, 2006.

    For the Commission, by the Division of Market Regulation,
pursuant to delegated authority.\8\
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    \8\ 17 CFR 200.30-3(a)(12).
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Nancy M. Morris,
Secretary.
 [FR Doc. E6-7915 Filed 5-23-06; 8:45 am]

BILLING CODE 8010-01-P